-----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, NvoDzoXamiX7jA7QKh7Kq+vZz/VR+vCUOhecp/JVhV+lrEF1jaXE5t4At7SMUwkh YegCE2vInIMyvbPIFtBnqQ== 0001406995-10-000006.txt : 20101112 0001406995-10-000006.hdr.sgml : 20101111 20101112172531 ACCESSION NUMBER: 0001406995-10-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101112 DATE AS OF CHANGE: 20101112 EFFECTIVENESS DATE: 20101112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Cutter & CO Brokerage, Inc. CENTRAL INDEX KEY: 0001406995 IRS NUMBER: 431477566 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12698 FILM NUMBER: 101188011 BUSINESS ADDRESS: STREET 1: 15415 CLAYTON ROAD CITY: BALLWIN STATE: MO ZIP: 63011 BUSINESS PHONE: 636-537-8770 MAIL ADDRESS: STREET 1: 15415 CLAYTON ROAD CITY: BALLWIN STATE: MO ZIP: 63011 13F-HR 1 cutter13fsep10.txt CUTTERSEPT2010 Form 13F Cover Page Report for the Calendar Year or Quarter Ended: September 30, 2010 Institutional Investment Manager Filing this Report: Name: Cutter & CO Brokerage, Inc. Address: 15415 Clayton Road Ballwin, MO 63011 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: Deborah Castiglioni Title: CEO Phone: 636-537-8770 Signature Place Date of Signing: 11/12/2010 Deborah Castiglioni Ballwin, MO Officer Cutter & CO Brokerage, Inc. Report Type (X) 13F Holdings Report List of Other Managers Reporting for this Manager: None Form 13F Summary Page Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 239 Form 13F Information Table Value Total 163,972 NAME OF TITLE OF Value Shares/Prn Invstm Other Sole ISSUER CLASS CUSIP x$1000 Amt Sh/Prn Put/Ca Dscret Managers Voting ABBOTT LABORATORIES COM 002824100 437 8358 SH SOLE NONE ACERGY SA-SPON ADR COM 00443E104 221 12000 SH SOLE NONE ACETO CORP COM 004446100 1353 199250 SH SOLE NONE ACORN ENERGY INC COM 004848107 1259 250818 SH SOLE NONE AFLAC INC COM 001055102 311 6021 SH SOLE NONE AGL RES INC COM 001204106 1552 40468 SH SOLE None AGRIA CORP ADR COM 00850H103 19 13500 SH SOLE NONE ALLETE INC COM COM 018522300 731 20078 SH SOLE NONE ALLIANCE HOLDING GP LP COM 01861G100 474 10939 SH SOLE NONE ALLIANT ENERGY CORP COM 018802108 1234 33940 SH SOLE None ALLSTATE CORP COM 020002101 327 10360 SH SOLE NONE ALPINE TOTAL DYNAMIC COM 021060108 73 13385 SH SOLE NONE ALTRIA GROUP INC COM 02209S103 442 18418 SH SOLE NONE AMERICAN PACIFIC COM 028740108 443 100224 SH SOLE NONE AMERICAN WATER WORKS COM 030420103 2514 108045 SH SOLE NONE AQUA AMERICA INC COM 03836W103 3247 159165 SH SOLE NONE ARCHER DANIELS MIDLAND COM 039483102 335 10507 SH SOLE NONE ARROW ELECTORNICS INC COM 042735100 642 24000 SH SOLE NONE ARTESIAN RESOURCES COM 043113208 1344 70498 SH SOLE NONE ARTS-WAY MFG CO INC COM 043168103 92 14630 SH SOLE NONE AT T INC COM 00206R102 605 21137 SH SOLE NONE ATP OIL & GAS CORP COM 00208J108 180 13165 SH SOLE None ATRINSIC INC COM 04964C109 5 10000 SH SOLE NONE AVISTA CORP COM 05379B107 1657 79339 SH SOLE NONE BANKS.COM COM 066470105 13 44000 SH SOLE NONE BERKSHIRE HATHAWAY INC BCOM 084670702 2390 28912 SH SOLE NONE BIODEL INC COM 09064M105 71 13400 SH SOLE NONE BIODELIVERY SCIENCE COM 09060J106 156 54025 SH SOLE NONE BLACKROCK INTL GRW INC COM 092524107 309 29420 SH SOLE NONE BP PLC SPONS ADR COM 055622104 225 5471 SH SOLE NONE BRISTOL MYERS SQUIBB CO COM 110122108 615 22683 SH SOLE NONE CALIFORNIA WTR SVC GRP COM 130788102 211 5698 SH SOLE NONE CAMAC ENERGY INC COM 131745101 360 112800 SH SOLE NONE CAMCO FINANCIAL CORP COM 132618109 43 22001 SH SOLE NONE CAPSTONE THERAPEUTICS COM 14068E109 11 12395 SH SOLE NONE CAPSTONE TURBINE CORP COM 14067D102 24 30500 SH SOLE NONE CATERPILLAR INC COM 149123101 460 5846 SH SOLE NONE CECO ENVIRONMENTAL CORP COM 125141101 1181 197747 SH SOLE None CEMEX SAB DE CV SPON ADR NEW 151290889 247 29044 SH SOLE None CENTERPOINT ENERGY INC COM 15189T107 1838 116910 SH SOLE None CENTRAL VERMONT PUBLIC COM 155771108 727 36065 SH SOLE NONE CENTURYLINK INC COM 156700106 318 8067 SH SOLE NONE CHESAPEAKE UTILS CORP COM 165303108 4576 126339 SH SOLE None CHICAGO BRIDGE IRON NY COM 167250109 418 17100 SH SOLE NONE CHINA VALVES TECHNOLOGY COM 169476207 141 18200 SH SOLE NONE CHINACAST EDUCATION CORPCOM 16946T107 127 18000 SH SOLE NONE CHINDEX INTERNATIONAL COM 169467107 550 36425 SH SOLE NONE CITIGROUP INC COM 172967101 144 36884 SH SOLE NONE COMPASS DIVERSIFIED H COM 20451Q104 5117 316673 SH SOLE None COMSTOCK RES INC COM 205768203 702 31199 SH SOLE None CONNECTICUT WTR SVC INC COM 207797101 1512 63148 SH SOLE None CONOCOPHILLIPS COM 20825C104 1472 25639 SH SOLE None CONTANGO OIL & GAS CO COM 21075N204 628 12511 SH SOLE None CORNING INC COM 219350105 295 16160 SH SOLE NONE CREDO PETRO COPR COM 225439207 618 74945 SH SOLE NONE CROSSTEX ENERGY LP COM 22765U102 318 25065 SH SOLE NONE CYBEROPTICS CORP COM 232517102 103 11300 SH SOLE NONE CYTRX CORP NEW COM 232828301 16 21400 SH SOLE NONE DEAN FOODS CO COM 242370104 1353 132500 SH SOLE NONE DEER CONSUMER PROD NEW COM 24379J200 144 15000 SH SOLE NONE DELTA AIRLINES INC NEW COM 247361702 154 13200 SH SOLE NONE DELTA NATURAL GAS INC COM 247748106 2809 91338 SH SOLE None DEUTSCHE TELEKOM AG COM 251566105 976 71600 SH SOLE NONE DIAGEO PLC COM 25243Q205 1327 19233 SH SOLE None DIRECTV CLASS A COM 25490A101 290 6971 SH SOLE NONE DNP SELECT INCOME FD COM 23325P104 1090 111106 SH SOLE NONE DOUYUAN GLBL WTR INC ADRCOM 266043108 172 13200 SH SOLE NONE DOVER CORP COMMON COM 260003108 506 9695 SH SOLE NONE DPL INC COM 233293109 235 9012 SH SOLE NONE DUKE ENERGY CORP COM 26441C105 227 12800 SH SOLE NONE EAGLE BULK SHIPPING INC COM Y2187A101 53 10222 SH SOLE NONE EL PASO CORPORATION COM 28336L109 1381 111580 SH SOLE NONE ELBIT SYSTEMS LTD F COM M3760D101 239 4500 SH SOLE NONE EMPIRE DISTRICT ELEC CO COM 291641108 217 10775 SH SOLE NONE ENBRIDGE ENERGY MNGT LLCCOM 29250X103 2961 53663 SH SOLE NONE ENERGEN CORP COM 29265N108 706 15440 SH SOLE None ENERGY INCOME AND GRW FDCOM 292697109 1349 51892 SH SOLE NONE ENSCO PLC SPON ADR COM 29358Q109 587 13125 SH SOLE NONE ENTERPRISE PRODUCTS COM 293792107 538 13559 SH SOLE NONE EXACT SCIENCES CORP COM 30063P105 87 12000 SH SOLE NONE EXXON MOBIL CORP COM 30231G102 1666 26967 SH SOLE None FARMER BROS CO COM COM 307675108 357 22330 SH SOLE NONE FIFTH THIRD BANK COM 316773100 150 12500 SH SOLE NONE FIRSTENERGY CORP COM 337932107 362 9382 SH SOLE NONE FLOWERSERVE CORP COM 34534P105 438 4000 SH SOLE NONE FLY LEASING LTD SPON ADRCOM 34407D109 301 22906 SH SOLE NONE FORD CAP TR II 6.50% COM 345395206 254 5306 SH SOLE NONE FREQUENCY ELECTRONIC COM 358010106 388 64602 SH SOLE None FROZEN FOOD EXPRESS IND COM 359360104 79 28800 SH SOLE NONE FRPRT-MCMRN CPPR GLD B COM 35671D857 329 3853 SH SOLE NONE G WILLI FOOD INTL LTD F COM M52523103 233 36400 SH SOLE NONE GAS NATURAL INC COM 367204104 1382 124325 SH SOLE NONE GENERAL ELECTRIC CO COM 369604103 541 33301 SH SOLE None GLACIER BANCOPR INC COM 37637Q105 239 16353 SH SOLE NONE GOLAR LNG LTD COM G9456A100 380 30390 SH SOLE NONE GRAYMARK HEALTHCARE INC COM 389465204 63 52800 SH SOLE NONE GUANGSHEN RY LTD COM 40065W107 762 41010 SH SOLE NONE HARVERTY FURNITURE CO COM 419596101 361 33100 SH SOLE NONE HAWKINS INC COM 420261109 478 13506 SH SOLE NONE HCP INC COM 40414L109 319 8871 SH SOLE NONE HEINZ H J CO COMMON COM 423074103 431 9100 SH SOLE NONE HENRY BROS ELECTRONICS COM 426286100 173 39875 SH SOLE None HEWLETT-PACKARD COMPANY COM 428236103 245 5817 SH SOLE NONE HUANENG PWR INTL INC AD COM 443304100 513 20700 SH SOLE NONE HUNTINGTON BANCSHARE IN COM 446150104 332 58387 SH SOLE NONE INDUSTRIAS BACHOCO SAF COM 456463108 207 10900 SH SOLE NONE ING CLARION GLOBAL R/E COM 44982G104 123 16288 SH SOLE NONE INTEL CORP COM 458140100 226 11780 SH SOLE NONE INTERCLICK INC COM 458483203 246 60700 SH SOLE NONE INTL BUSINESS MACH CORP COM 459200101 279 2079 SH SOLE NONE ISHARES MSCI AUSTRALIA COM 464286103 373 15695 SH SOLE NONE ISHARES MSCI BRAZIL INDXCOM 464286400 263 3423 SH SOLE NONE ISHARES MSCI EAFE INDEX COM 464287465 237 4323 SH SOLE NONE ISHARES MSCI JAPAN ETF COM 464286848 370 37440 SH SOLE NONE ISHARES MSCI MEXICO COM 464286822 385 7266 SH SOLE NONE ISHARES MSCI SWEDEN FD COM 464286756 418 14430 SH SOLE NONE ISHARES RUSSELL 2000 IDXCOM 464287655 473 7004 SH SOLE NONE ISHARES TR MSCI EMERG COM 464287234 838 18710 SH SOLE NONE ITT CORP COM 450911102 1698 36263 SH SOLE None JOHN WILEY & SONS INC CL A 968223206 2101 51410 SH SOLE None JOHNSON JOHNSON COM 478160104 499 8048 SH SOLE NONE JPMORGAN CHASE CO COM 46625H100 526 13824 SH SOLE NONE KAISER ALUMINUM CORP COM 483007704 910 21260 SH SOLE NONE KSN CITY LIFE INS CO COM 484836101 275 8822 SH SOLE NONE KANSAS CITY SOUTHERN COM 485170302 1738 46445 SH SOLE None KIMBER RES INC COM 49435N101 373 401000 SH SOLE NONE KINDER MORGAN ENERGY COM 494550106 380 5554 SH SOLE NONE KINDER MORGAN MGMT LLC COM 49455U100 1650 27383 SH SOLE NONE LACLEDE GROUP INC COM 505597104 2251 65402 SH SOLE NONE LAYNE CHRISTENSON CO COM 521050104 645 24930 SH SOLE NONE LEGGETT PLATT INC COM 524660107 262 11500 SH SOLE NONE LEUCADIA NATL CORP COM 527288104 1904 80618 SH SOLE NONE LIMONEIRA CO COM 532746104 1425 70770 SH SOLE NONE LONGWEI PETRO INVT HLDG COM 543354104 25 11000 SH SOLE NONE LRAD CORP COM 50213V109 69 44150 SH SOLE NONE MANITOWOC COMPANY INC COM 563571108 231 19041 SH SOLE NONE MARATHON OIL CORP COM 565849106 399 12045 SH SOLE NONE MARTIN MARIETTA MATERIALCOM 573284106 891 11570 SH SOLE NONE MATERIALS SECTOR SPDR COM 81369Y100 30 904709 SH SOLE NONE MCDONALDS CORP COM 580135101 323 4335 SH SOLE NONE MDU RES GROUP INC COM 552690109 1082 54222 SH SOLE None MEDTRONIC INC COM 585055106 1129 33630 SH SOLE NONE MELA SCIENCES INC COM 55277R100 425 65166 SH SOLE NONE MELCO PBL ENTNMNT ADR COM 585464100 165 32600 SH SOLE NONE MESA LABS INC COM 59064R109 363 15791 SH SOLE NONE MGE ENERGY INC COM 55277P104 787 19890 SH SOLE None MIDAS GROUP INC COM 595626102 382 50200 SH SOLE NONE MIDDLESEX WATER CO COM 596680108 988 58648 SH SOLE NONE MONMOUTH REAL EST CL A COM 609720107 461 58933 SH SOLE NONE MS EMERG MKTS DEBT COM 61744H105 173 15310 SH SOLE NONE MUELLER WTR PROD INC COM 624758108 160 52893 SH SOLE None NAM TAI ELECTRS PAR$0.02COM 629865205 269 58300 SH SOLE NONE NAPCO SECURITY TECHNOLGOCOM 630402105 21 10981 SH SOLE NONE NASDAQ OMX GROUP COM 631103108 393 20225 SH SOLE NONE NATIONAL TECHNICAL SYS COM 638104109 81 10620 SH SOLE NONE NATL FUEL GAS CO COM 636180101 2863 55266 SH SOLE NONE NEW GENERATION BIOFUELS COM 644461105 2 15000 SH SOLE NONE NEXTERA ENERGY INC COM 65339F101 884 16249 SH SOLE NONE NGAS RESOURCES INC COM 62912T103 317 372516 SH SOLE NONE NGP CAPITAL RESOURCES COM 62912R107 382 42188 SH SOLE None NOVO NORDISK A S ADR COM 670100205 1470 14932 SH SOLE NONE NV ENERGY INC COM 67073Y106 1041 79132 SH SOLE NONE NYSE EURONEXT COM 629491101 1038 36346 SH SOLE NONE OILSANDS QUEST INC COM 678046103 13 24900 SH SOLE NONE ORACLE CORP COM 68389X105 255 9495 SH SOLE NONE PENGROWTH ENERGY TRUST-ACOM 706902509 171 15488 SH SOLE NONE PENN WEST ENERGY TRUST 707885109 444 22099 SH SOLE NONE PENNICHUCK CORP COM 708254206 3897 169420 SH SOLE NONE PEPSICO INCORPORATED COM 713448108 350 5264 SH SOLE NONE PFIZER INC COM 717081103 963 56114 SH SOLE None PHILIP MORRIS INTL INC COM 718172109 259 4622 SH SOLE NONE PIKE ELECTRIC CORP COM 721283109 275 37750 SH SOLE NONE PITNEY BOWES COM 724479100 221 10350 SH SOLE NONE PLAINS ALL AMERICAN COM 726503105 551 8755 SH SOLE NONE PLEXUS CORPORATION COM 729132100 257 8750 SH SOLE NONE PORTLAND GENERAL ELEC COM 736508847 1056 52090 SH SOLE NONE POSCO SPONSORED ADR COM 693483109 605 5309 SH SOLE NONE POWERSHARES WATER RESRCECOM 73935X575 172 10400 SH SOLE NONE PROCTER GAMBLE CO COM 742718109 649 10827 SH SOLE NONE PROGRESS ENERGY INC COM 743263105 312 7027 SH SOLE NONE PROSPECT CAPITAL CORP COM 74348T102 257 26430 SH SOLE NONE PROVIDENCE & WORCESTER COM 743737108 1638 132601 SH SOLE None PUTNM MSTR INTMD TR SBI COM 746909100 180 28700 SH SOLE NONE QEP RESOURCES INC COM 74733V100 1289 42773 SH SOLE NONE QUESTAR CORP COM 748356102 454 25870 SH SOLE None RANGE RESOURCES CORP COM 75281A109 829 21735 SH SOLE None RENTECH INC COM 760112102 11 11500 SH SOLE NONE RGC RESOURCES INC COM 74955L103 933 30888 SH SOLE NONE ROCHESTER MEDICAL CORP COM 771497104 764 70025 SH SOLE NONE ROPER INDS INC NEW COM 776696106 256 3925 SH SOLE NONE RUBAN FINL CORP COM 78176P108 111 34900 SH SOLE NONE S J W CORP COM 784305104 2319 94135 SH SOLE NONE SANFILIPPO JOHN B SON COM 800422107 305 23100 SH SOLE NONE SIMCERE PHARMACEUTICAL COM 82859P104 387 39100 SH SOLE NONE SOUTHERN COMPANY COM 842587107 219 5868 SH SOLE NONE SOUTHERN UN CO NEW COM 844030106 1030 42799 SH SOLE NONE SPDR BRCL CAP 1-3MTH ETFCOM 78464A680 3994 87108 SH SOLE NONE SPDR DOw JONES INDL ETF COM 78467X109 322 2985 SH SOLE NONE SPDR S P 500 TRUST ETF COM 78462F103 1172 10271 SH SOLE NONE SPECTRA ENERGY CORP COM 847560109 408 18081 SH SOLE NONE SUNCOR ENERGY INC NEW COM 867224107 571 17534 SH SOLE NONE SUNOPTA INC COM 8676EP108 362 59375 SH SOLE None SWISS HELVETIA FUND INC COM 870875101 548 43605 SH SOLE NONE SYMANTEC CORP COM 871503108 165 10929 SH SOLE NONE SYMS CORP COM 871551107 555 72900 SH SOLE NONE SYNOVIS LIFE TECH INC COM 87162G105 428 28650 SH SOLE NONE TANGER FACTRY OUTLET CTRCOM 875465106 240 5100 SH SOLE NONE TELEFONICA SA COM 879382208 359 4846 SH SOLE NONE THOMPSON CREEK METALS COM 884768102 378 35025 SH SOLE NONE TIANYIN PHARMACETICAL COM 88630M104 405 133580 SH SOLE NONE TORTOISE ENERGY INFRA COM 89147L100 766 22360 SH SOLE NONE TOTAL S.A. SPONS ADR COM 89151E109 416 8056 SH SOLE NONE TRANSATLANTIC PETROLEUM COM G89982105 80 27000 SH SOLE NONE TRANSCANADA CORP COM 89353D107 234 6300 SH SOLE NONE TRINITY INDUSTRIES INC COM 896522109 815 36615 SH SOLE None TYSON FOODS INC COM 902494103 634 39550 SH SOLE NONE UGI CORP NEW COM 902681105 591 20650 SH SOLE NONE UMH PROPERTIES INC COM 903002103 607 56542 SH SOLE NONE UQM TECHNOLOGIES INC COM 903213106 32 12500 SH SOLE NONE UNITED PARCE SERVICE-B COM 911312106 293 4400 SH SOLE NONE UNITIL CORP COM 913259107 2263 103110 SH SOLE NONE US NATURAL GAS FUND LP COM 912318102 97 15800 SH SOLE NONE US GOLD COM 912023207 323 65010 SH SOLE NONE VALENCE TECH INC. COM 918914102 17 15100 SH SOLE NONE VEOLIA ENVIRONMENT COM 92334N103 1046 39695 SH SOLE NONE VERIZON COMMUNICATIONS COM 92343V104 1016 31163 SH SOLE NONE VERSAR INC COM 925297103 323 107100 SH SOLE NONE VILLAGE SUPER MTK CL A COM 927107409 6031 215863 SH SOLE NONE VIRTUALSCOPTICS INC COM 928269109 10 10000 SH SOLE NONE VODAFONE GROUP SPONS ADRCOM 92857W209 1786 71992 SH SOLE NONE VULCAN MATERIALS CO COM 929160109 1002 27152 SH SOLE NONE WAL-MART STORES INC COM 931142103 533 9960 SH SOLE NONE WEST ASST EMRG MKTS DEB COM 95766A101 228 11952 SH SOLE NONE WESTRN ASST MUNI FUND COM 958435109 207 21300 SH SOLE NONE WILLIAMS COMPANIE INC COM 969457100 710 37170 SH SOLE NONE WINTHROP REALTY TR COM 976391300 779 62993 SH SOLE None WIZZARD SFTW CORP NEW COM 97750V109 2 10000 SH SOLE NONE YAMANA GOLD INC COM 98462Y100 147 12900 SH SOLE NONE YONGYE INTL INC COM 98607B106 116 16500 SH SOLE NONE
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