13F-HR 1 t306523.txt KING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F-HR Form 13F COVER PAGE Report for the Calendar Year of Quarter Ended: September 30, 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: Address: Form 13F File Number: 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: Title: Phone: Signature, Place, and Date of Signing: /s/ H.K. HALLETT Charlotte, NC ----------------- --------------- ----------------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ----------- Form 13F Information Table Entry Total: 129 ----------- Form 13F Information Table Value Total: 150,581 ----------- (thousands)
MKT VALUE 13 F INFO 9-30-11 TITLE OF MARKET DIV BY INVESTING VOTING AUTHORITY DESCRIPTION CLASS SYMBOL CUSIP VALUE 1000 QUANTITY DISCRETION NONE SOLE SHARED ------------------------------------------------------------------------------------------------------------------------------------ -------------------------------------------------- Abbott Labs Equities ABT 2824100 $ 1,140,575 $ 1,141 22303 sole 22303 none -------------------------------------------------- Aberdeen Asia Pacific Income Equities FAX 3009107 $ 1,646,269 $ 1,646 238936 sole 238936 none -------------------------------------------------- Accenture Ltd Equities ACN G1150G111 $ 764,229 $ 764 14507 sole 364 14143 none -------------------------------------------------- American Express Company Equities AXP 25816109 $ 515,138 $ 515 11473 sole 252 11221 none -------------------------------------------------- American Water Works Co. Equities AWK 30420103 $ 1,173,519 $ 1,174 38884 sole 2830 36054 none -------------------------------------------------- Apple Inc. Equities AAPL 37833100 $ 3,188,598 $ 3,189 8362 sole 3824 4538 none -------------------------------------------------- Aqua America, Inc. Equities WTR 03836W103 $ 344,063 $ 344 15951 sole 15951 none -------------------------------------------------- Avon Products Inc Equities AVP 54303102 $ 713,538 $ 714 36405 sole 790 35615 none -------------------------------------------------- Baker Hughes Incorporated Equities BHI 57224107 $ 628,563 $ 629 13620 sole 708 12912 none -------------------------------------------------- BANCO BRADESCO ADR Equities BBD 59460303 $ 939,061 $ 939 63493 sole 957 62536 none -------------------------------------------------- Bank of America Corporation Equities BAC 60505104 $ 212,278 $ 212 34686 sole 34686 none -------------------------------------------------- Bank Of Montreal Comnpv Equities BMO 63671101 $ 749,451 $ 749 13419 sole 203 13216 none -------------------------------------------------- BB&T Corporation Equities BBT 54937107 $ 212,468 $ 212 9961 sole 9961 none -------------------------------------------------- Becton, Dickinson and Company Equities BDX 75887109 $ 719,049 $ 719 9807 sole 9807 none -------------------------------------------------- Bed Bath & Beyond Incorporated Equities BBBY 75896100 $ 1,099,607 $ 1,100 19187 sole 121 19066 none -------------------------------------------------- Berkshire Hathaway Inc Del Cl B Equities BRKB 84670702 $ 1,754,546 $ 1,755 24698 sole 24698 none -------------------------------------------------- Berkshire Hathaway Inc. Class A Equities BRKA 84670108 $ 1,068,000 $ 1,068 10 sole 10 none -------------------------------------------------- BP Prudhoe Bay Royalty Trust Equities BPT 55630107 $ 986,392 $ 986 9363 sole 9363 none -------------------------------------------------- Brightpoint Inc Com New Equities CELL 109473405 $ 164,586 $ 165 17851 sole 17851 none -------------------------------------------------- Calamos Conv Opps & Inc Fd Equities CHI 128117108 $ 3,243,535 $ 3,244 285774 sole 197004 88770 none -------------------------------------------------- Canadian Oil Sands Trust Equities COSWF 13642L100 $ 1,219,514 $ 1,220 63220 sole 63220 none -------------------------------------------------- Chevron Corporation Equities CVX 166764100 $ 1,077,285 $ 1,077 11635 sole 842 10793 none -------------------------------------------------- China Fd Inc Equities CHN 169373107 $ 722,522 $ 723 31414 sole 31414 none -------------------------------------------------- China Mobile (Hong Kong) Ltd. Equities CHL 16941M109 $ 877,170 $ 877 18008 sole 18008 none -------------------------------------------------- Claymore/MAC Global Solar Energy Equities TAN 18383M621 $ 148,712 $ 149 46041 sole 46041 none -------------------------------------------------- Coach, Inc. Equities COH 189754104 $ 510,059 $ 510 9841 sole 149 9692 none -------------------------------------------------- Coca-Cola Company Equities KO 191216100 $ 756,942 $ 757 11204 sole 11204 none -------------------------------------------------- Colgate-Palmolive Company Equities CL 194162103 $ 603,290 $ 603 6803 sole 6803 none -------------------------------------------------- Comerica Incorporated Equities CMA 200340107 $ 371,729 $ 372 16183 sole 16183 none -------------------------------------------------- Credit Suisse High Yield Bond Fund Equities DHY 22544F103 $ 139,801 $ 140 47390 sole 47390 none -------------------------------------------------- Directv Group, Inc. Equities DTV 25459L106 $ 668,754 $ 669 15821 sole 336 15485 none -------------------------------------------------- Duff & Phelps Utilities & Corp. Bond Equities DUC 26432K108 $ 1,076,728 $ 1,077 93466 sole 93466 none -------------------------------------------------- Duke Energy Corporation New Equities DUK 26441C105 $ 1,039,440 $ 1,039 51998 sole 8886 43112 none -------------------------------------------------- E.I. du Pont De Nemours and Company Equities DD 263534109 $ 1,958,090 $ 1,958 48989 sole 38009 10980 none -------------------------------------------------- Eaton Vance Txmg Gl Bu Equities ETW 27829C105 $ 517,797 $ 518 53053 sole 53053 none -------------------------------------------------- Energy Recovery Inc Com Equities ERII 29270J100 $ 192,609 $ 193 64203 sole 64203 none -------------------------------------------------- Exelon Corporation Equities EXC 30161N101 $ 1,327,744 $ 1,328 31160 sole 31160 none -------------------------------------------------- Exxon Mobil Corporation Equities XOM 30231G102 $ 2,247,062 $ 2,247 30938 sole 16742 14196 none -------------------------------------------------- Ezcorp Inc Cl A Non Vtg Equities EZPW 302301106 $ 504,102 $ 504 17663 sole 267 17396 none -------------------------------------------------- Fastenal Company Equities FAST 311900104 $ 597,509 $ 598 17954 sole 1613 16341 none -------------------------------------------------- First Trust Global Wind Energy ETF Equities FAN 33736G106 $ 174,354 $ 174 21632 sole 21632 none -------------------------------------------------- General Electric Company Equities GE 369604103 $ 1,553,643 $ 1,554 102079 sole 102079 none -------------------------------------------------- GLOBAL X FTSE NORWAY Equities NORW 37950E747 $ 519,834 $ 520 43942 sole 43942 none -------------------------------------------------- GLOBAL X/INTERBOLSA FTSE Equities GXG 37950E200 $ 875,562 $ 876 48805 sole 48805 none -------------------------------------------------- H. J. Heinz Company Equities HNZ 423074103 $ 272,592 $ 273 5400 sole 5400 none -------------------------------------------------- HSBC Holdings Plc Adr Equities HBC 404280406 $ 531,076 $ 531 13961 sole 13961 none -------------------------------------------------- Hugoton Royalty Tr Ubi Units Of Benefici Equities HGT 444717102 $ 940,792 $ 941 44206 sole 44206 none -------------------------------------------------- Hyflux Ltd Equities HYFXF Y3817K10 $ 99,140 $ 99 86209 sole 86209 none -------------------------------------------------- Illinois Tool Works Inc. Equities ITW 452308109 $ 742,227 $ 742 17842 sole 17842 none -------------------------------------------------- ING Asia Pacific High Dividend Equities IAE 44983J107 $ 1,419,247 $ 1,419 102844 sole 102844 none -------------------------------------------------- ING Clarion Global Real Estate Equities IGR 12504G100 $ 913,901 $ 914 136607 sole 136607 none -------------------------------------------------- Intel Corporation Equities INTC 458140100 $ 1,459,891 $ 1,460 68427 sole 68427 none -------------------------------------------------- International Business Machines Corp. Equities IBM 459200101 $ 2,217,701 $ 2,218 12682 sole 6566 6116 none -------------------------------------------------- iShares Barclays Intermediate Credit Bd Equities CIU 464288638 $ 2,410,250 $ 2,410 22570 sole 22070 500 none -------------------------------------------------- iShares Dow Jones Intl Select Div Equities IDV 464288448 $ 1,336,213 $ 1,336 47166 sole 47166 none -------------------------------------------------- iShares Dow Jones Select Dividend Index Equities DVY 464287168 $ 6,167,388 $ 6,167 127848 sole 127848 none -------------------------------------------------- iShares Dow Jones US Real Estate Index F Equities IYR 464287739 $ 684,971 $ 685 13545 sole 13545 none -------------------------------------------------- iShares Gold Trust Equities IAU 464285105 $ 3,777,782 $ 3,778 238647 sole 238647 none -------------------------------------------------- iShares Goldman Sachs Investop Corp Bond Equities LQD 464287242 $ 3,150,296 $ 3,150 28050 sole 28050 none -------------------------------------------------- iShares Inc Mcsi Chile Investable Equities ECH 464286640 $ 1,206,470 $ 1,206 22678 sole 22678 none -------------------------------------------------- Ishares Inc Msci Germany Index Fd Equities EWG 464286806 $ 1,427,947 $ 1,428 78158 sole 78158 none -------------------------------------------------- iShares Lehman Aggregate Bond Fund Equities AGG 464287226 $ 1,516,325 $ 1,516 13771 sole 13771 none -------------------------------------------------- ISHARES MCSI ACWI INDEX FUND Equities ACWI 464288257 $ 829,970 $ 830 21216 sole 21216 none -------------------------------------------------- iShares MSCI Canada Equities EWC 464286509 $ 1,114,805 $ 1,115 43735 sole 41165 2570 none -------------------------------------------------- ISHARES MSCI TURKEY INVESTABLE Equities TUR 464286715 $ 986,096 $ 986 20725 sole 20725 none -------------------------------------------------- iShares NASDAQ Biotechnology Sector Equities IBB 464287556 $ 1,062,323 $ 1,062 11380 sole 1673 9707 none -------------------------------------------------- Ishares Phlx Sox Semi- Equities SOXX 464287523 $ 948,799 $ 949 20662 sole 459 20203 none -------------------------------------------------- IShares S&P Global Healthcare Equities IXJ 464287325 $ 2,802,267 $ 2,802 53952 sole 34158 19794 none -------------------------------------------------- iShares S&P U.S. Preferred Stock Index F Equities PFF 464288687 $ 2,100,242 $ 2,100 58979 sole 58979 none -------------------------------------------------- iShares Tr 1-3 Yr Trs Bd Equities SHY 464287457 $ 2,762,564 $ 2,763 32666 sole 32066 600 none -------------------------------------------------- iShares Tr US Tips Bd Fd Equities TIP 464287176 $ 7,172,970 $ 7,173 62755 sole 62755 none -------------------------------------------------- Johnson & Johnson Equities JNJ 478160104 $ 616,901 $ 617 9686 sole 9686 none -------------------------------------------------- Johnson Controls, Inc. Equities JCI 478366107 $ 752,969 $ 753 28554 sole 2630 25924 none -------------------------------------------------- JP Morgan Chase & Co. Equities JPM 46625H100 $ 680,320 $ 680 22587 sole 1277 21310 none -------------------------------------------------- Kayne Anderson Mlp Invt Equities KYN 486606106 $ 3,172,676 $ 3,173 114043 sole 114043 none -------------------------------------------------- Kinder Morgan Mgmt (KMR) Equities KMR 49455U100 $ 651,065 $ 651 11093 sole 11093 none -------------------------------------------------- Lvmh Moet New Adr Equities LVMUY 502441306 $ 668,795 $ 669 25209 sole 358 24851 none -------------------------------------------------- Macquarie Global Infrastructure Tot Retu Equities MGU 55608D101 $ 1,668,118 $ 1,668 108885 sole 108885 none -------------------------------------------------- MarketVectors Agribusiness ETF Equities MOO 57060U605 $ 936,059 $ 936 21653 sole 2345 19308 none -------------------------------------------------- Mastercard Incorporated Equities MA 57636Q104 $ 937,842 $ 938 2957 sole 59 2898 none -------------------------------------------------- McDonald's Corporation Equities MCD 580135101 $ 954,955 $ 955 10874 sole 1890 8984 none -------------------------------------------------- MFS Multimarket Income Trust Equities MMT 552737108 $ 3,696,991 $ 3,697 586824 sole 586824 none -------------------------------------------------- Microsoft Corporation Equities MSFT 594918104 $ 1,796,993 $ 1,797 72197 sole 39805 32392 none -------------------------------------------------- Molex Inc Com Equities MOLX 608554101 $ 1,548,568 $ 1,549 76022 sole 76022 none -------------------------------------------------- Morgan Stanley Emerging Markets Equities EDD 617477104 $ 4,838,160 $ 4,838 334358 sole 240247 94111 none -------------------------------------------------- Nextera Energy Inc. Equities NEE 65339F101 $ 244,981 $ 245 4535 sole 4535 none -------------------------------------------------- Occidental Petroleum Corporation Equities OXY 674599105 $ 694,766 $ 695 9717 sole 438 9279 none -------------------------------------------------- Penney J C Inc Equities JCP 708160106 $ 609,807 $ 610 22771 sole 22771 none -------------------------------------------------- PepsiCo Equities PEP 713448108 $ 1,402,348 $ 1,402 22655 sole 22655 none -------------------------------------------------- Pfizer Inc. Equities PFE 717081103 $ 639,185 $ 639 36153 sole 36153 none -------------------------------------------------- Piedmont Natural Gas Company, Inc. Equities PNY 720186105 $ 263,477 $ 263 9120 sole 9120 none -------------------------------------------------- Plum Creek Timber Company, Inc. Equities PCL 729251108 $ 895,136 $ 895 25789 sole 25789 none -------------------------------------------------- PowerShares Cleantech Portfolio Equities PZD 73935x278 $ 281,507 $ 282 13534 sole 13534 none -------------------------------------------------- PowerShares Global Water Portfolio Equities PHO 73935X575 $ 177,715 $ 178 11824 sole 11824 none -------------------------------------------------- Priceline Com Inc Com New Equities PCLN 741503403 $ 454,404 $ 454 1011 sole 15 996 none -------------------------------------------------- Procter & Gamble Company Equities PG 742718109 $ 1,854,902 $ 1,855 29359 sole 11939 17420 none -------------------------------------------------- PROSHARES ULTRASHORT EURO Equities EUO 74347W882 $ 684,247 $ 684 35490 sole 35490 none -------------------------------------------------- ProShares UltraShort QQQ Equities QID 74347R875 $ 312,743 $ 313 5750 sole 5750 none -------------------------------------------------- Prudential Financial, Inc. Equities PRU 744320102 $ 993,151 $ 993 21194 sole 285 20909 none -------------------------------------------------- Putnam Premier Income Trust Shares Equities PPT 746853100 $ 759,630 $ 760 141987 sole 141987 none -------------------------------------------------- QUALCOMM, Incorporated Equities QCOM 747525103 $ 1,788,222 $ 1,788 36772 sole 16084 20688 none -------------------------------------------------- Royal Bank of Canada Equities RY 780087102 $ 1,157,630 $ 1,158 25320 sole 25320 none -------------------------------------------------- Rydex ETF Trust Health Care Equities RYH 78355W841 $ 991,532 $ 992 15918 sole 216 15702 none -------------------------------------------------- Rydex S&P Equal Weight ETF Equities RSP 78355W106 $ 810,322 $ 810 19573 sole 19573 none -------------------------------------------------- SCANA Corporation Equities SCG 80589M102 $ 1,299,456 $ 1,299 32125 sole 32125 none -------------------------------------------------- Select Sector SPDR Trust-Consumer Staple Equities XLP 81369Y308 $ 1,626,347 $ 1,626 54833 sole 2642 52191 none -------------------------------------------------- Sonoco Products Company Equities SON 835495102 $ 228,296 $ 228 8087 sole 8087 none -------------------------------------------------- SPDR Gold Shares Equities GLD 78463V107 $ 792,039 $ 792 5011 sole 5011 none -------------------------------------------------- Starwood Hotels & Resorts Worldwide, Inc Equities HOT 85590A401 $ 590,957 $ 591 15223 sole 213 15010 none -------------------------------------------------- Symantec Corporation Equities SYMC 871503108 $ 635,782 $ 636 39005 sole 810 38195 none -------------------------------------------------- Taiwan Semiconductor Manufacturing Equities TSM 874039100 $ 841,659 $ 842 73636 sole 73636 none -------------------------------------------------- Targacept Inc Equities TRGT 87611R306 $ 246,495 $ 246 16433 sole 16433 none -------------------------------------------------- Teucrium Corn Fund Equities CORN 88166A102 $ 292,919 $ 293 7345 sole 7345 none -------------------------------------------------- The India Fund, Inc. Equities IFN 454089103 $ 999,346 $ 999 43563 sole 43563 none -------------------------------------------------- TIFFANY & CO Equities TIF 886547108 $ 1,064,472 $ 1,064 17502 sole 17502 none -------------------------------------------------- Toronto Dominion Bank Equities TD 891160509 $ 822,240 $ 822 11589 sole 11589 none -------------------------------------------------- Total S.A. Sponsored ADR Equities TOT 89151E109 $ 615,540 $ 616 14031 sole 14031 none -------------------------------------------------- Transdigm Group Inc Com Equities TDG 893641100 $ 470,583 $ 471 5762 sole 90 5672 none -------------------------------------------------- Travelers Company, Inc. Equities TRV 89417E109 $ 868,515 $ 869 17823 sole 272 17551 none -------------------------------------------------- ULTRA CLEAN HOLDINGS COM Equities UCTT 90385V107 $ 47,503 $ 48 11073 sole 11073 none -------------------------------------------------- Unilever N V New York Shs Equities UN 904784709 $ 2,173,786 $ 2,174 69031 sole 37981 31050 none -------------------------------------------------- United Parcel Service Incorporated Class Equities UPS 911312106 $ 513,915 $ 514 8138 sole 375 7763 none -------------------------------------------------- United Technologies Corporation Equities UTX 913017109 $ 1,481,641 $ 1,482 21058 sole 21058 none -------------------------------------------------- V F Corporation Equities VFC 918204108 $ 941,902 $ 942 7751 sole 7751 none -------------------------------------------------- Verizon Communications Equities VZ 92343V104 $ 3,084,520 $ 3,085 83818 sole 47037 36781 none -------------------------------------------------- Waste Management, Inc. Equities WM 94106L109 $ 987,154 $ 987 30318 sole 30318 none -------------------------------------------------- Web Com Group Inc Com Equities WWWW 94733A104 $ 91,410 $ 91 13096 sole 13096 none -------------------------------------------------- YUM! Brands, Inc. Equities YUM 988498101 $ 930,804 $ 931 18846 sole 18846 none -------------------------------------------------- -------------------------------------------------- $150,581,359 $ 150,581 5,737,324 4,722,783 1,014,541