-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, LZ1eg/axzOCvD0x8QFQd4bfcMDY4uLod1zZUW55Vq41ZUrmbJfJp0WuGzEZmjnME sP/53hHwGCqCYeEBNozYFw== 0000912057-01-525110.txt : 20010726 0000912057-01-525110.hdr.sgml : 20010726 ACCESSION NUMBER: 0000912057-01-525110 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010630 FILED AS OF DATE: 20010725 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DAIN RAUSCHER CORP CENTRAL INDEX KEY: 0000050916 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 411228350 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-04069 FILM NUMBER: 1688611 BUSINESS ADDRESS: STREET 1: DAIN BOSWORTH PLAZA STREET 2: 60 SOUTH SIXTH ST CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: 6123717750 FORMER COMPANY: FORMER CONFORMED NAME: INTERRA FINANCIAL INC DATE OF NAME CHANGE: 19970210 FORMER COMPANY: FORMER CONFORMED NAME: INTER REGIONAL FINANCIAL GROUP INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: DAIN KALMAN & CO INC DATE OF NAME CHANGE: 19680207 13F-HR 1 a2054375z13f-hr.txt FORM 13F UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Quarter Ended: 06/30/01 --------------------------- 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: Dain Rauscher Incorporated --------------------------------------------- Address: 60 South 6th Street --------------------------------------------- Minneapolis, MN 55402-4421 --------------------------------------------- --------------------------------------------- Form 13F File Number: 28- 04069 --------- 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: Renee Polk --------------------------------------------- Title: Vice President --------------------------------------------- Phone: (612) 371-2914 --------------------------------------------- Signature, Place, and Date of Signing: ------------------------------ ------------------------------ --------- [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).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ------------------------- Form 13F Information Table Entry Total: 16,504,794 ------------------------- Form 13F Information Table Value Total: 391,506 ------------------------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.]
No. Form 13F File Number Name 28- None ------ --------------------------- -----------------------------
[Repeat as necessary.] 10 PORTVUE-SEC13F.LRP RUN DATE: 07/02/01 3:42 P.M. DAIN RAUSCHER INCORPORATED DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE: 06/30/01
(ITEM 1) (ITEM 2) (ITEM 3) (ITEM 4) (ITEM 5) - --------- --------- --------- --------- --------- NAME TITLE FAIR SHARES OR OF OF CUSIP MARKET PRINCIPAL ISSUER CLASS NUMBER VALUE AMOUNT - ------------------------------ -------- --------- --------------- ------------ ADC TELECOMMUNICATION INC COM COMMON 000886101 $696,425.00 105,519 ABN AMRO HLDG N V SPONSORED AD COMMON 000937102 $8,462.00 447 ABM INDS INC COM COMMON 000957100 $13,038.00 350 ACT MFG INC COMMON 000973107 $56,067.00 5,125 AFLAC INC COM COMMON 001055102 $1,597,866.00 50,742 AIM ADVISOR FDS INC FLEX FD CL COMMON 001405307 $85,934.00 6,086 AK STL HLDG CORP COM COMMON 001547108 $5,016.00 400 AMR CORP COMMON 001765106 $68,828.00 1,905 AMR CORP 7.875% PINES PREFERR 001765866 $124,500.00 5,002 AT&T CORP COMMON 001957109 $2,130,568.00 96,844 AT&T CORP LIBERTY MEDIA CL A COMMON 001957208 $932,182.00 53,298 AT & T WIRELESS GROUP COMMON 001957406 $282,839.00 17,299 AVX CORP NEW COM COMMON 002444107 $4,200.00 200 ABBOTT LABS COMMON 002824100 $2,075,904.00 43,248 ABERCROMBIE & FITCH CO CL A COMMON 002896207 $235,956.00 5,300 ABBEY NATL PLC SP ADR PFD A PREFERR 002920205 $51,200.00 2,000 ABERDEEN ASIA PACIFIC INCOME F COMMON 003009107 $343,370.00 83,545 ABIOMED INC COM COMMON 003654100 $1,179.00 50 ABSOLUTE ENTMT INC COM COMMON 003863107 $0.00 2,500 ABITIBI-CONSOLIDATED INC COM COMMON 003924107 $2,027.00 265 ACTIVISION INC NEW COM NEW COMMON 004930202 $137,375.00 3,500 ADMINISTAFF INC COM COMMON 007094105 $9,360.00 360 ADVANCED DIGITAL INFO CORP COM COMMON 007525108 $655,272.00 37,877 ADVANCED MICRO DEVICES COMMON 007903107 $130,050.00 4,500 AEGON N.V. COM COMMON 007924103 $124,278.00 4,376 ADVENT SOFTWARE INC COM COMMON 007974108 $89,472.00 1,409 AFFILIATED COMPUTER SVCS INCCL COMMON 008190100 $17,618.00 245 AIRBORNE INC COMMON 009269101 $19,703.00 1,700 ALABAMA POWER CO 7% PFD SR NOT PREFERR 010392629 $4,922.00 200 ALABAMA POWER CO 7% SER B SR N PREFERR 010392637 $6,162.00 250 ALABAMA PWR CO 7.18 % 12/01/47 PREFERR 010392645 $6,556.00 265 (ITEM 1) (ITEM 6) (ITEM 7) (ITEM 8) INVESTMENT VOTING AUTHORITY DISCRETION (SHARES) - --------- --------- --------- --------- NAME OF SOLE SHARED OTHER SOLE SHARED NONE ISSUER (A) (B) (C) MGR (A) (B) (C) - ------------------------------ --------- --------- --------- --------- --------- --------- --------- ADC TELECOMMUNICATION INC COM X 105,519 ABN AMRO HLDG N V SPONSORED AD X 447 ABM INDS INC COM X 350 ACT MFG INC X 5,125 AFLAC INC COM X 50,742 AIM ADVISOR FDS INC FLEX FD CL X 6,086 AK STL HLDG CORP COM X 400 AMR CORP X 1,905 AMR CORP 7.875% PINES X 5,002 AT&T CORP X 96,844 AT&T CORP LIBERTY MEDIA CL A X 53,298 AT & T WIRELESS GROUP X 17,299 AVX CORP NEW COM X 200 ABBOTT LABS X 43,248 ABERCROMBIE & FITCH CO CL A X 5,300 ABBEY NATL PLC SP ADR PFD A X 2,000 ABERDEEN ASIA PACIFIC INCOME F X 83,545 ABIOMED INC COM X 50 ABSOLUTE ENTMT INC COM X 2,500 ABITIBI-CONSOLIDATED INC COM X 265 ACTIVISION INC NEW COM NEW X 3,500 ADMINISTAFF INC COM X 360 ADVANCED DIGITAL INFO CORP COM X 37,877 ADVANCED MICRO DEVICES X 4,500 AEGON N.V. COM X 4,376 ADVENT SOFTWARE INC COM X 1,409 AFFILIATED COMPUTER SVCS INCCL X 245 AIRBORNE INC X 1,700 ALABAMA POWER CO 7% PFD SR NOT X 200 ALABAMA POWER CO 7% SER B SR N X 250 ALABAMA PWR CO 7.18 % 12/01/47 X 265 ALASKA AIRGROUP COMMON 011659109 $2,890.00 100 ALBERTO-CULVER CO COMMON 013068101 $14,294.00 340 ALBERTSONS INC COMMON 013104104 $539,040.00 17,974 ALUMINUM CO OF AMERICA COMMON 013817101 $584,026.00 14,823 ALLEGHENY ENERGY INC COMMON 017361106 $48,250.00 1,000 ALLETE COM COMMON 018522102 $9,000.00 400 ALLIANCE PHARMACEUTICAL CORP C COMMON 018773101 $450.00 200 ALLIANT ENERGY CORP COMMON 018802108 $17,490.00 600 ALLIED RISER COMMUNICATIONS CO COMMON 019496108 $29,150.00 55,000 ALLIED WASTE INDS INC COM NEW COMMON 019589308 $164,384.00 8,800 ALLSTATE CORP COMMON 020002101 $577,501.00 13,128 ALLTEL CORP COMMON 020039103 $1,574,198.00 25,697 ALPHA INDS INC COMMON 020753109 $177,300.00 6,000 ALPHARMA INC CL A COMMON 020813101 $155,325.00 5,700 ALSTOM ADR SPONSORED COMMON 021244108 $92,070.00 3,300 ALTERA CORP COMMON 021441100 $414,874.00 14,306 AMAZON COM INC COM COMMON 023135106 $61,128.00 4,320 AMBAC INC COM COMMON 023139108 $1,746.00 30 AMBAC FINANCIAL GROUP 7.08% DE PREFERR 023139306 $107,228.00 4,315 AMERCO PFD SER A % PREFERR 023586209 $24,000.00 1,000 AMEREN CORP COM COMMON 023608102 $32,025.00 750 AMERICAN BK NT HOLOGRAPHICS CO COMMON 024377103 $462.00 200 AMERICAN CABLE TV INVESTORS 5 COMMON 024809402 $0.00 20 AMERICAN ELECTRIC POWER COMMON 025537101 $50,787.00 1,100 AMERICAN EXPRESS CO COMMON 025816109 $793,887.00 20,461 AMERICAN FINL CAP TR I TOPS 9. PREFERR 026077206 $25,150.00 1,000 AMERICAN FINL CORP OHIO PFD SE PREFERR 026087858 $22,073.00 1,090 AMERICAN HOME PRODS CORPORATIO COMMON 026609107 $989,820.00 16,848 AMERICAN INTL GROUP INC COMMON 026874107 $3,082,378.00 36,259 AMERICAN ITALIAN PASTA CO CL A COMMON 027070101 $290,000.00 6,250 AMERICAN MUN TERM TR INC II COMMON 027653104 $49,680.00 4,600 AMERICAN PWR CONVERSION CORPCO COMMON 029066107 $184,669.00 11,725 AMERICAN RE CAP GTD QRT INC PF PREFERR 029162203 $83,332.00 3,320 AMERICAN STD COS INC DEL COMMON 029712106 $12,020.00 200 AMERICAN STATES WTR CO COMMON 029899101 $141,100.00 4,150 AMERN TECHNOLOGIES GRP INC COM COMMON 030143101 $5.00 1,000 AMGEN INC COMMON 031162100 $5,494,938.00 90,556 AMKOR TECHNOLOGY INC COM COMMON 031652100 $8,840.00 400 AMPEX CORP DEL COMMON 032092108 $96,449.00 283,673 AMPHENOL CORP NEW CL A COMMON 032095101 $9,612.00 240 AMSOUTH BANCORP COMMON 032165102 $87,624.00 4,739 ANADARKO PETE CORP COM COMMON 032511107 $794,472.00 14,737 ANADIGICS INC COM COMMON 032515108 $2,645.00 115 ANALOG DEVICES INC COMMON 032654105 $63,578.00 1,470 ANALYSTS INTERNATIONAL CORP COMMON 032681108 $4,460.00 1,000 ANCHOR BANCORP WIS INC COM COMMON 032839102 $119,250.00 7,500 ALASKA AIRGROUP X 100 ALBERTO-CULVER CO X 340 ALBERTSONS INC X 17,974 ALUMINUM CO OF AMERICA X 14,823 ALLEGHENY ENERGY INC X 1,000 ALLETE COM X 400 ALLIANCE PHARMACEUTICAL CORP C X 200 ALLIANT ENERGY CORP X 600 ALLIED RISER COMMUNICATIONS CO X 55,000 ALLIED WASTE INDS INC COM NEW X 8,800 ALLSTATE CORP X 13,128 ALLTEL CORP X 25,697 ALPHA INDS INC X 6,000 ALPHARMA INC CL A X 5,700 ALSTOM ADR SPONSORED X 3,300 ALTERA CORP X 14,306 AMAZON COM INC COM X 4,320 AMBAC INC COM X 30 AMBAC FINANCIAL GROUP 7.08% DE X 4,315 AMERCO PFD SER A % X 1,000 AMEREN CORP COM X 750 AMERICAN BK NT HOLOGRAPHICS CO X 200 AMERICAN CABLE TV INVESTORS 5 X 20 AMERICAN ELECTRIC POWER X 1,100 AMERICAN EXPRESS CO X 20,461 AMERICAN FINL CAP TR I TOPS 9. X 1,000 AMERICAN FINL CORP OHIO PFD SE X 1,090 AMERICAN HOME PRODS CORPORATIO X 16,848 AMERICAN INTL GROUP INC X 36,259 AMERICAN ITALIAN PASTA CO CL A X 6,250 AMERICAN MUN TERM TR INC II X 4,600 AMERICAN PWR CONVERSION CORPCO X 11,725 AMERICAN RE CAP GTD QRT INC PF X 3,320 AMERICAN STD COS INC DEL X 200 AMERICAN STATES WTR CO X 4,150 AMERN TECHNOLOGIES GRP INC COM X 1,000 AMGEN INC X 90,556 AMKOR TECHNOLOGY INC COM X 400 AMPEX CORP DEL X 283,673 AMPHENOL CORP NEW CL A X 240 AMSOUTH BANCORP X 4,739 ANADARKO PETE CORP COM X 14,737 ANADIGICS INC COM X 115 ANALOG DEVICES INC X 1,470 ANALYSTS INTERNATIONAL CORP X 1,000 ANCHOR BANCORP WIS INC COM X 7,500 ANDREW CORP COMMON 034425108 $4,151.00 225 ANDRX CORPORATION COMMON SHARE COMMON 034553107 $23,100.00 300 ANHEUSER BUSCH COS INC COMMON 035229103 $1,143,959.00 27,766 ANTS SOFTWARE COM COM COMMON 037271103 $945.00 300 APACHE CORPORATION COMMON 037411105 $313,127.00 6,170 APOGEE ENTERPRISES INC COMMON 037598109 $60,701.00 4,860 APPLE COMPUTER INC COMMON 037833100 $27,435.00 1,180 APPLEBEES INTL INC COM COMMON 037899101 $7,680.00 240 APPLERA CORPORATION APPLIED BI COMMON 038020103 $28,087.00 1,050 APPLERA CORPORATION CELERA GEN COMMON 038020202 $305,660.00 7,707 APPLIED MATLS INC COMMON 038222105 $1,238,744.00 25,229 ARADIGM CORP COM COMMON 038505103 $6,825.00 975 ARCH COAL INC COM COMMON 039380100 $16,014.00 619 ARCHSTONE CMNTYS TR SH BEN INT COMMON 039581103 $12,890.00 500 ARMSTRONG WORLD INDUST INC 7.7 PREFERR 042476606 $8,184.00 880 ARROW ELECTRS INC COMMON 042735100 $972.00 40 ARTESYN TECHS INC COMMON 043127109 $2,967.00 230 ASIA PACIFIC FD COM COMMON 044901106 $4,749.00 575 ASK JEEVES INC OC-COM COMMON 045174109 $1,330.00 700 ASPEN TECHNOLOGY INC COMMON 045327103 $4,840.00 200 ASSOCIATED BANCORP COMMON 045487105 $7,918.00 220 AT HOME CORP COM SER A COMMON 045919107 $43,346.00 20,255 ATMEL CORP COMMON 049513104 $390,144.00 28,921 AUTODESK INC COMMON 052769106 $443,870.00 11,900 AUTOMATIC DATA PROCESSING COMMON 053015103 $917,710.00 18,465 AVAYA INC COM COMMON 053499109 $17,824.00 1,301 AVAYA INC CHG(TENDERED SHS 16- COMMON 053499968 $228.00 19 AVERY DENNISON CORP COM COMMON 053611109 $164,381.00 3,220 AVOCENT CORP COM COMMON 053893103 $175,539.00 7,716 AXA SA SPONSORED ADR COMMON 054536107 $56.00 2 AXCELIS TECHNOLOGIES INC COM COMMON 054540109 $76,590.00 5,175 BJ SERVICES CO. COMMON 055482103 $526,495.00 18,155 BMC INDS INC MINN COM COMMON 055607105 $18,000.00 3,000 BP AMOCO ADS COMMON 055622104 $1,808,109.00 36,271 BP PRUDHOE BAY RTY TR UNIT BEN COMMON 055630107 $75,075.00 5,250 BMC SOFTWARE INC COMMON 055921100 $197,789.00 8,775 BAKER HUGHES INC COM COMMON 057224107 $49,848.00 1,488 BALL CORP COMMON 058498106 $2,378.00 50 BANK OF AMERICA CORP COMMON 060505104 $400,220.00 6,667 BANK NEW YORK INC COMMON 064057102 $335,616.00 6,992 BANKAMERICA CAPITAL IV 7% CUM PREFERR 066044207 $32,657.00 1,320 BANTA CORP. COMMON 066821109 $164,080.00 5,600 BARD C R INC N J COMMON 067383109 $18,338.00 322 BARRICK GOLD CORP COMMON 067901108 $651.00 43 BARR LABS INC COM COMMON 068306109 $114,457.00 1,654 BARRA INC COM COMMON 068313105 $53,440.00 1,365 ANDREW CORP X 225 ANDRX CORPORATION COMMON SHARE X 300 ANHEUSER BUSCH COS INC X 27,766 ANTS SOFTWARE COM COM X 300 APACHE CORPORATION X 6,170 APOGEE ENTERPRISES INC X 4,860 APPLE COMPUTER INC X 1,180 APPLEBEES INTL INC COM X 240 APPLERA CORPORATION APPLIED BI X 1,050 APPLERA CORPORATION CELERA GEN X 7,707 APPLIED MATLS INC X 25,229 ARADIGM CORP COM X 975 ARCH COAL INC COM X 619 ARCHSTONE CMNTYS TR SH BEN INT X 500 ARMSTRONG WORLD INDUST INC 7.7 X 880 ARROW ELECTRS INC X 40 ARTESYN TECHS INC X 230 ASIA PACIFIC FD COM X 575 ASK JEEVES INC OC-COM X 700 ASPEN TECHNOLOGY INC X 200 ASSOCIATED BANCORP X 220 AT HOME CORP COM SER A X 20,255 ATMEL CORP X 28,921 AUTODESK INC X 11,900 AUTOMATIC DATA PROCESSING X 18,465 AVAYA INC COM X 1,301 AVAYA INC CHG(TENDERED SHS 16- X 19 AVERY DENNISON CORP COM X 3,220 AVOCENT CORP COM X 7,716 AXA SA SPONSORED ADR X 2 AXCELIS TECHNOLOGIES INC COM X 5,175 BJ SERVICES CO. X 18,155 BMC INDS INC MINN COM X 3,000 BP AMOCO ADS X 36,271 BP PRUDHOE BAY RTY TR UNIT BEN X 5,250 BMC SOFTWARE INC X 8,775 BAKER HUGHES INC COM X 1,488 BALL CORP X 50 BANK OF AMERICA CORP X 6,667 BANK NEW YORK INC X 6,992 BANKAMERICA CAPITAL IV 7% CUM X 1,320 BANTA CORP. X 5,600 BARD C R INC N J X 322 BARRICK GOLD CORP X 43 BARR LABS INC COM X 1,654 BARRA INC COM X 1,365
BAXTER INTL INC COM COMMON 071813109 $446,218.00 8,836 BEA SYS INC COM COMMON 073325102 $232,536.00 7,572 BED BATH & BEYOND INC COM COMMON 075896100 $29,952.00 960 BELL MICROPRODUCTS INC COM COMMON 078137106 $1,076.00 90 BELLSOUTH CAPITAL FNDG 7.375% PREFERR 079857207 $52,685.00 2,050 BELLSOUTH CORP COMMON 079860102 $237,311.00 5,893 BEMIS INC COMMON 081437105 $8,034.00 200 BERKSHIRE HATHAWAY INC DEL COMMON 084670108 $277,600.00 4 BERKSHIRE HATHAWAY INC DEL CL COMMON 084670207 $683,100.00 297 BEST BUY INC COM COMMON 086516101 $25,408.00 400 BEVERLY ENTERPRISES INC COM NE COMMON 087851309 $4,280.00 400 BIOGEN N V COMMON 090597105 $127,202.00 2,340 BIOMET INC COMMON 090613100 $845,856.00 17,600 BIOSITE DIAGNOSTICS INC COM COMMON 090945106 $13,216.00 295 BLACK & DECKER MFG CO COMMON 091797100 $98,650.00 2,500 BLACK BOX CORP COM COMMON 091826107 $62,914.00 934 BLACKROCK N A GOVT INCM TR COM COMMON 092475102 $204.00 20 BLUE CHIP VALUE FD INC COM COMMON 095333100 $40,250.00 5,000 BOEING CO COMMON 097023105 $1,311,715.00 23,592 BOISE CASCADE CORP COMMON 097383103 $17,585.00 500 BORDERS GROUP INC COMMON 099709107 $41,888.00 1,870 BOSTON PPTYS INC COM COMMON 101121101 $45,522.00 1,113 BOSTON SCIENTIFIC CORP COM COMMON 101137107 $187,680.00 11,040 BOWNE & CO INC COMMON 103043105 $31,878.00 2,772 BRANDYWINE RLTY TR SH BEN INT COMMON 105368203 $40,410.00 1,800 BREMER CAP TR I GTD CAP SECS % PREFERR 107006207 $26,750.00 1,000 BRISTOL MYERS SQUIBB CO COM COMMON 110122108 $2,573,212.00 49,201 BRITISH AMERN TOB PLC ADR SPON COMMON 110448107 $72,680.00 4,600 BRITISH TELECOMM P L C ADR FIN COMMON 111021408 $5,625.00 87 BROADCOM CORP COM COMMON 111320107 $251,129.00 5,873 BROADVISION INC COM COMMON 111412102 $17,895.00 3,579 BROADWING INC COMMON 111620100 $56,235.00 2,300 BROCADE COMMUNICATIONS SYS ICO COMMON 111621108 $18,828.00 428 BROWN-FORMAN CORP CLASS B COMMON 115637209 $25,576.00 400 TOM BROWN INC COMMON 115660201 $9,600.00 400 CFB CAP I CUM CAP SECS% PREFERR 125198200 $25,100.00 1,000 CIGNA CORP COMMON 125509109 $21,464.00 224 CIM HIGH YIELD SECS INC COM COMMON 125527101 $248,896.00 51,108 CMGI INC COM COMMON 125750109 $29,670.00 9,890 CNA FINL CORP COMMON 126117100 $35,505.00 900 CSX CORP COMMON 126408103 $1,450.00 40 CTC COMMUNICATIONS GROUP INCCO COMMON 126419100 $22,950.00 7,500 CTS CORP COM COMMON 126501105 $20,500.00 1,000 CVS CORP COMMON 126650100 $222,143.00 5,755 CABLE & WIRELESS PUB LTD CO SP COMMON 126830207 $20,520.00 1,140 CACHEFLOW INC COM COMMON 126946102 $1,972.00 400 BAXTER INTL INC COM X 8,836 BEA SYS INC COM X 7,572 BED BATH & BEYOND INC COM X 960 BELL MICROPRODUCTS INC COM X 90 BELLSOUTH CAPITAL FNDG 7.375% X 2,050 BELLSOUTH CORP X 5,893 BEMIS INC X 200 BERKSHIRE HATHAWAY INC DEL X 4 BERKSHIRE HATHAWAY INC DEL CL X 297 BEST BUY INC COM X 400 BEVERLY ENTERPRISES INC COM NE X 400 BIOGEN N V X 2,340 BIOMET INC X 17,600 BIOSITE DIAGNOSTICS INC COM X 295 BLACK & DECKER MFG CO X 2,500 BLACK BOX CORP COM X 934 BLACKROCK N A GOVT INCM TR COM X 20 BLUE CHIP VALUE FD INC COM X 5,000 BOEING CO X 23,592 BOISE CASCADE CORP X 500 BORDERS GROUP INC X 1,870 BOSTON PPTYS INC COM X 1,113 BOSTON SCIENTIFIC CORP COM X 11,040 BOWNE & CO INC X 2,772 BRANDYWINE RLTY TR SH BEN INT X 1,800 BREMER CAP TR I GTD CAP SECS % X 1,000 BRISTOL MYERS SQUIBB CO COM X 49,201 BRITISH AMERN TOB PLC ADR SPON X 4,600 BRITISH TELECOMM P L C ADR FIN X 87 BROADCOM CORP COM X 5,873 BROADVISION INC COM X 3,579 BROADWING INC X 2,300 BROCADE COMMUNICATIONS SYS ICO X 428 BROWN-FORMAN CORP CLASS B X 400 TOM BROWN INC X 400 CFB CAP I CUM CAP SECS% X 1,000 CIGNA CORP X 224 CIM HIGH YIELD SECS INC COM X 51,108 CMGI INC COM X 9,890 CNA FINL CORP X 900 CSX CORP X 40 CTC COMMUNICATIONS GROUP INCCO X 7,500 CTS CORP COM X 1,000 CVS CORP X 5,755 CABLE & WIRELESS PUB LTD CO SP X 1,140 CACHEFLOW INC COM X 400 CABOT CORP COMMON 127055101 $68,438.00 1,900 CADENCE DESIGNS SYS INC COM COMMON 127387108 $34,093.00 1,830 CALPINE CORP COM COMMON 131347106 $1,261,159.00 33,364 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SATELLITE RADIO HLDGS INCCL X 6,450 XO COMMUNICATIONS INC X 25,687 XILINX INC COM X 7,157 XEROX CORP X 10,150 YAHOO INC COM X 1,866 YELLOW CORP COM X 4,925 ZAMBA CORP COM X 36,000 ZEBRA TECHNOLOGIES CORP CL A X 7,679 ZIONS BANCORPORATION COM X 1,316 ZYGO CORPORATION X 205 ZOLL MED CORP COM X 3,180 AES CORP COM X 5,613 AOL TIME WARNER X 151,524 APT SATELLITE HLDGS LTD ADR SP X 5,000 AT&T CAPITAL CORP 8.25% SR PIN X 577 AASTROM BIOSCIENCES INC COM X 500 ABGENIX INC COM X 500 ABN AMRO CAPTL FUND TR I7.5% C X 250 ABN AMRO CAPITAL FUNDINGTR II X 200 ACTIVE PWR INC COM X 205 ADAPTEC INC COM X 85 ADOBE SYS INC COM X 5,220 ADVANCED FIBRE COMM INC COM X 475 ADVANCED RADIO TELECOM CORP CO X 5 ADVANCED NUTRACEUTICALS INC CO X 106 AETNA U S HEALTHCARE INC COM X 1,800 AFFYMETRIX INC OC-CAP STK X 929 AGERE SYS INC CL A X 1,000 AGILENT TECHNOLOGIES INC COM X 19,590 ALKERMES INC COM COMMON 01642T108 $1,755.00 50 ALLEGHENY TECHNOLOGIES INC COM COMMON 01741R102 $2,714.00 150 ALLIANCE CAPITAL MGMT LTD PART COMMON 01855A101 $365,583.00 6,890 AMDOCS AUTOMATIC COM EXCHANGTR CONVERT 02342R202 $15,150.00 300 AMERICA ONLINE INC CON 0.000% CONVERT 02364JAC8 $29,562.00 55,000 AMERICA MOVIL S A DE C V SPONS COMMON 02364W105 $5,215.00 250 AMERICAN DIVERSIFIED GRP INCCO COMMON 02541M103 $46.00 1,000 AMERICAN EAGLE OUTFITTERS INC. COMMON 02553E106 $121,578.00 3,450 AMERICAN EXPRESS CO CAPITAL TR PREFERR 02583Y205 $26,272.00 1,053 AMERICREDIT CORP COM COMMON 03060R101 $341,052.00 6,565 AMERITRADE HLDG CORP CL A COMMON 03072H109 $42,029.00 5,280 AMERUS GROUP CO COM COMMON 03072M108 $7,094.00 200 APHTON CORP COMMON 03759P101 $43,800.00 2,000 APOGENT TECHNOLOGIES COMMON 03760A101 $71,340.00 2,900 APPLIED MICRO CIRCUITS CORP CD COMMON 03822W109 $49,209.00 2,861 ARIBA INC COM COMMON 04033V104 $10,395.00 1,890 AT HOME CORP 4.75% 12/15/2006 CONVERT 045919AF4 $649,912.00 1,962,000 AVANEX CORP COMMON 05348W109 $4,365.00 450 AZTEC TECHNOLOGY PARTNERS INCO COMMON 05480L101 $3.00 41 BJS WHSL CLUB INC COM COMMON 05548J106 $2,503.00 47 BANK OF NEW YORK CAP III7.05% PREFERR 05563W206 $285,892.00 11,477 BRE PROPERTIES SHS BEN INT COMMON 05564E106 $4,545.00 150 BALLARD PWR SYS INC COM COMMON 05858H104 $36,317.00 780 BANKONE CAPITAL I 8% PREFERRED PREFERR 06421B202 $61,217.00 2,350 BANK ONE CORP COMMON 06423A103 $283,858.00 7,929 BAY VIEW CAP CORP COM COMMON 07262L101 $68,120.00 9,107 BAY VIEW CAP I GTD TR PFD SECS PREFERR 07262R207 $129,375.00 5,750 BEAR STEARNS CAPITAL TRUST II PREFERR 07383J209 $159,413.00 6,415 BIOVAIL CORP (NEW) COMMON 09067J109 $5,046.00 116 BLACKROCK ADVANTAGE TERM TR CO COMMON 09247A101 $213.00 20 BLACKROCK INCOME TR INC COM COMMON 09247F100 $143.00 20 BLACKROCK INSD MUN 2008 TRM CO COMMON 09247K109 $70,512.00 4,520 BLACKROCK STRATEGIC TERM TR CO COMMON 09247P108 $192.00 20 BLACKROCK HIGH YIELD TR SHS COMMON 09248N102 $3,807.00 300 BOSTON CHICKEN INC SUB 7.750% CONVERT 100578AC7 $0.00 17,000 BROOKS AUTOMATION INC COMMON 11434A100 $9,220.00 200 BSQUARE CORP COM COMMON 11776U102 $36,259.00 3,450 BURLINGTON NORTHN SANTA FE COM COMMON 12189T104 $116,382.00 3,841 C H ROBINSON WORLDWIDE INC COM COMMON 12541W100 $2,789.00 100 CNF TRANSN INC COM COMMON 12612W104 $19,210.00 680 CNET NETWORKS INC COMMON 12613R104 $50,700.00 3,900 CPL CAPITAL I 8% CUM SER A (QU PREFERR 12615P205 $2,480.00 100 CABLEVISION SYS CORP COMMON 12686C109 $42,412.00 725 CABOT MICROELECTRONICS CORP CO COMMON 12709P103 $34,720.00 560 CAPITAL ONE FINL CORP COMMON 14040H105 $186,465.00 3,100 CAPSTONE TURBINE CORP COM COMMON 14067D102 $15,573.00 705 ALKERMES INC COM X 50 ALLEGHENY TECHNOLOGIES INC COM X 150 ALLIANCE CAPITAL MGMT LTD PART X 6,890 AMDOCS AUTOMATIC COM EXCHANGTR X 300 AMERICA ONLINE INC CON 0.000% X 55,000 AMERICA MOVIL S A DE C V SPONS X 250 AMERICAN DIVERSIFIED GRP INCCO X 1,000 AMERICAN EAGLE OUTFITTERS INC. X 3,450 AMERICAN EXPRESS CO CAPITAL TR X 1,053 AMERICREDIT CORP COM X 6,565 AMERITRADE HLDG CORP CL A X 5,280 AMERUS GROUP CO COM X 200 APHTON CORP X 2,000 APOGENT TECHNOLOGIES X 2,900 APPLIED MICRO CIRCUITS CORP CD X 2,861 ARIBA INC COM X 1,890 AT HOME CORP 4.75% 12/15/2006 X 1,962,000 AVANEX CORP X 450 AZTEC TECHNOLOGY PARTNERS INCO X 41 BJS WHSL CLUB INC COM X 47 BANK OF NEW YORK CAP III7.05% X 11,477 BRE PROPERTIES SHS BEN INT X 150 BALLARD PWR SYS INC COM X 780 BANKONE CAPITAL I 8% PREFERRED X 2,350 BANK ONE CORP X 7,929 BAY VIEW CAP CORP COM X 9,107 BAY VIEW CAP I GTD TR PFD SECS X 5,750 BEAR STEARNS CAPITAL TRUST II X 6,415 BIOVAIL CORP (NEW) X 116 BLACKROCK ADVANTAGE TERM TR CO X 20 BLACKROCK INCOME TR INC COM X 20 BLACKROCK INSD MUN 2008 TRM CO X 4,520 BLACKROCK STRATEGIC TERM TR CO X 20 BLACKROCK HIGH YIELD TR SHS X 300 BOSTON CHICKEN INC SUB 7.750% X 17,000 BROOKS AUTOMATION INC X 200 BSQUARE CORP COM X 3,450 BURLINGTON NORTHN SANTA FE COM X 3,841 C H ROBINSON WORLDWIDE INC COM X 100 CNF TRANSN INC COM X 680 CNET NETWORKS INC X 3,900 CPL CAPITAL I 8% CUM SER A (QU X 100 CABLEVISION SYS CORP X 725 CABOT MICROELECTRONICS CORP CO X 560 CAPITAL ONE FINL CORP X 3,100 CAPSTONE TURBINE CORP COM X 705 CARDINAL HEALTH INC COMMON 14149Y108 $3,824,739.00 55,431 CARDIOGENESIS CORP COM COMMON 14159W109 $77,910.00 26,500 CELESTICA INC SUB VTG SHS COMMON 15101Q108 $10,352.00 201 CELL ROBOTICS INTL INC COM COMMON 15114K106 $620.00 1,000 CELSION CORP COM COMMON 15117N107 $3,000.00 5,000 CENTENNIAL BANCORP COM COMMON 15133T104 $170,247.00 20,636 CHARTER COMMUNICATIONS INC DCL COMMON 16117M107 $640,000.00 27,409 CHASE CAP VII GTD CAP SECS G PREFERR 16147M200 $276,721.00 11,060 CHASE CAP IV CAP SECS SER D PREFERR 16147N208 $15,619.00 625 CISCO SYS INC COMMON 17275R102 $6,542,791.00 359,494 CITICORP CAP III CAP % 08-15-2 PREFERR 17303U200 $81,705.00 3,250 CITIGROUP INC CAP IV GTD TR PF PREFERR 17305J203 $9,746.00 396 CITIGROUP CAPITAL TR VI 6.875% PREFERR 17305L208 $40,319.00 1,635 CITIGROUP CAPITAL V 7% TRUPS PREFERR 17306K209 $63,680.00 2,530 CITIZENS COMMUNICATIONS COMPAN COMMON 17453B101 $14,195.00 1,178 CLICK2LEARN COM INC COM COMMON 18681S106 $4,860.00 3,000 COGNOS INC COMMON 19244C109 $6,220.00 370 COHEN & STEERS TL RET RLTY COM COMMON 19247R103 $13,205.00 917 COINSTAR INC UNIT COM COMMON 19259P300 $11,125.00 500 COLORADO BUSINESS BANKSHARES C PREFERR 19633E203 $5,175.00 500 COMPASS BANCSHARESS INC COMMON 20449H109 $297,462.00 11,225 COMPUCREDIT CORP COM COMMON 20478N100 $2,210.00 200 CONAGRA CAP L C PFD SER A % PREFERR 20588V208 $5,140.00 200 CONAGRA CAP L C PFD B ADJ RT PREFERR 20588V307 $11,100.00 600 CONSOL ENERGY INC COM COMMON 20854P109 $1,290.00 51 CONSTELLATION BRANDS INC COMMON 21036P108 $214,061.00 5,221 CORPORATE BACKED TR CTFS 2001- PREFERR 21988G791 $25,500.00 1,000 CORP BCKED TR CTF SER 2001-[ ] PREFERR 21988G841 $25,450.00 1,000 CORPORATE BACKED TR CTFS SER 2 PREFERR 21988G866 $46,152.00 1,800 PRISON REALTY TRUST INC SERIES PREFERR 22025Y308 $83.00 6 CORRECTIONS CORP AMER NEW COM COMMON 22025Y407 $159.00 10 COSTCO WHSL CORP (NEW) COMMON 22160K105 $3,001,880.00 73,074 DLJ CAP TR I TR PFD 8.42% PREFERR 23321W202 $50,240.00 2,000 DMC STRATEX NETWORKS INC COMMON 23322L106 $11,150.00 1,115 DQE CAP CORP PINES 8.375% COMMON 23329F201 $25,650.00 1,000 D Q E INC COMMON 23329J104 $21,937.00 975 DEBT STRATEGIES FD INC (NEW) COMMON 24276Q109 $15,903.00 2,243 DEVON ENERGY CORP NEW COMMON 25179M103 $290,062.00 5,525 DIAGEO PLC SPONSORED ADR COMMON 25243Q205 $59,332.00 1,350 DIAL CORP COMMON 25247D101 $7,125.00 500 DOMINION RES INC VA NEW COM COMMON 25746U109 $190,131.00 3,162 DORAL FINL CORP COMMON 25811P100 $102,900.00 3,000 DREYFUS STRATEGIC MUN BD FD COMMON 26202F107 $33,075.00 3,675 DUFF & PHELPS UTIL &CP BD TRCO COMMON 26432K108 $233,961.00 16,966 DUKE CAPITAL FINANCE TR II 7.3 PREFERR 26439E204 $6,248.00 250 DUKE CAPITAL FUNDING TR III 8. PREFERR 26439F201 $5,883.00 222 CARDINAL HEALTH INC X 55,431 CARDIOGENESIS CORP COM X 26,500 CELESTICA INC SUB VTG SHS X 201 CELL ROBOTICS INTL INC COM X 1,000 CELSION CORP COM X 5,000 CENTENNIAL BANCORP COM X 20,636 CHARTER COMMUNICATIONS INC DCL X 27,409 CHASE CAP VII GTD CAP SECS G X 11,060 CHASE CAP IV CAP SECS SER D X 625 CISCO SYS INC X 359,494 CITICORP CAP III CAP % 08-15-2 X 3,250 CITIGROUP INC CAP IV GTD TR PF X 396 CITIGROUP CAPITAL TR VI 6.875% X 1,635 CITIGROUP CAPITAL V 7% TRUPS X 2,530 CITIZENS COMMUNICATIONS COMPAN X 1,178 CLICK2LEARN COM INC COM X 3,000 COGNOS INC X 370 COHEN & STEERS TL RET RLTY COM X 917 COINSTAR INC UNIT COM X 500 COLORADO BUSINESS BANKSHARES C X 500 COMPASS BANCSHARESS INC X 11,225 COMPUCREDIT CORP COM X 200 CONAGRA CAP L C PFD SER A % X 200 CONAGRA CAP L C PFD B ADJ RT X 600 CONSOL ENERGY INC COM X 51 CONSTELLATION BRANDS INC X 5,221 CORPORATE BACKED TR CTFS 2001- X 1,000 CORP BCKED TR CTF SER 2001-[ ] X 1,000 CORPORATE BACKED TR CTFS SER 2 X 1,800 PRISON REALTY TRUST INC SERIES X 6 CORRECTIONS CORP AMER NEW COM X 10 COSTCO WHSL CORP (NEW) X 73,074 DLJ CAP TR I TR PFD 8.42% X 2,000 DMC STRATEX NETWORKS INC X 1,115 DQE CAP CORP PINES 8.375% X 1,000 D Q E INC X 975 DEBT STRATEGIES FD INC (NEW) X 2,243 DEVON ENERGY CORP NEW X 5,525 DIAGEO PLC SPONSORED ADR X 1,350 DIAL CORP X 500 DOMINION RES INC VA NEW COM X 3,162 DORAL FINL CORP X 3,000 DREYFUS STRATEGIC MUN BD FD X 3,675 DUFF & PHELPS UTIL &CP BD TRCO X 16,966 DUKE CAPITAL FINANCE TR II 7.3 X 250 DUKE CAPITAL FUNDING TR III 8. X 222 DUKE ENERGY CAPITAL TRUST II 7 PREFERR 26439G209 $78,311.00 3,145 DYNEGY CLASS A COMMON COMMON 26816Q101 $912,776.00 20,061 EEX CORPORATION NEW COMMON 26842V207 $3,352.00 1,193 ENSCO INTL INC COMMON 26874Q100 $3,042.00 130 EOG RESOURCES INC COMMON 26875P101 $68,434.00 1,925 E PIPHANY INC COM COMMON 26881V100 $11,613.00 1,143 EDWARDS LIFESCIENCES CORP COM COMMON 28176E108 $13,312.00 505 EFUNDS CORP COM COMMON 28224R101 $5,134.00 276 EL PASO CORPORATION COMMON 28336L109 $1,488,826.00 28,337 EL PASO ENERGY PARTNERS, L.P. COMMON 28368B102 $340,168.00 10,799 ENERGEN CORP COM COMMON 29265N108 $82,800.00 3,000 ENERGY EAST CORP COM COMMON 29266M109 $1,141,268.00 54,580 ENRON CAP TR I 8.30% TOPRS PREFERR 29357N206 $57,546.00 2,300 ENTERGY ARK INC PFD $6.08 PREFERR 29364D605 $18,727.00 246 ENTERGY ARK INC PFD $7.80 PREFERR 29364D803 $19,325.00 200 ENTERGY LA INC PFD8%92 $25 PAR PREFERR 29364M803 $10,300.00 400 ENTERGY MISS INC PFD 7.44% PREFERR 29364N603 $22,875.00 250 EQUINIX INC COM COMMON 29444U106 $53.00 50 EQUITY RESIDENTIAL PPTYS TR SH COMMON 29476L107 $37,945.00 671 EUROPE 2001 HOLDRS TR DEPOSITA COMMON 29875G105 $7,235.00 100 EXCEL TECHNOLOGY INC COMMON 30067T103 $2,019,636.00 91,469 EXELON CORP COMMON 30161N101 $115,737.00 1,805 EXPEDITORS INTL WASH XXX(RESTR COMMON 30213010R $14,940.00 249 EXTREME NETWORKS INC COM COMMON 30226D106 $26,550.00 900 EXXON CORPORATION COMMON 30231G102 $4,814,645.00 55,119 FEDEX CORP COMMON 31428X106 $154,770.00 3,850 FELCOR LODGING TR INC COMMON 31430F101 $16,380.00 700 FINISAR CORP COM COMMON 31787A101 $7,472.00 400 FIRST CAPITAL INCOME PROPERTIE COMMON 31941W502 $0.00 2 FIRST CTZNS BANCSHARES NC CL A COMMON 31946M103 $5,425.00 50 FIRST CTZNS BANCSHARES NC CL B COMMON 31946M202 $1,128.00 12 FIRST INDL RLTY TR INC COMMON 32054K103 $87,582.00 2,725 FLEET CAP TR IV GTD TOPS 7.17% CONVERT 33889R206 $17,115.00 700 FORTIS SEC INC COM COMMON 34955T100 $50,432.00 6,400 FOUNDRY NETWORKS INC COMMON 35063R100 $3,996.00 200 FOUR SEASONS HOTELS INC LTD VT COMMON 351001102 $66,420.00 1,200 FREEPORT MCMORAN COPPER&GOL 0. PREFERR 35671D501 $568.00 40 FRONTIER FINL CORP WASH CDT-CO COMMON 35907K105 $14,000.00 500 FRONTLINE LTD ADR SPONSORED COMMON 35921R102 $196,479.00 11,490 FUELCELL ENERGY INC COM COMMON 35952H106 $9,236.00 400 GEMSTAR TV GUIDE INTL INC COMMON 36866W106 $53,250.00 1,250 GENOMIC SOLUTIONS INC COM COMMON 37243R208 $1,455.00 300 GENUITY INC CL A COMMON 37248E103 $13,416.00 4,300 GEORGIA CAPITAL TRUST IV6.85% PREFERR 37333R209 $39,930.00 1,650 GLAXO PLC SPONSORED ADR COMMON 37733W105 $38,272.00 681 GLOBAL PWR EQUIP GROUP INC COM COMMON 37941P108 $2,022.00 69 DUKE ENERGY CAPITAL TRUST II 7 X 3,145 DYNEGY CLASS A COMMON X 20,061 EEX CORPORATION NEW X 1,193 ENSCO INTL INC X 130 EOG RESOURCES INC X 1,925 E PIPHANY INC COM X 1,143 EDWARDS LIFESCIENCES CORP COM X 505 EFUNDS CORP COM X 276 EL PASO CORPORATION X 28,337 EL PASO ENERGY PARTNERS, L.P. X 10,799 ENERGEN CORP COM X 3,000 ENERGY EAST CORP COM X 54,580 ENRON CAP TR I 8.30% TOPRS X 2,300 ENTERGY ARK INC PFD $6.08 X 246 ENTERGY ARK INC PFD $7.80 X 200 ENTERGY LA INC PFD8%92 $25 PAR X 400 ENTERGY MISS INC PFD 7.44% X 250 EQUINIX INC COM X 50 EQUITY RESIDENTIAL PPTYS TR SH X 671 EUROPE 2001 HOLDRS TR DEPOSITA X 100 EXCEL TECHNOLOGY INC X 91,469 EXELON CORP X 1,805 EXPEDITORS INTL WASH XXX(RESTR X 249 EXTREME NETWORKS INC COM X 900 EXXON CORPORATION X 55,119 FEDEX CORP X 3,850 FELCOR LODGING TR INC X 700 FINISAR CORP COM X 400 FIRST CAPITAL INCOME PROPERTIE X 2 FIRST CTZNS BANCSHARES NC CL A X 50 FIRST CTZNS BANCSHARES NC CL B X 12 FIRST INDL RLTY TR INC X 2,725 FLEET CAP TR IV GTD TOPS 7.17% X 700 FORTIS SEC INC COM X 6,400 FOUNDRY NETWORKS INC X 200 FOUR SEASONS HOTELS INC LTD VT X 1,200 FREEPORT MCMORAN COPPER&GOL 0. X 40 FRONTIER FINL CORP WASH CDT-CO X 500 FRONTLINE LTD ADR SPONSORED X 11,490 FUELCELL ENERGY INC COM X 400 GEMSTAR TV GUIDE INTL INC X 1,250 GENOMIC SOLUTIONS INC COM X 300 GENUITY INC CL A X 4,300 GEORGIA CAPITAL TRUST IV6.85% X 1,650 GLAXO PLC SPONSORED ADR X 681 GLOBAL PWR EQUIP GROUP INC COM X 69
GOLDMAN SACHS GROUP INC COM COMMON 38141G104 $148,949.00 1,736 GOLF TR AMER INC COM COMMON 38168B103 $266,994.00 34,540 GRUPO TELEVISA SA DE CV GLBL D COMMON 40049J206 $80,020.00 2,000 HRPT PPTYS TR COM SH BEN INT COMMON 40426W101 $959,213.00 98,583 HANCOCK JOHN PATRIOT GLBLDV SH COMMON 41013G103 $9,450.00 750 HANCOCK JOHN PATRIOT PREM DIVI COMMON 41013T105 $20,900.00 1,900 HANCOCK JOHN FINL SVCS INC COM COMMON 41014S106 $45,011.00 1,118 HANCOCK JOHN FINANCIAL TRENDS COMMON 41014X105 $21,106.00 1,375 HISPANIC BROADCASTING CO COMMON 43357B104 $5,164.00 180 HOST MARRIOTT CORP NEW COM COMMON 44107P104 $924,665.00 73,855 HOUSEHOLD CAP TRUST IV 7.25% P PREFERR 44180R209 $49,785.00 2,053 HOUSEHOLD CAPITAL TR V 10% PFD PREFERR 44180S207 $5,532.00 200 HSBC BANK PLC PREFERR 44328M609 $66,750.00 2,500 ING CAPITAL FUNDING TRUST II P PREFERR 44978B101 $27,620.00 1,000 ING CAPITAL FUNDING TR I7.7% P PREFERR 44978D107 $34,400.00 1,357 IMMUNOGEN INC COMMON 45253H101 $18,000.00 900 IMPATH INC COM COMMON 45255G101 $403,130.00 9,100 INCYTE PHARMACEUTICALS INC COM COMMON 45337C102 $35,554.00 1,450 INFOCUS CORP COMMON 45665B106 $226,329.00 11,100 INFONET SVCS CORP CL B COMMON 45666T106 $20,400.00 2,400 INFOSPACE COM INC COM COMMON 45678T102 $511,158.00 133,114 INNOVET INC COMMON 45765P104 $0.00 1,000 INTERMUNE INC COM COMMON 45884X103 $1,069.00 30 INTERNAP NETWORK SVCS CORP COM COMMON 45885A102 $65,629.00 20,070 INTERNET CAPITAL GROUP INC COM COMMON 46059C106 $2,000.00 1,000 INTERNET SECURITY SYS INC COMMON 46060X107 $6,313.00 130 INTERSTATE BAKERIES CORP DELCO COMMON 46072H108 $16,352.00 1,022 INVITROGEN CORP COM COMMON 46185R100 $50,834.00 708 JDS UNIPHASE COM COMMON 46612J101 $399,700.00 31,976 J.P. MORGAN CHASE & CO COMMON 46625H100 $1,472,068.00 33,006 CHASE MANHATTAN CORP PFD 10.84 PREFERR 46625H860 $25,000.00 1,000 JUNIPER NETWORKS INC COM COMMON 48203R104 $215,056.00 6,915 KERR MCGEE CORP SUB 7.500% 201 CONVERT 492386AL1 $6,015.00 6,000 KEY ENERGY GROUP INC SUB 5.000 CONVERT 492914AF3 $756,989.00 833,000 KINDER MORGAN INC KANS COM COMMON 49455P101 $418,381.00 8,326 KRAFT FOODS INC CL A COM COMMON 50075N104 $39,525.00 1,275 LABORATORY CORP AMER HLDGS COMMON 50540R409 $3,384.00 44 LEHMAN BROTHERS HOLDINGSCAPITA PREFERR 52518G209 $10,060.00 400 LEVEL 3 COMMUNICATIONS INC COM COMMON 52729N100 $70,854.00 12,906 LIFE FINANCIAL CORP NEW COM COMMON 53184P200 $392.00 140 LIFEPOINT HOSPS INC COM COMMON 53219L109 $443.00 10 M & T BK CORP COM COMMON 55261F104 $225,896.00 2,992 MBIA INC COMMON 55262C100 $31,069.00 558 MBIA INC SR QTR INC 6.95 COMMON 55262C209 $164,340.00 6,600 MBIA 8% PREFERRED PREFERR 55262C308 $10,564.00 400 MBNA CORP COM COMMON 55262L100 $1,822,887.00 55,239 GOLDMAN SACHS GROUP INC COM X 1,736 GOLF TR AMER INC COM X 34,540 GRUPO TELEVISA SA DE CV GLBL D X 2,000 HRPT PPTYS TR COM SH BEN INT X 98,583 HANCOCK JOHN PATRIOT GLBLDV SH X 750 HANCOCK JOHN PATRIOT PREM DIVI X 1,900 HANCOCK JOHN FINL SVCS INC COM X 1,118 HANCOCK JOHN FINANCIAL TRENDS X 1,375 HISPANIC BROADCASTING CO X 180 HOST MARRIOTT CORP NEW COM X 73,855 HOUSEHOLD CAP TRUST IV 7.25% P X 2,053 HOUSEHOLD CAPITAL TR V 10% PFD X 200 HSBC BANK PLC X 2,500 ING CAPITAL FUNDING TRUST II P X 1,000 ING CAPITAL FUNDING TR I7.7% P X 1,357 IMMUNOGEN INC X 900 IMPATH INC COM X 9,100 INCYTE PHARMACEUTICALS INC COM X 1,450 INFOCUS CORP X 11,100 INFONET SVCS CORP CL B X 2,400 INFOSPACE COM INC COM X 133,114 INNOVET INC X 1,000 INTERMUNE INC COM X 30 INTERNAP NETWORK SVCS CORP COM X 20,070 INTERNET CAPITAL GROUP INC COM X 1,000 INTERNET SECURITY SYS INC X 130 INTERSTATE BAKERIES CORP DELCO X 1,022 INVITROGEN CORP COM X 708 JDS UNIPHASE COM X 31,976 J.P. MORGAN CHASE & CO X 33,006 CHASE MANHATTAN CORP PFD 10.84 X 1,000 JUNIPER NETWORKS INC COM X 6,915 KERR MCGEE CORP SUB 7.500% 201 X 6,000 KEY ENERGY GROUP INC SUB 5.000 X 833,000 KINDER MORGAN INC KANS COM X 8,326 KRAFT FOODS INC CL A COM X 1,275 LABORATORY CORP AMER HLDGS X 44 LEHMAN BROTHERS HOLDINGSCAPITA X 400 LEVEL 3 COMMUNICATIONS INC COM X 12,906 LIFE FINANCIAL CORP NEW COM X 140 LIFEPOINT HOSPS INC COM X 10 M & T BK CORP COM X 2,992 MBIA INC X 558 MBIA INC SR QTR INC 6.95 X 6,600 MBIA 8% PREFERRED X 400 MBNA CORP COM X 55,239 MCI CAPITAL I 8% CUM PFD SER A PREFERR 55267Y206 $24,250.00 1,000 MCN FINANACING II 8.625% TRUPS PREFERR 55270G200 $226,339.00 8,911 MKS INSTRS INC COM COMMON 55306N104 $5,040.00 175 MAGNA INTL INC CON 4.875% 02/1 CONVERT 559222AG9 $9,950.00 10,000 MAGNUM PETROLEUM INC COM PAR $ COMMON 55972F203 $148,327.00 16,666 MANAGED HIGH INCOME PTFL INCCO COMMON 56166C105 $4,647.00 564 MAXIM INTEGRATED PRODS INC COM COMMON 57772K101 $136,255.00 3,082 MCKESSON HBOC INC COM COMMON 58155Q103 $112,102.00 3,020 MEDIAONE GROUP INC PIES 11-15- COMMON 58440J500 $53,800.00 2,000 MEDIACOM COMMUNICATIONS CORPCL COMMON 58446K105 $706.00 40 MELLON FINL CORP COMMON 58551A108 $187,664.00 4,188 MERISTAR HOSPITALITY CORP COM COMMON 58984Y103 $6,033.00 254 MERRILL LYNCH PFD CAP TRIII 7% PREFERR 59021F206 $131,335.00 5,328 ML CAPITAL TRUST IV 7.12% CUM PREFERR 59021G204 $50,342.00 2,025 MERRILL LYNCH PFD CAPITAL TRUS PREFERR 59021K205 $112,090.00 4,480 METLIFE INC COM COMMON 59156R108 $340,935.00 11,005 MID-AMER APT CMNTYS INC COMMON 59522J103 $10,236.00 400 MIDAMERICAN ENERGY FING I 7.98 PREFERR 59562U208 $4,980.00 200 MILLENNIUM CELL INC COM COMMON 60038B105 $1,055.00 100 MINIMED INC COM COMMON 60365K108 $8,400.00 175 MORGAN STANLEY EMERGING MKTSCO COMMON 61744G107 $4,400.00 500 MORGAN STANLEY DEAN WITTER &SP PREFERR 61744Y579 $6,356.00 400 MORGAN STANLEY DEAN WITTER &SP PREFERR 61744Y587 $21,500.00 1,000 MYRIAD GENETICS INC COM COMMON 62855J104 $12,664.00 200 NB CAPITAL CORPORATION 8.35% N PREFERR 62874N607 $80,104.00 3,100 NVP CAP III TR SECS 7.75% PREFERR 62944L201 $11,120.00 500 NATIONWIDE FINL SERVICESCAPITA PREFERR 63861E204 $242,804.00 9,951 NAVIGANT INTL INC COM COMMON 63935R108 $280.00 20 NET COMMAND TECH INC COM NEW COMMON 64107H209 $0.00 40 NETIQ CORP COM COMMON 64115P102 $142,682.00 4,560 NETWORK APPLIANCE INC COM COMMON 64120L104 $98,147.00 7,164 NEUROBIOLOGICAL TECHN INC COM COMMON 64124W106 $792,994.00 251,744 NEXTEL COMMUNICATIONS INC CL A COMMON 65332V103 $1,965,040.00 112,288 NEXTEL PARTNERS INC CL A COMMON 65333F107 $1,552.00 100 NISOURCE INC COMMON 65473P105 $75,786.00 2,773 NOVARTIS AG ADR COMMON 66987V109 $136,105.00 3,765 NSTAR COM COMMON 67019E107 $11,491.00 270 NUVEEN INVT QUALITY MUN FD COM COMMON 67062E103 $5,748.00 400 NUVEEN SELECT TAX-FREE INCM SH COMMON 67062F100 $85,728.00 5,700 NUVEEN MUN ADVANTAGE FD INC CO COMMON 67062H106 $43,320.00 3,000 NUVEEN MUN INCOME FD INC COM COMMON 67062J102 $23,880.00 2,000 NUVEEN PREMIUM INCM MUNI FD IN COMMON 67062T100 $71,842.00 5,150 NUVEEN MUN OPPORTUNITY FD INC PREFERR 67062W400 $75,000.00 3 NUVEEN PREM INCOME MUN FD 2 CO COMMON 67063W102 $36,275.00 2,500 NUVEEN SLCT TX FR INCM PTL 3SH COMMON 67063X100 $6,619.00 480 NUVEEN DIVID ADVANTAGE MUN FCO COMMON 67066V101 $41,250.00 2,750 MCI CAPITAL I 8% CUM PFD SER A X 1,000 MCN FINANACING II 8.625% TRUPS X 8,911 MKS INSTRS INC COM X 175 MAGNA INTL INC CON 4.875% 02/1 X 10,000 MAGNUM PETROLEUM INC COM PAR $ X 16,666 MANAGED HIGH INCOME PTFL INCCO X 564 MAXIM INTEGRATED PRODS INC COM X 3,082 MCKESSON HBOC INC COM X 3,020 MEDIAONE GROUP INC PIES 11-15- X 2,000 MEDIACOM COMMUNICATIONS CORPCL X 40 MELLON FINL CORP X 4,188 MERISTAR HOSPITALITY CORP COM X 254 MERRILL LYNCH PFD CAP TRIII 7% X 5,328 ML CAPITAL TRUST IV 7.12% CUM X 2,025 MERRILL LYNCH PFD CAPITAL TRUS X 4,480 METLIFE INC COM X 11,005 MID-AMER APT CMNTYS INC X 400 MIDAMERICAN ENERGY FING I 7.98 X 200 MILLENNIUM CELL INC COM X 100 MINIMED INC COM X 175 MORGAN STANLEY EMERGING MKTSCO X 500 MORGAN STANLEY DEAN WITTER &SP X 400 MORGAN STANLEY DEAN WITTER &SP X 1,000 MYRIAD GENETICS INC COM X 200 NB CAPITAL CORPORATION 8.35% N X 3,100 NVP CAP III TR SECS 7.75% X 500 NATIONWIDE FINL SERVICESCAPITA X 9,951 NAVIGANT INTL INC COM X 20 NET COMMAND TECH INC COM NEW X 40 NETIQ CORP COM X 4,560 NETWORK APPLIANCE INC COM X 7,164 NEUROBIOLOGICAL TECHN INC COM X 251,744 NEXTEL COMMUNICATIONS INC CL A X 112,288 NEXTEL PARTNERS INC CL A X 100 NISOURCE INC X 2,773 NOVARTIS AG ADR X 3,765 NSTAR COM X 270 NUVEEN INVT QUALITY MUN FD COM X 400 NUVEEN SELECT TAX-FREE INCM SH X 5,700 NUVEEN MUN ADVANTAGE FD INC CO X 3,000 NUVEEN MUN INCOME FD INC COM X 2,000 NUVEEN PREMIUM INCM MUNI FD IN X 5,150 NUVEEN MUN OPPORTUNITY FD INC X 3 NUVEEN PREM INCOME MUN FD 2 CO X 2,500 NUVEEN SLCT TX FR INCM PTL 3SH X 480 NUVEEN DIVID ADVANTAGE MUN FCO X 2,750 NUVEEN INSD PREM INCM MUN FDCO COMMON 6706D8104 $40,824.00 3,150 NUVEEN PREM INCM MUN FD 4 COM COMMON 6706K4105 $70,770.00 5,250 OCEAN ENERGY INC (TEX) COMMON 67481E106 $388,542.00 22,266 OFFICEMAX INC COM COMMON 67622M108 $9,410.00 2,550 OMNISKY CORP COM COMMON 68213L103 $400.00 200 ONESOURCE TECHNOLOGIES INC COM COMMON 68272M109 $380.00 2,000 ONI SYS CORP COM COMMON 68273F103 $42,520.00 1,524 ONLINE POWER SUPPLY INC COMMON 68274C109 $190.00 50 ORACLE SYS CORP COM COMMON 68389X105 $5,605,608.00 295,032 ORCHID BIOSCIENCES INC COM COMMON 68571P100 $3,443.00 450 ORIENTAL FINL GROUP INC COM COMMON 68618W100 $14,250.00 750 ORTHODONTIC CTRS AMER INC COM COMMON 68750P103 $94,969.00 3,125 P F CHANGS CHINA BISTRO INC CO COMMON 69333Y108 $8,907.00 235 PMC-SIERRA INC COMMON 69344F106 $79,197.00 2,549 PMI GROUP INC COMMON 69344M101 $14,330.00 200 PACIFIC NORTHWEST BANCORP COM COMMON 69466M103 $37,735.00 1,510 PACIFICORP CAP II TR PFD SECS PREFERR 69511N205 $36,480.00 1,500 PARADYNE CORP COM COMMON 69911G107 $29,072.00 15,800 PATHMARK STORES INC NEW COM COMMON 70322A101 $935.00 38 PATHMARK STORES INC NEW WT EXP WARRANT 70322A119 $518.00 59 PEREGRINE SYS INC COM COMMON 71366Q101 $352,669.00 12,161 PHARMACIA CORPORATION COMMON S COMMON 71713U102 $227,912.00 4,960 PLUG PWR INC COM COMMON 72919P103 $2,153.00 100 POTOMAC ELECTRIC PWR CO TR I 7 PREFERR 73767N208 $159,500.00 6,380 PRAXAIR INC COMMON 74005P104 $132,070.00 2,810 PREVIEW SYSTEMS INC XXX(RESTRI COMMON 74137910R $1,176.00 341 PRIORITY HEALTHCARE CORP CL B COMMON 74264T102 $106,248.00 3,757 PROTEIN DESIGN LABS INC COM COMMON 74369L103 $418,183.00 4,820 PROVALIS PLC ADR SPONSORED COMMON 74372Q107 $810.00 1,000 PROVIDIAN FINL CORP COM COMMON 74406A102 $224,723.00 3,796 PUBLIC STORAGE INC COM COMMON 74460D109 $26,685.00 900 PUBLIC STORAGE INC PFD SER B 9 PREFERR 74460D307 $10,460.00 400 PUBLIC STORAGE INC DSR .001 PF PREFERR 74460D885 $25,030.00 1,000 PUTNAM MASTER INCOME TR SH BEN COMMON 74683K104 $8,113.00 1,220 QUANTA SVCS INC COM COMMON 74762E102 $6,612.00 300 RFS HOTEL INVS INC COM COMMON 74955J108 $3,158.00 200 RATIONALE SOFTWARE COMMON 75409P202 $328,353.00 11,706 REALNETWORKS INC COM COMMON 75605L104 $329,059.00 28,005 RELIANT ENERGY INC COMMON 75952J108 $138,503.00 4,300 RENT WAY INC COMMON 76009U104 $16,350.00 1,500 RETEK INC COM COMMON 76128Q109 $128,719.00 2,685 REUTERS GROUP PLC-SPONS ADR COMMON 76132M102 $77,750.00 1,000 ROCKFORD CORP COM COMMON 77316P101 $5,992.00 850 SBC COMMNS INC COMMON 78387G103 $1,499,085.00 37,421 SLI INC COM COMMON 78442T108 $4,950.00 600 SPDR TR UNIT SER 1 COMMON 78462F103 $1,812,151.00 14,781 NUVEEN INSD PREM INCM MUN FDCO X 3,150 NUVEEN PREM INCM MUN FD 4 COM X 5,250 OCEAN ENERGY INC (TEX) X 22,266 OFFICEMAX INC COM X 2,550 OMNISKY CORP COM X 200 ONESOURCE TECHNOLOGIES INC COM X 2,000 ONI SYS CORP COM X 1,524 ONLINE POWER SUPPLY INC X 50 ORACLE SYS CORP COM X 295,032 ORCHID BIOSCIENCES INC COM X 450 ORIENTAL FINL GROUP INC COM X 750 ORTHODONTIC CTRS AMER INC COM X 3,125 P F CHANGS CHINA BISTRO INC CO X 235 PMC-SIERRA INC X 2,549 PMI GROUP INC X 200 PACIFIC NORTHWEST BANCORP COM X 1,510 PACIFICORP CAP II TR PFD SECS X 1,500 PARADYNE CORP COM X 15,800 PATHMARK STORES INC NEW COM X 38 PATHMARK STORES INC NEW WT EXP X 59 PEREGRINE SYS INC COM X 12,161 PHARMACIA CORPORATION COMMON S X 4,960 PLUG PWR INC COM X 100 POTOMAC ELECTRIC PWR CO TR I 7 X 6,380 PRAXAIR INC X 2,810 PREVIEW SYSTEMS INC XXX(RESTRI X 341 PRIORITY HEALTHCARE CORP CL B X 3,757 PROTEIN DESIGN LABS INC COM X 4,820 PROVALIS PLC ADR SPONSORED X 1,000 PROVIDIAN FINL CORP COM X 3,796 PUBLIC STORAGE INC COM X 900 PUBLIC STORAGE INC PFD SER B 9 X 400 PUBLIC STORAGE INC DSR .001 PF X 1,000 PUTNAM MASTER INCOME TR SH BEN X 1,220 QUANTA SVCS INC COM X 300 RFS HOTEL INVS INC COM X 200 RATIONALE SOFTWARE X 11,706 REALNETWORKS INC COM X 28,005 RELIANT ENERGY INC X 4,300 RENT WAY INC X 1,500 RETEK INC COM X 2,685 REUTERS GROUP PLC-SPONS ADR X 1,000 ROCKFORD CORP COM X 850 SBC COMMNS INC X 37,421 SLI INC COM X 600 SPDR TR UNIT SER 1 X 14,781 SAKS INC COMMON 79377W108 $50,563.00 5,267 SANDISK CORP COM COMMON 80004C101 $96,248.00 3,451 SCIENT CORP COM COMMON 80864H109 $465.00 500 SCOTTISH PWR PLC ADR SPONS FIN COMMON 81013T705 $38,953.00 1,334 SERVICEMASTER CO COMMON 81760N109 $362,256.00 30,188 SHAW COMMUNICATIONS INC US$ CO PREFERR 82028K606 $6,162.00 250 SHAW COMMUNICATIONS INC COPS 8 PREFERR 82028K705 $65,766.00 2,668 SHURGARD STORAGE CTRS INC CL A COMMON 82567D104 $1,141,844.00 36,539 SHURGARD STORAGE CENTERS INCPF PREFERR 82567D203 $50,500.00 2,000 SHURGARD STORAGE CTRS INC 8.75 PREFERR 82567D401 $24,850.00 1,000 SILICON IMAGE INC COM COMMON 82705T102 $43,000.00 8,600 SIRIUS SATELLITE RADIO INC COMMON 82966U103 $78,625.00 6,450 SIX FLAGS INC COM COMMON 83001P109 $1,368.00 65 SONOSIGHT INC COM COMMON 83568G104 $133,666.00 6,890 SOUTHERN CO CAP TR III QRTLY I PREFERR 84258T208 $30,600.00 1,200 SOVRAN SELF STORAGE INC COM COMMON 84610H108 $57,477.00 2,100 SPECTRASITE HLDGS INC COM COMMON 84760T100 $3,620.00 500 SPINNAKER EXPL CO COM COMMON 84855W109 $8,570.00 215 STANDARD PAC CORP NEW COM COMMON 85375C101 $49,078.00 2,120 STAR GAS PARTNERS L P UNIT LP COMMON 85512C105 $73,183.00 3,510 STARWOOD HOTELS & RESORTS WOPA COMMON 85590A203 $9,320.00 250 STERLING CAPITAL TRUST I9.50% PREFERR 85916N202 $15,240.00 600 STORAGE COMPUTER CORP COM COMMON 86211A101 $44,480.00 6,950 SUNRISE ASSISTED LIVING INC CO COMMON 86768K106 $152,250.00 5,800 SYNAVANT INC COM COMMON 87157A105 $107.00 15 SYNGENTA AG ADR SPONSORED COMMON 87160A100 $324.00 30 TDS CAP I TR ORG PFD 8.5% PREFERR 87235W202 $168,912.00 6,800 TXU ELEC CAP I TR ORIGINATED P PREFERR 87316P209 $29,952.00 1,200 TALK AMERICA HOLDINGS INC COMMON 87426R103 $3,102.00 3,300 TARGET CORP COMMON 87612E106 $1,840,097.00 53,182 TECHNOLOGY SOLUTIONS CO COM COMMON 87872T108 $142,752.00 80,198 TEMPLETON CHINA WORLD FD INCCO COMMON 88018X102 $1,882.00 200 TENET HEALTHCARE CORP COMMON 88033G100 $575,908.00 11,161 TERRA NETWORKS S A ADR SPONSOR COMMON 88100W103 $13,089.00 1,720 THIRD WAVE TECHNOLOGIES COMMON 88428W108 $5,836.00 565 TIBCO SOFTWARE INC COM COMMON 88632Q103 $8,926.00 699 TOUR DESIGN INTL INC COM COMMON 89155U109 $0.00 1 TRIAD HOSPS INC COM COMMON 89579K109 $7,250.00 246 TRIPATH TECHNOLOGY INC COM COMMON 89672P104 $25,481.00 2,265 TRIQUINT SEMICONDUCTOR INC COM COMMON 89674K103 $253,237.00 11,255 USB CAPITAL II 7.2% CUM PFD TO PREFERR 90332M200 $279,868.00 11,285 USN COMMUNICATIONS INC COM COMMON 90336N204 $2.00 600 U S WIRELESS CORP COM NEW COMMON 90339C106 $14,841.00 5,100 USA EDUCATION INC COMMON 90390U102 $37,595.00 515 UNITEDHEALTH GROUP INC COMMON 91324P102 $465,595.00 7,540 UNUMPROVIDENT CORP COMMON 91529Y106 $9,636.00 300 SAKS INC X 5,267 SANDISK CORP COM X 3,451 SCIENT CORP COM X 500 SCOTTISH PWR PLC ADR SPONS FIN X 1,334 SERVICEMASTER CO X 30,188 SHAW COMMUNICATIONS INC US$ CO X 250 SHAW COMMUNICATIONS INC COPS 8 X 2,668 SHURGARD STORAGE CTRS INC CL A X 36,539 SHURGARD STORAGE CENTERS INCPF X 2,000 SHURGARD STORAGE CTRS INC 8.75 X 1,000 SILICON IMAGE INC COM X 8,600 SIRIUS SATELLITE RADIO INC X 6,450 SIX FLAGS INC COM X 65 SONOSIGHT INC COM X 6,890 SOUTHERN CO CAP TR III QRTLY I X 1,200 SOVRAN SELF STORAGE INC COM X 2,100 SPECTRASITE HLDGS INC COM X 500 SPINNAKER EXPL CO COM X 215 STANDARD PAC CORP NEW COM X 2,120 STAR GAS PARTNERS L P UNIT LP X 3,510 STARWOOD HOTELS & RESORTS WOPA X 250 STERLING CAPITAL TRUST I9.50% X 600 STORAGE COMPUTER CORP COM X 6,950 SUNRISE ASSISTED LIVING INC CO X 5,800 SYNAVANT INC COM X 15 SYNGENTA AG ADR SPONSORED X 30 TDS CAP I TR ORG PFD 8.5% X 6,800 TXU ELEC CAP I TR ORIGINATED P X 1,200 TALK AMERICA HOLDINGS INC X 3,300 TARGET CORP X 53,182 TECHNOLOGY SOLUTIONS CO COM X 80,198 TEMPLETON CHINA WORLD FD INCCO X 200 TENET HEALTHCARE CORP X 11,161 TERRA NETWORKS S A ADR SPONSOR X 1,720 THIRD WAVE TECHNOLOGIES X 565 TIBCO SOFTWARE INC COM X 699 TOUR DESIGN INTL INC COM X 1 TRIAD HOSPS INC COM X 246 TRIPATH TECHNOLOGY INC COM X 2,265 TRIQUINT SEMICONDUCTOR INC COM X 11,255 USB CAPITAL II 7.2% CUM PFD TO X 11,285 USN COMMUNICATIONS INC COM X 600 U S WIRELESS CORP COM NEW X 5,100 USA EDUCATION INC X 515 UNITEDHEALTH GROUP INC X 7,540 UNUMPROVIDENT CORP X 300 UNUMPROVIDENT CORP 8.8% CUM PF PREFERR 91529Y205 $5,180.00 200 VARIAN MED SYS INC COM COMMON 92220P105 $3,575.00 50 VERITY INC COM COMMON 92343C106 $13,965.00 700 VERISIGN INC COM COMMON 92343E102 $510,385.00 8,505 VERITAS DGC INC COM COMMON 92343P107 $27,750.00 1,000 VERIZON COMMUNICATIONS COMMON 92343V104 $2,432,003.00 45,458 VERTEX PHARMACEUTICALS INC COM COMMON 92532F100 $19,355.00 391 VIAD CORP COMMON 92552R109 $13,200.00 500 VISTEON CORP COM COMMON 92839U107 $9,631.00 524 VISX INC DEL COM COMMON 92844S105 $85,527.00 4,420 VODAFONE GROUP PLC SPONS ADR COMMON 92857W100 $937,650.00 41,953 WEC CAPITAL TRUST I 6.85% TRUP PREFERR 92923G204 $315,689.00 12,880 WASTE MANAGEMENT INC COMMON 94106L109 $638,960.00 20,732 WEBMETHODS INC COM COMMON 94768C108 $423,261.00 19,984 WEBMD CORP COMMON 94769M105 $5,460.00 780 WEBVAN GROUP INC COM COMMON 94845V103 $52.00 645 WESTERN WIRELESS CORP CL A COMMON 95988E204 $55,255.00 1,285 WESTPAC CAPITAL TRUST I 8% TOP PREFERR 96121S209 $52,920.00 2,100 WORKFLOW MGMT INC COM COMMON 98137N109 $167.00 27 WORLDCOM INC COMMON 98157D106 $1,990,258.00 140,159 WORLDCOM INC-MCI GROUP COMMON COMMON 98157D304 $72,466.00 4,501 XCEL ENERGY INC COMMON 98389B100 $350,561.00 12,322 ZEROS & ONES INC XXX(RESTRICTE COMMON 98949E20R $2,405.00 6,870 LERNOUT & HAUSPIE SPEECH PRDOR COMMON B5628B104 $44.00 200 DAIMLERCHRYSLER AG ORD COMMON D1668R123 $43,979.00 954 AMDOCS LTD ORD COMMON G02602103 $714,966.00 13,277 APW LTD COM COMMON G04397108 $15,225.00 1,500 BP AMOCO P L C ORD COMMON G12793181 $7,990.00 984 GARMIN LTD ORD COMMON G37260109 $1,257.00 55 GLOBAL CROSSING LTD COM COMMON G3921A100 $1,997,551.00 231,198 GLOBAL CROSSING LTD PFD CV 6.3 CONVERT G3921A126 $1,018,310.00 25,780 GLOBALSTAR TELECOMMUNICATIONCO COMMON G3930H104 $198.00 600 IRIDIUM WORLD COMM LTD CL A COMMON G49398103 $1,403.00 1,700 KNIGHTSBRIDGE TANKERS LTD SHS COMMON G5299G106 $114,900.00 5,745 LORAL SPACE & COMMNICTNSLTD CO COMMON G56462107 $11,200.00 4,000 REPSOL INTL CAPTL LTD 7.45% NO PREFERR G7513K103 $138,620.00 5,800 RHONE POULENC OVERRSEAS LTD 8. PREFERR G75495104 $12,725.00 500 SANTA FE INTL CORP ORD COMMON G7805C108 $86,893.00 2,910 TOMMY HILFIGER CORP ORD SHS COMMON G8915Z102 $16,730.00 1,195 TRANSOCEAN SEDCO FOREX INC COMMON G90078109 $285,945.00 6,932 TYCOM LTD COM COMMON G9144B106 $25,800.00 1,500 UBS AG ORD SHS COMMON H8920G155 $10,651.00 75 BACKWEB TECHNOLOGIES LTD SHS COMMON M15633106 $160.00 100 CHECK PT SOFTWARE TECH LTD ORD COMMON M22465104 $945,962.00 18,706 ENRON CAPITAL LLC 8% CUM GTD ( PREFERR P37307108 $158,759.00 6,285 FLEXTRONICS INTL LTD ORD COMMON Y2573F102 $471,520.00 18,059 UNUMPROVIDENT CORP 8.8% CUM PF X 200 VARIAN MED SYS INC COM X 50 VERITY INC COM X 700 VERISIGN INC COM X 8,505 VERITAS DGC INC COM X 1,000 VERIZON COMMUNICATIONS X 45,458 VERTEX PHARMACEUTICALS INC COM X 391 VIAD CORP X 500 VISTEON CORP COM X 524 VISX INC DEL COM X 4,420 VODAFONE GROUP PLC SPONS ADR X 41,953 WEC CAPITAL TRUST I 6.85% TRUP X 12,880 WASTE MANAGEMENT INC X 20,732 WEBMETHODS INC COM X 19,984 WEBMD CORP X 780 WEBVAN GROUP INC COM X 645 WESTERN WIRELESS CORP CL A X 1,285 WESTPAC CAPITAL TRUST I 8% TOP X 2,100 WORKFLOW MGMT INC COM X 27 WORLDCOM INC X 140,159 WORLDCOM INC-MCI GROUP COMMON X 4,501 XCEL ENERGY INC X 12,322 ZEROS & ONES INC XXX(RESTRICTE X 6,870 LERNOUT & HAUSPIE SPEECH PRDOR X 200 DAIMLERCHRYSLER AG ORD X 954 AMDOCS LTD ORD X 13,277 APW LTD COM X 1,500 BP AMOCO P L C ORD X 984 GARMIN LTD ORD X 55 GLOBAL CROSSING LTD COM X 231,198 GLOBAL CROSSING LTD PFD CV 6.3 X 25,780 GLOBALSTAR TELECOMMUNICATIONCO X 600 IRIDIUM WORLD COMM LTD CL A X 1,700 KNIGHTSBRIDGE TANKERS LTD SHS X 5,745 LORAL SPACE & COMMNICTNSLTD CO X 4,000 REPSOL INTL CAPTL LTD 7.45% NO X 5,800 RHONE POULENC OVERRSEAS LTD 8. X 500 SANTA FE INTL CORP ORD X 2,910 TOMMY HILFIGER CORP ORD SHS X 1,195 TRANSOCEAN SEDCO FOREX INC X 6,932 TYCOM LTD COM X 1,500 UBS AG ORD SHS X 75 BACKWEB TECHNOLOGIES LTD SHS X 100 CHECK PT SOFTWARE TECH LTD ORD X 18,706 ENRON CAPITAL LLC 8% CUM GTD ( X 6,285 FLEXTRONICS INTL LTD ORD X 18,059 OMI CORP COM COMMON Y6476W104 $45,273.00 8,070 PACIFIC CENTURY CYBERWORKS LTD COMMON Y6801N134 $271.00 1,000 TEEKAY SHIPPING CORP COM COMMON Y8564W103 $1,601.00 40 GROUP 43 INC XXX(RESTRICTED ST COMMON ZZ2110271 $0.00 3,750 MEDIDIGM CORP COMMON ZZ2581293 $0.00 5,000 MUSEUM PARK INVESTMENT ILLC COMMON ZZ2692029 $0.00 1 STEPHENSON CNTY ABSTRACT& TITL COMMON ZZ3408181 $0.00 156 CALL GENL ELEC CO $60 EXP 12 OPTION ZZ4136587 $85.00 1 CALL GENL ELEC CO $60 EXP 09 OPTION ZZ4212364 $25.00 1 CALL MERCK & CO INC $95 EXP 07 OPTION ZZ4306338 $20.00 1 PUT SUN MICROSYS $27.50 EXP 10 OPTION ZZ4727255 $0.00 10 TOTAL $391,506,462.00 16,504,794 OMI CORP COM X 8,070 PACIFIC CENTURY CYBERWORKS LTD X 1,000 TEEKAY SHIPPING CORP COM X 40 GROUP 43 INC XXX(RESTRICTED ST X 3,750 MEDIDIGM CORP X 5,000 MUSEUM PARK INVESTMENT ILLC X 1 STEPHENSON CNTY ABSTRACT& TITL X 156 CALL GENL ELEC CO $60 EXP 12 X 1 CALL GENL ELEC CO $60 EXP 09 X 1 CALL MERCK & CO INC $95 EXP 07 X 1 PUT SUN MICROSYS $27.50 EXP 10 X 10 TOTAL
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