13F-HR 1 sec13f-hr12312012.txt 13F-HR 12-31-2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 12/31/2012 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: Gary Goldberg Planning Services, Inc. Address: 75 Montebello Road Suffern, NY 10901 Form 13F File Number: 28-____________ 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: Thomas A. Cattani Title: Chief Compliance Officer Phone: 845-875-6502 Signature, Place, and Date of Signing: /s/ Thomas A. Cattani Suffern, NY 2/13/13 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 304 Form 13F Information Table Value Total: $114,095 (thousands) List of Other Included Managers: [If there are no entries in this list, state NONE and omit the column headings and list entries.] NONE NAME OF ISSUER TITLE OF CLASS CUSIP VALUE SHARE INV VTNG (TH'SNDS) DISC AUTH 3M COMPANY COM 88579Y101 65 699 Sole None ABBOTT LABORATORIES COM 002824100 399 6,087 Sole None ABERDEEN ASIA PACIFIC INCOME FD INC COM 003009107 25 3,200 Sole None AETNA INC NEW COM COM 00817Y108 32 700 Sole None AGL RES INC COM 001204106 4,192 104,889 Sole None ALEXION PHARM INC. COM 015351109 2 24 Sole None ALLEGHENY TECH INC COM 01741R102 167 5,500 Sole None ALLIANCE DATA SYS CORP COM 018581108 4 28 Sole None ALTRIA GROUP INC COM 02209S103 1,093 34,757 Sole None AMAZON.COM INC COM 023135106 19 75 Sole None AMERICAN EXPRESS CO COM 025816109 6 105 Sole None AMERICAN INTL GROUP INC COM NEW COM 026874784 1 17 Sole None AMERICAN TOWER CORP COM 03027X100 15 195 Sole None AMERIPRISE FINL INC COM COM 03076C106 1 21 Sole None AMGEN INC COM 031162100 56 648 Sole None APACHE CORP COM 037411105 39 500 Sole None APOLLO INVT CORP COM 03761U106 8 950 Sole None APPLE INC COM 037833100 4,298 8,076 Sole None APPLIED MATERIALS INC COM 038222105 3 300 Sole None ARCHER DANIELS MIDLAND COM 039483102 57 2,095 Sole None ASIAINFO-LINKAGE INC COM COM 04518A104 1 100 Sole None ASML HOLDING NV SHS N07059210 2 29 Sole None AUTOMATIC DATA PROCESSING INC COM 053015103 11 200 Sole None AVALON RARE METALS INC COM 053470100 2 1,700 Sole None B & G FOODS INC NEW COM COM 05508R106 23 825 Sole None BAKER HUGHES INC COM 057224107 3 75 Sole None BALCHEM CORP FRMLY CL B TO 11/04/1987 COM 057665200 11 300 Sole None BANK OF AMERICA CORP COM 060505104 23 1,954 Sole None BAXTER INTL INC COM 071813109 9 140 Sole None BCE INC COM 05534B760 2 54 Sole None BECTON DICKINSON CO COM 075887109 320 4,089 Sole None BED BATH & BEYOND INC COM 075896100 312 5,580 Sole None BERKLEY W R CORP COM 084423102 34 900 Sole None BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 179 2,000 Sole None BIOGEN IDEC INC COM 09062X103 3 21 Sole None BLACKROCK CORE BD TR SHS BEN INT 09249E101 20 1,365 Sole None BLACKROCK HIGH YIELD TR SH BEN INT 09248N102 15 2,000 Sole None BLACKROCK INC COM 09247X101 43 206 Sole None BLACKROCK KELSO CAP CORPORATION COM 092533108 3 300 Sole None BLACKROCK SR HIGH INCOME FD INC COM COM 09255T109 15 3,500 Sole None BOEING CO COM 097023105 17 225 Sole None BP PLC SPONSORED ADR 055622104 17 399 Sole None BRISTOL MYERS SQUIBB COM 110122108 199 6,115 Sole None C S X CORP COM 126408103 85 4,315 Sole None CALAMOS CONV & HIGH INCOME FD COM SHS 12811P108 2 150 Sole None CALAMOS CONV OPP AND INC FD SH BEN INT 128117108 12 1,000 Sole None CALAMOS STRATEGIC TOTAL RETURN COM SH BEN INT 128125101 12 1,227 Sole None CARNIVAL CORP PAIRED CTF 143658300 4 100 Sole None CATERPILLAR INC DEL COM 149123101 147 1,640 Sole None CEMEX S.A.B. DE C.V. SPON ADR NEW 151290889 2 240 Sole None CENTURYLINK INC COM 156700106 4,345 111,058 Sole None CHESAPEAKE ENERGY CORPORATION COM 165167107 7 400 Sole None CHEVRON CORP NEW COM 166764100 310 2,866 Sole None CHICOS FAS INC COM 168615102 14 780 Sole None CHINA NAT GAS INC COM NEW 1 PUT 168910206 0 1,000 Sole None CHURCH & DWIGHT INC COM 171340102 3 50 Sole None CINCINNATI FINL CORP COM 172062101 18 470 Sole None CISCO SYS INC COM 17275R102 301 15,327 Sole None CITIGROUP INC COM NEW 172967424 17 425 Sole None CME GROUP INC COM 12572Q105 5,067 100,000 Sole None COACH INC COM 189754104 28 500 Sole None COCA COLA CO COM 191216100 265 7,320 Sole None COGNIZANT TECH SOLUTIONS CORP CL A 192446102 65 875 Sole None COHEN & STEERS QUALITY RLTY COM 19247L106 10 940 Sole None COLGATE-PALMOLIVE CO COM 194162103 84 805 Sole None COLUMBIA SPORTSWEAR CO COM 198516106 5 100 Sole None COMCAST CORP NEW CL A 20030N101 38 1,030 Sole None COMPASS MINERALS INTL INC COM 20451N101 22 300 Sole None CONOCOPHILLIPS COM 20825C104 2,288 39,452 Sole None CONSOLIDATED EDISON HLDG CO INC COM 209115104 242 4,355 Sole None COSTCO WHOLESALE CORP COM 22160K105 39 393 Sole None COURIER CORP COM 222660102 10 900 Sole None COVIDIEN PLC SHS G2554F113 30 525 Sole None CPFL ENERGIA SA SPONSORED ADR 126153105 15 700 Sole None CROWN CASTLE INTL CORP COM 228227104 3 35 Sole None CURTISS-WRIGHT CORP COM 231561101 97 2,968 Sole None CVS CAREMARK CORP COM 126650100 405 8,385 Sole None DARDEN RESTAURANTS COM 237194105 45 998 Sole None DEERE & COMPANY COM 244199105 403 4,668 Sole None DELL INC COM 24702R101 10 945 Sole None DENBURY RES INC COM NEW 247916208 3 200 Sole None DEVON ENERGY CORP NEW COM 25179M103 18 350 Sole None DIAGEO P L C SPON ADR 25243Q205 34 290 Sole None DIAMOND OFFSHORE DRILLING INC COM 25271C102 5 75 Sole None DICKS SPORTING GOODS INC COM 253393102 136 3,000 Sole None DIREXION SHS ETF TR DLY SMCAP BEAR3X25459W110 22 1,600 Sole None DISCOVER FINL SVCS COM 254709108 3 71 Sole None DISNEY WALT CO COM DISNEY 254687106 172 3,452 Sole None DOLLAR GENERAL CORP COM 256677105 2 46 Sole None DOW CHEMICAL CO COM 260543103 91 2,824 Sole None DREAM MARKETING INC COM ADR 26153A107 - 10 Sole None DU PONT E I DE NEMOURS & CO COM 263534109 24 525 Sole None DUFF & PHELPS GLOBAL UTIL INCOME FD COM 26433C105 23 1,376 Sole None DUKE ENERGY CORP NEW COM 26441C204 3,366 52,753 Sole None DWS HIGH INCOME TR SHS NEW SHS 23337C208 12 1,200 Sole None E M C CORP MASS COM 268648102 25 1,000 Sole None EATON VANCE TAX MNGD GBL DV COM 27829F108 26 2,900 Sole None ECA MARCELLUS TRUST I COM UNIT 26827L109 8 500 Sole None EMERSON ELECTRIC CO COM 291011104 147 2,770 Sole None ENCANA CORPORATION COM 292505104 21 1,075 Sole None ENERPLUS CORPORATION COM 292766102 16 1,200 Sole None ENSCO PLC SHS CLASS A G3157S106 170 2,875 Sole None ENTERGY CORP NEW COM 29364G103 2,905 45,573 Sole None EQUINIX INC NEW COM 29444U502 4 19 Sole None EXXON MOBIL CORP COM 30231G102 737 8,511 Sole None EYECASHNETWORKS INC PUT 30232F103 - 10 Sole None FAMILY DOLLAR STORES INC COM 307000109 10 150 Sole None FASTENAL CO COM 311900104 140 2,993 Sole None FEDERATED INVESTORS INC CL B CL B 314211103 701 34,649 Sole None FIRST TR DJS MICROCAP INDEX COM SHS ANNUAL 33718M105 62 2,714 Sole None FLAHERTY & CRUMRINE / CLAYMORE PFD SE COM SHS 338478100 76 3,895 Sole None FOOT LOCKER INC COM 344849104 2 59 Sole None FORD MTR CO DEL COM PAR $0.01 345370860 45 3,500 Sole None FRISBY TECHNOLGIES INC COM IPO 358743102 - 1,000 Sole None FRONTIER COMMUNICATIONS CORP COM COM 35906A108 64 15,053 Sole None GABELLI EQUITY TR INC COM 362397101 67 12,000 Sole None GABELLI HEALTHCARE & WELLNESS TR SHS SHS 36246K103 9 1,000 Sole None GAMCO GLOBAL GOLD NAT RES & INCOME COM USDCOM SHS BEN 36465A109 691 53,960 Sole None GENERAL ELECTRIC CO COM 369604103 259 12,358 Sole None GENERAL MILLS INC COM 370334104 131 3,230 Sole None GENERAL MOTORS CO COM SHS BEN 37045V100 1 49 Sole None GILEAD SCIENCES INC COM 375558103 20 277 Sole None GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 3,968 91,282 Sole None GOLDMAN SACHS GROUP INC COM 38141G104 54 420 Sole None GOOGLE INC CL A CL A 38259P508 560 792 Sole None GRAINGER W W INC COM 384802104 67 330 Sole None HALLIBURTON CO COM 406216101 56 1,600 Sole None HANCOCK JOHN INVS TR SBI COM 410142103 18 800 Sole None HARLEY DAVIDSON INC COM COM 412822108 5 102 Sole None HCA HLDGS INC COM 40412C101 4 137 Sole None HEINZ H J CO COM 423074103 1,128 19,558 Sole None HERSHEY CO COM 427866108 2 28 Sole None HESS CORP COM COM 42809H107 16 300 Sole None HEWLETT-PACKARD CO DE COM 428236103 19 1,300 Sole None HOME DEPOT INC COM 437076102 70 1,129 Sole None HUDSON CITY BANCORP INC COM 443683107 16 2,007 Sole None HUNTINGTON INGALLS INDS INC COM COM 446413106 14 316 Sole None ILLINOIS TOOL WORKS COM 452308109 23 375 Sole None INTEGRYS ENERGY GROUP INC COM 45822P105 14 260 Sole None INTEL CORP COM 458140100 184 8,927 Sole None INTL BUSINESS MACH COM 459200101 4,016 20,964 Sole None IRON MOUNTAIN INC DEL COM 462846106 8 249 Sole None ISHARES TR BARCLYS TIPS BD 464287176 148 1,215 Sole None ISHARES TR CONS GOOD IDX 464287812 7 100 Sole None ISHARES TR CORE S&P SCP ETF464287804 28 360 Sole None ISHARES TR CORE S&P500 ETF 464287200 8 55 Sole None ISHARES TR DJ BROKER-DEAL 464288794 2 100 Sole None ISHARES TR DJ US INDEX FD 464287846 203 2,828 Sole None ISHARES TR DJ US UTILS 464287697 183 2,115 Sole None ISHARES TR HIGH YLD CORP 464288513 28 295 Sole None ISHARES TR IBOXX INV CPBD 464287242 650 5,372 Sole None ISHARES TR MSCI EAFE INDEX 464287465 855 15,043 Sole None ISHARES TR MSCI EMERG MKT 464287234 52 1,175 Sole None ISHARES TR RUSL 2000 VALU 464287630 23 305 Sole None ISHARES TR RUSSELL 2000 464287655 963 11,416 Sole None ISHARES TR RUSSELL1000GRW 464287614 26 400 Sole None ISHARES TR s&P NA NAT RES 464287374 32 850 Sole None ISHARES TR US PFD STK IDX 464288687 976 24,646 Sole None ISHARES TR DJ SEL DIV INX 464287168 966 16,872 Sole None JOHNSON & JOHNSON COM 478160104 378 5,389 Sole None JOHNSON CTLS INC COM 478366107 15 500 Sole None JPMORGAN CHASE & CO COM 46625H100 74 1,679 Sole None KAYNE ANDERSON MLP INVT CO COM 486606106 15 500 Sole None KIMBERLY CLARK CORP COM 494368103 160 1,898 Sole None KINDER MORGAN INC DELAWARE COM COM 49456B101 25 700 Sole None KINDER MORGAN MGMT LLC SHS SHS 49455U100 47 627 Sole None KINROSS GOLD CORP COM NO PAR 496902404 0 44 Sole None KOHLS CORP COM 500255104 128 2,972 Sole None KRAFT FOODS GROUP INC COM NPV COM 50076Q106 99 2,182 Sole None LEGGETT & PLATT INC COM 524660107 4,363 160,298 Sole None LIBERTY ALL STAR EQUITY FD SBI SH BEN INT 530158104 30 6,310 Sole None LIBERTY ALL-STAR GROWTH FUND COM 529900102 21 5,256 Sole None LIFE TECHNOLOGIES CORP COM COM 53217V109 103 2,100 Sole None LILLY ELI & CO COM 532457108 4,284 86,868 Sole None LIMITED BRANDS INC COM 532716107 24 500 Sole None LOCKHEED MARTIN CORP COM 539830109 4,344 47,073 Sole None LORILLARD INC COM COM 544147101 3,865 33,125 Sole None LOWES COMPANIES COM 548661107 11 300 Sole None MACYS INC COM 55616P104 3 67 Sole None MANITOWOC INC COM 563571108 2 100 Sole None MASTERCARD INC CL A 57636Q104 77 156 Sole None MCDONALDS CORP COM 580135101 1,882 21,338 Sole None MEDTRONIC INC COM 585055106 17 420 Sole None MEMC ELECTRONICS MATERIALS INC COM 552715104 0 100 Sole None MERCK & CO INC NEW COM COM 58933Y105 920 22,483 Sole None METLIFE INC COM COM 59156R108 201 6,105 Sole None MICROSOFT CORP COM 594918104 705 26,404 Sole None MIDDLEBY CORP COM 596278101 3 25 Sole None MOLSON COORS BREWING CO CL B CL B 60871R209 25 575 Sole None MONDELEZ INTL INC COM CL A 609207105 197 7,749 Sole None MONSANTO CO NEW COM 61166W101 114 1,207 Sole None MOTOROLA SOLUTIONS INC COM NEW COM 620076307 2 40 Sole None MURPHY OIL CORP COM 626717102 174 2,925 Sole None MV OIL TR UNITS 553859109 135 5,668 Sole None NEWMARKET CORP COM 651587107 26 100 Sole None NIKE INC CLASS B CLASS B 654106103 128 2,486 Sole None NISOURCE INC COM 65473P105 2 89 Sole None NOKIA CORP SPONSORED ADR 654902204 1 260 Sole None NORTHEAST UTILITIES COM 664397106 31 787 Sole None NORTHROP GRUMMAN CORP HOLDING CO COM 666807102 122 1,800 Sole None NOVO-NORDISK AS ADR 670100205 64 390 Sole None NUVEEN EQUITY PREM OPPORTUNITY FD COM 6706EM102 2,366 196,029 Sole None NUVEEN N J INVT QLTY MUN FD INC COM 670971100 150 9,811 Sole None NUVEEN N J PREM INCOME MUN FD INC COM 67101N106 119 7,221 Sole None NUVEEN N Y INVT QUALITY MUN COM 67062X101 93 6,000 Sole None NUVEEN NJ DIV ADVANTAGE MUN COM 67069Y102 47 3,071 Sole None NUVEEN REAL ESTATE INCOME FD COM 67071B108 673 64,181 Sole None OCCIDENTAL PETE CORP DEL COM 674599105 5 61 Sole None ORACLE CORPORATION COM 68389X105 115 3,448 Sole None ORION MARINE GROUP INC COM COM 68628V308 1 150 Sole None OSHKOSH CORP COM 688239201 3 100 Sole None PARKER HANNIFIN CORP COM 701094104 279 3,279 Sole None PENGROWTH ENERGY CORP COM 70706P104 28 5,620 Sole None PENN WEST PETROLEUM LTD COM 707887105 5 500 Sole None PENTAIR LTD SHS H6169Q108 0 5 Sole None PEPSICO INC COM 713448108 1,503 21,957 Sole None PERRIGO CO COM 714290103 3 29 Sole None PFIZER INC COM 717081103 874 34,838 Sole None PG & E CORP COM 69331C108 18 450 Sole None PHILIP MORRIS INTL INC COM COM 718172109 124 1,485 Sole None PHILLIPS 66 COM COM 718546104 235 4,423 Sole None PIEDMONT NATURAL GAS CO N C COM 720186105 6 200 Sole None PIMCO CORPORATE & INCOME OPPOR COM 72201B101 25 1,269 Sole None PIMCO CORPORATE &INCOME STRAT COM 72200U100 99 5,590 Sole None PINNACLE WEST CAP CP COM 723484101 14 275 Sole None PIONEER HIGH INCOME TR COM 72369H106 8 500 Sole None PITNEY BOWES INC COM 724479100 7 630 Sole None POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 0 3 Sole None PPL CORP COM 69351T106 649 22,685 Sole None PRAXAIR INC COM 74005P104 109 1,000 Sole None PROCTER & GAMBLE CO COM 742718109 283 4,172 Sole None PROSPECT CAP CORP COM 74348T102 2 200 Sole None PUBLIC SERVICE ENTERPRISE GROUP INC COM 744573106 2,998 97,974 Sole None QUALCOMM INC COM 747525103 38 620 Sole None RALPH LAUREN CORP CL A 751212101 30 200 Sole None RAYTHEON CO COM NEW COM 755111507 78 1,363 Sole None REYNOLDS AMERN INC COM 761713106 5 110 Sole None RICKS CABARET INTL INC COM 765641303 2 200 Sole None ROSS STORES INC COM 778296103 2 37 Sole None ROYAL DUTCH SHELL PLC SPON ADR B 780259107 3,605 50,860 Sole None ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 529 7,677 Sole None RYDEX ETF TRUST GUG S&P500 EQ WT78355W841 420 5,355 Sole None RYDEX ETF TRUST GUG S&P500 EQ WT78355W106 13 240 Sole None SANOFI SPONSORED ADR ADR 80105N105 2,938 62,003 Sole None SCANA CORP NEW COM 80589M102 82 1,794 Sole None SCHLUMBERGER LIMITED COM 806857108 300 4,326 Sole None SEAGATE TECHNOLOGY PLC SHS G7945M107 2 75 Sole None SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 734 15,465 Sole None SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 1,751 50,164 Sole None SOLAR CAP LTD COM COM 83413U100 5 200 Sole None SOTHEBYS HLDGS INC DELAWARE COM 835898107 13 400 Sole None SOURCE CAP INC COM 836144105 2 40 Sole None SOUTHERN CO COM 842587107 640 14,952 Sole None SOUTHERN COPPER CORP DEL COM COM 84265V105 15 404 Sole None SPDR GOLD TR GOLD SHS 78463V107 2 10 Sole None SPDR INDEX SHS FDS S&P INTL ETF 78463X772 19 400 Sole None SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 3 100 Sole None SPDR S&P 500 ETF TR TR UNIT 78462F103 272 1,908 Sole None SPDR SERIES TRUST BRC HGH YLD BD 78464A417 18 438 Sole None SPDR SERIES TRUST S&P DIVID ETF 78464A763 1,465 25,182 Sole None SPRINT NEXTEL CORP FON SHS COM SER 1 852061100 2 325 Sole None STANLEY BLACK & DECKER INC COM USD2.50 COM 854502101 9 127 Sole None STARBUCKS CORP COM 855244109 239 4,453 Sole None STRYKER CORP COM 863667101 83 1,517 Sole None SUNCOKE ENERGY INC COM 86722A103 2 106 Sole None TARGET CORP COM 87612E106 228 3,850 Sole None TE CONNECTIVITY LTD REG SHS H84989104 1 25 Sole None TEVA PHARMACEUTICAL INDUSTRIES ADR 881624209 2 62 Sole None TIME WARNER CABLE INC COM COM 88732J207 0 1 Sole None TIME WARNER INC NEW COM NEW COM 887317303 0 4 Sole None TIVO INC COM 888706108 18 1,500 Sole None TJX COMPANIES INC COM 872540109 1,569 36,970 Sole None TOLL BROS INC COM 889478103 2 65 Sole None TOTAL S A SPONSORED ADR 89151E109 4,098 78,792 Sole None TRANSOCEAN LTD REG SHS H8817H100 6 135 Sole None TRANSWITCH CORP COM NEW COM 894065309 6 9,500 Sole None TRAVELERS COS INC COM COM 89417E109 4 56 Sole None TYCO INTERNATIONAL LTD SHS H89128104 1 25 Sole None ULTA SALON COSMETCS & FRAG INC COM 90384S303 3 30 Sole None UNILEVER NV N Y SHS 904784709 14 358 Sole None UNILEVER PLC ADS-EA REPR 1 ORD GPB0.03111 ADR 904767704 372 9,608 Sole None UNITED PARCEL SVC INC CL B CL B 911312106 38 511 Sole None UNITED TECHNOLOGIES CORP COM 913017109 255 3,114 Sole None UNUM GROUP COM 91529Y106 46 2,200 Sole None US BANCORP DEL COM NEW COM 902973304 20 640 Sole None USG CORP COM NEW COM 903293405 8 300 Sole None VERISIGN INC COM 92343E102 2 48 Sole None VERIZON COMMUNICATIONS COM 92343V104 5,873 135,724 Sole None VISA INC COM CL A 92826C839 40 261 Sole None VMWARE INC CL A COM COM 928563402 94 1,000 Sole None VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 15 586 Sole None WALGREEN COMPANY COM 931422109 100 2,700 Sole None WALMART STORES INC COM 931142103 1,509 22,117 Sole None WARREN RES INC COM 93564A100 71 25,201 Sole None WASTE MANAGEMENT INC COM 94106L109 690 20,446 Sole None WENDYS CO COM 95058W100 4 850 Sole None WHOLE FOODS MKT INC COM 966837106 3 36 Sole None WILLIAMS COS INC COM 969457100 2 66 Sole None WISDOMTREE EMG MKTS SMCAP 97717W281 49 1,000 Sole None WISDOMTREE EQTY INC ETF 97717W208 30 660 Sole None WYNDHAM WORLDWIDE CORP COM COM 98310W108 3 49 Sole None XCEL ENERGY INC COM COM 98389B100 2 67 Sole None YUM! BRANDS INC COM 988498101 106 1,593 Sole None