-----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, GKQGKUBtn49UE3e01gLUnP4uO7zAQXpLjQmon8hegarPxRUlF+1nfRnW7eUwBKcZ oFAHN2BgJhoJGtfyOKJdSA== 0001144204-07-042619.txt : 20070813 0001144204-07-042619.hdr.sgml : 20070813 20070813172839 ACCESSION NUMBER: 0001144204-07-042619 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070630 FILED AS OF DATE: 20070813 DATE AS OF CHANGE: 20070813 EFFECTIVENESS DATE: 20070813 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FCA CORP /TX CENTRAL INDEX KEY: 0001166402 IRS NUMBER: 760076528 STATE OF INCORPORATION: TX FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10019 FILM NUMBER: 071050263 BUSINESS ADDRESS: STREET 1: 5847 SAN FELIPE # 850 CITY: HOUSTON STATE: TX ZIP: 77057 BUSINESS PHONE: 7137817195 MAIL ADDRESS: STREET 1: 5847 SAN FELIPE CITY: HOUSTON STATE: TX ZIP: 77057 13F-HR 1 v084274_13fhr.txt UNITED STATES SEUCRITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F Report for the Calendar Year or quarter Ended June 30, 2007 If amended report check here: [ ] Amendment Number:___ This Amendment (Check only one): [ ] is a restatement [ ] adds new holding [ ] entries FCA Corp - -------------------------------------------------------------------------------- Name of Insitutional Investment Manager 5847 San Felipe, Suite 850 Houston Texas 77057 - -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip Code) 13F File Number: 028-10019 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, and tables are considered integral parts of this form. Person signing this Report on behalf of Reporting Manager: Katheryn E. Surface Burks Chief Compliance Officer 713-260-1440 - ------------------------------------------------------------------------------- Name Title Telephone /s/ Katheryn E. Surface Burks -------------------------------- Manual Signature of Person Duly Authorized to submit this Report Houston, TX 8-13-2007 -------------------------------- Place and Date of Signing Report Type: [X] 13F Holdings Report [ ] 13F Notice [ ] 13F Combination Report Report Summary: Number of other included managers: 0 Form 13F information table entry total: 269 Form 13F table value total: $206,055 List of other included Managers: None FCA Corp Form 13(f) For the Quarter Ending June 30, 2007
INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR MKT SHARES OR --------------------- ----------------- OF ID CUSIP VALUE PRINCIPAL SH/ PUT/ SOLE SHARED OTHER OTHER SOLE SHARED OTHER NAME OF ISSUER CLASS NUMBER (X1,000) AMOUNT PRN CALL (A) (B) (C) MANAGERS (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ 1ST CENTURY BANK N.A. COMMON STOCK 319425104 434 61,950 SH 61,950 61,950 3M CO COMMON STOCK 88579Y101 1,107 12,754 SH 12,754 12,754 ABN AMRO HOLDING NV-SP ADR ADR 000937102 491 10,706 SH 10,706 10,706 ADAMS EXPRESS COMPANY CLOSED-END FUND 006212104 186 12,476 SH 12,476 12,476 AGCO CORP COMMON STOCK 001084102 651 15,000 SH 15,000 15,000 ALAMO GROUP INC COMMON STOCK 011311107 1,675 66,464 SH 66,464 66,464 ALTO PALERMO S.A.-ADR ADR 02151P107 315 17,000 SH 17,000 17,000 AMDOCS LTD COMMON STOCK G02602103 398 10,000 SH 10,000 10,000 AMERICAN BUSINESS BANK COMMON STOCK 02475L105 1,083 44,651 SH 44,651 44,651 AMERICAN EXPRESS CO COMMON STOCK 025816109 1,321 21,585 SH 21,585 21,585 AMERICAN FINANCIAL REALTY TR REIT 02607P305 124 12,000 SH 12,000 12,000 AMERICAN INTERNATIONAL GROUP COMMON STOCK 026874107 2,496 35,640 SH 35,640 35,640 AMERICAN LAND LEASE INC REIT 027118108 315 12,600 SH 7,000 5,600 5,600 7,000 AMERICAN NATIONAL INSURANCE COMMON STOCK 028591105 457 2,998 SH 2,998 2,998 AMERICAN STATES WATER CO COMMON STOCK 029899101 1,441 40,500 SH 40,500 40,500 AMGEN INC COMMON STOCK 031162100 1,769 32,002 SH 32,002 32,002 ANGLO AMERICAN PLC-UNSP ADR ADR 03485P201 419 13,000 SH 13,000 13,000 AQUA AMERICA INC COMMON STOCK 03836W103 638 28,384 SH 28,384 28,384 AQUENTIUM INC COMMON STOCK 03840C101 1 12,500 SH 12,500 12,500 ARCHSTONE-SMITH TRUST REIT 039583109 236 4,000 SH 4,000 4,000 ARKEMA-SPONSORED ADR ADR 041232109 398 6,130 SH 6,130 6,130 AT&T INC COMMON STOCK 00206R102 1,326 31,949 SH 31,949 31,949 ATMOS ENERGY CORP COMMON STOCK 049560105 451 15,000 SH 15,000 15,000 AUTOMATIC DATA PROCESSING COMMON STOCK 053015103 262 5,400 SH 5,400 5,400 BANCO SANTANDER CEN-SPON ADR ADR 05964H105 312 17,000 SH 17,000 17,000 BANK OF AMERICA CORP COMMON STOCK 060505104 1,747 35,724 SH 35,724 35,724 BAXTER INTERNATIONAL INC COMMON STOCK 071813109 963 17,100 SH 17,100 17,100 BIOVAIL CORP COMMON STOCK 09067J109 407 16,000 SH 16,000 16,000 BLACKROCK LTD DURATION INC CLOSED-END FUND 09249W101 190 10,000 SH 10,000 10,000 BNP PARIBAS-ADR ADR 05565A202 357 6,000 SH 6,000 6,000 BOK FINANCIAL CORPORATION COMMON STOCK 05561Q201 200 3,751 SH 3,751 3,751 BP PLC-SPONS ADR ADR 055622104 366 5,080 SH 5,080 5,080 BRITISH AIRWAYS -SPONS ADR ADR 110419306 316 3,800 SH 3,800 3,800 BUNGE LTD COMMON STOCK G16962105 549 6,500 SH 6,500 6,500 BURLINGTON NORTHERN SANTA FE COMMON STOCK 12189T104 1,764 20,718 SH 20,718 20,718 CALIFORNIA WATER SERVICE GRP COMMON STOCK 130788102 1,490 39,750 SH 39,750 39,750 CAMDEN PROPERTY TRUST REIT 133131102 261 3,900 SH 3,900 3,900 CATERPILLAR INC COMMON STOCK 149123101 313 4,000 SH 4,000 4,000 CEMEX SAB-SPONS ADR PART CER ADR 151290889 436 11,821 SH 11,821 11,821 CENTRAL SECURITIES CORP CLOSED-END FUND 155123102 947 32,602 SH 32,602 32,602 CHEMED CORP COMMON STOCK 16359R103 345 5,200 SH 5,200 5,200 CHESAPEAKE ENERGY CORP PUBLIC 165167842 101 1,000 SH 1,000 1,000 CHEVRON CORP COMMON STOCK 166764100 266 3,163 SH 3,163 3,163 CIA SANEAMENTO BASICO DE-ADR ADR 20441A102 220 5,000 SH 5,000 5,000 CIA VALE DO RIO DOCE-ADR ADR 204412209 535 12,000 SH 12,000 12,000 CISCO SYSTEMS INC COMMON STOCK 17275R102 287 10,290 SH 10,290 10,290 CITIGROUP INC COMMON STOCK 172967101 314 6,121 SH 6,121 6,121 COCA-COLA CO/THE COMMON STOCK 191216100 264 5,044 SH 5,044 5,044 COHEN & STEERS REIT UTI & IN CLOSED-END FUND 19247Y108 326 15,300 SH 15,300 15,300 COHEN & STEERS SEL UTILITY CLOSED-END FUND 19248A109 467 17,800 SH 17,800 17,800 COMMUNITY SOUTHERN BANK-CW08 EQUITY WRT 20405A114 1 2,000 SH 2,000 2,000 COMPASS BANCSHARES INC COMMON STOCK 20449H109 424 6,150 SH 6,150 6,150 CONMED CORP COMMON STOCK 207410101 226 7,720 SH 7,720 7,720 CONSTELLATION ENERGY GROUP COMMON STOCK 210371100 1,308 15,000 SH 15,000 15,000 CONTINENTAL AIRLINES-CLASS B COMMON STOCK 210795308 339 10,000 SH 10,000 10,000 COOPER TIRE & RUBBER COMMON STOCK 216831107 927 33,550 SH 33,550 33,550 CREDIT SUISSE ASSET MGMT INC CLOSED-END FUND 224916106 192 44,800 SH 44,800 44,800 CRH PLC-SPONSORED ADR ADR 12626K203 458 9,200 SH 9,200 9,200 CVS CAREMARK CORP COMMON STOCK 126650100 2,448 67,161 SH 67,161 67,161 DELTA FINANCIAL CORP COMMON STOCK 247918105 209 17,000 SH 17,000 17,000 DENTSPLY INTERNATIONAL INC COMMON STOCK 249030107 256 6,700 SH 6,700 6,700 DESARROLLADORA HOMEX-ADR ADR 25030W100 545 9,000 SH 9,000 9,000 DEUTSCHE BANK AG-REGISTERED COMMON STOCK D18190898 579 4,000 SH 4,000 4,000 DIAMONDROCK HOSPITALITY CO REIT 252784301 229 12,000 SH 12,000 12,000 DIAMONDS TRUST SERIES I ETF 252787106 13 100 SH 100 100 DIME BANCORP-WT EQUITY WRT 25429Q110 0 260 SH 260 260 DOW CHEMICAL COMMON STOCK 260543103 1,101 24,890 SH 24,890 24,890 DRS TECHNOLOGIES INC COMMON STOCK 23330X100 1,094 19,096 SH 19,096 19,096 DST SYSTEMS INC COMMON STOCK 233326107 585 7,385 SH 7,385 7,385 DUKE REALTY CORP REIT 264411505 521 14,600 SH 14,600 14,600 DWS RREEF REAL ESTATE FD II CLOSED-END FUND 23338X102 232 12,800 SH 12,800 12,800 DWS RREEF REAL ESTATE FD INC CLOSED-END FUND 233384106 213 9,000 SH 9,000 9,000 E.ON AG -SPONSORED ADR ADR 268780103 445 8,000 SH 8,000 8,000 EATON VANCE LTD DURATION FND CLOSED-END FUND 27828H105 186 10,400 SH 10,400 10,400 ELECTRONIC ARTS INC COMMON STOCK 285512109 473 10,000 SH 10,000 10,000 ENERGY SELECT SECTOR SPDR ETF 81369Y506 2,423 35,125 SH 35,125 35,125 EQUITY INCOME FUND (AT&T) CLOSED-END FUND 294700703 791 6,249 SH 6,249 6,249 EQUITY INNS INC REIT 294703103 246 11,000 SH 11,000 11,000 EQUITY ONE INC REIT 294752100 321 12,547 SH 12,547 12,547 EVEREST RE GROUP LTD COMMON STOCK G3223R108 419 3,861 SH 3,861 3,861 EVERGREEN MULTI SECTOR INC F CLOSED-END FUND 30024Y104 191 11,200 SH 11,200 11,200 EXTRA SPACE STORAGE INC REIT 30225T102 218 13,200 SH 13,200 13,200 EXXON MOBIL CORP COMMON STOCK 30231G102 2,236 26,659 SH 26,659 26,659 FANNIE MAE COMMON STOCK 313586109 222 3,400 SH 1,600 1,800 1,800 1,600 FIRST SEISMIC CORP COMMON STOCK 336397104 10 339,785 SH 339,785 339,785 FIRST TRUST VALUE LINE 100 ETF 33735G107 1,180 70,873 SH 70,873 70,873 FIRST TRUST VALUE LINE DVD ETF 33734H106 2,104 124,113 SH 124,113 124,113 FIRST TRUST/FOUR CRNS SR F 2 CLOSED-END FUND 33733U108 221 11,771 SH 11,771 11,771 FISERV INC COMMON STOCK 337738108 282 4,960 SH 4,960 4,960 FLAGSTAR BANCORP INC COMMON STOCK 337930101 619 51,350 SH 51,350 51,350 FORD MOTOR CO CAP TR II PUBLIC 345395206 506 13,150 SH 13,150 13,150 FPL GROUP INC COMMON STOCK 302571104 2,139 37,700 SH 37,700 37,700 FRANCE TELECOM SA-SPONS ADR ADR 35177Q105 412 15,000 SH 15,000 15,000 FREDDIE MAC COMMON STOCK 313400301 279 4,600 SH 4,600 4,600 GENERAL ELECTRIC CO COMMON STOCK 369604103 578 15,100 SH 15,100 15,100 GENERAL GROWTH PROPERTIES REIT 370021107 238 4,500 SH 4,500 4,500 GENERAL MOTORS CORP PUBLIC 370442741 44 2,000 SH 2,000 2,000 GENESEE & WYOMING INC-CL A COMMON STOCK 371559105 3,706 124,182 SH 124,182 124,182 GLAXOSMITHKLINE PLC-SPON ADR ADR 37733W105 721 13,759 SH 5,759 8,000 8,000 5,759 GMH COMMUNITIES TRUST REIT 36188G102 150 15,500 SH 15,500 15,500 GRUPO TELEVISA SA-SPONS ADR ADR 40049J206 414 15,000 SH 15,000 15,000 HANG LUNG PROPERTIES-SP ADR ADR 41043M104 313 18,000 SH 18,000 18,000 HEADWATERS INC COMMON STOCK 42210P102 173 10,000 SH 10,000 10,000 HERSHA HOSPITALITY TRUST REIT 427825104 142 12,000 SH 12,000 12,000 HIGHLAND HOSPITALITY CORP REIT 430141101 332 17,300 SH 17,300 17,300 HOME DEPOT INC COMMON STOCK 437076102 867 22,032 SH 18,732 3,300 3,300 18,732 HOST HOTELS & RESORTS INC REIT 44107P104 273 11,819 SH 183 11,636 11,636 183 HRPT PROPERTIES TRUST REIT 40426W101 105 10,100 SH 10,100 10,100 ING GROEP N.V.-SPONSORED ADR ADR 456837103 609 13,842 SH 13,842 13,842 INGLES MARKETS INC -CL A COMMON STOCK 457030104 3,314 96,203 SH 96,203 96,203 INTEGRYS ENERGY GROUP INC COMMON STOCK 45822P105 1,136 22,388 SH 22,388 22,388 INTEL CORP COMMON STOCK 458140100 831 34,995 SH 34,995 34,995 INTERCONTINENTAL HOTELS-ADR ADR 45857P301 471 19,003 SH 19,003 19,003 INTL BUSINESS MACHINES CORP COMMON STOCK 459200101 1,236 11,746 SH 11,746 11,746 INTL RECTIFIER CORP COMMON STOCK 460254105 373 10,000 SH 10,000 10,000 INTL SPEEDWAY CORP-CL A COMMON STOCK 460335201 416 7,900 SH 7,900 7,900 IRSA -SP GDR GDR 450047204 185 10,000 SH 10,000 10,000 ISHARES COHEN & STEERS RLTY ETF 464287564 1,971 21,791 SH 18,791 3,000 3,000 18,791 ISHARES DJ SELECT DIVIDEND ETF 464287168 1,320 18,360 SH 18,360 18,360 ISHARES DJ US REAL ESTATE ETF 464287739 519 6,710 SH 3,510 3,200 3,200 3,510 ISHARES DJ US TECHNOLOGY SEC ETF 464287721 268 4,500 SH 4,500 4,500 ISHARES FTSE/XINHUA CHINA 25 ETF 464287184 412 3,200 SH 3,200 3,200 ISHARES LEHMAN 1-3YR TRS BD ETF 464287457 401 5,000 SH 5,000 5,000 ISHARES MORNINGSTAR LG VAL I ETF 464288109 368 4,200 SH 4,200 4,200 ISHARES MSCI EAFE GROWTH INX ETF 464288885 611 8,050 SH 8,050 8,050 ISHARES MSCI EAFE INDEX FUND ETF 464287465 5,718 70,794 SH 70,794 70,794 ISHARES MSCI EMERGING MKT IN ETF 464287234 1,977 15,016 SH 15,016 15,016 ISHARES MSCI EMU ETF 464286608 2,472 20,947 SH 20,947 20,947 ISHARES MSCI JAPAN INDEX FD ETF 464286848 1,739 119,871 SH 94,871 25,000 25,000 94,871 ISHARES MSCI PACIFIC EX JPN ETF 464286665 280 1,910 SH 1,910 1,910 ISHARES MSCI UNITED KINGDOM ETF 464286699 526 20,600 SH 20,600 20,600 ISHARES NASDAQ BIOTECH INDX ETF 464287556 359 4,600 SH 4,600 4,600 ISHARES RUSSELL 1000 INDEX ETF 464287622 258 3,160 SH 3,160 3,160 ISHARES RUSSELL 2000 ETF 464287655 506 6,100 SH 6,100 6,100 ISHARES RUSSELL 2000 VALUE ETF 464287630 317 3,850 SH 3,850 3,850 ISHARES RUSSELL 3000 GROWTH ETF 464287671 569 11,780 SH 11,780 11,780 ISHARES RUSSELL 3000 INDEX ETF 464287689 2,632 30,246 SH 30,246 30,246 ISHARES RUSSELL 3000 VALUE ETF 464287663 582 5,165 SH 5,165 5,165 ISHARES RUSSELL MIDCAP VALUE ETF 464287473 304 1,930 SH 1,930 1,930 ISHARES S&P 500 GROWTH INDEX ETF 464287309 620 9,033 SH 9,033 9,033 ISHARES S&P 500 VALUE INDEX ETF 464287408 552 6,755 SH 6,755 6,755 ISHARES S&P EUROPE 350 ETF 464287861 3,494 29,883 SH 29,883 29,883 ISHARES S&P GLBL HEALTHCARE ETF 464287325 3,059 51,700 SH 51,700 51,700 ISHARES S&P GLOBAL 100 ETF 464287572 1,576 19,630 SH 19,630 19,630 ISHARES S&P GSTI NETWORKING ETF 464287531 364 10,200 SH 10,200 10,200 ISHARES S&P GSTI TECHNOLOGY ETF 464287549 243 4,300 SH 4,300 4,300 ISHARES S&P LATIN AMERICA 40 ETF 464287390 327 1,534 SH 1,534 1,534 ISHARES S&P MIDCAP 400 ETF 464287507 2,717 30,438 SH 30,438 30,438 ISHARES S&P MIDCAP 400/VALUE ETF 464287705 613 7,083 SH 7,083 7,083 ISHARES S&P SMALLCAP 600 ETF 464287804 1,498 21,072 SH 21,072 21,072 ISHARES S&P SMALLCAP 600/VAL ETF 464287879 3,278 41,290 SH 41,290 41,290 ISHARES S&P/TOPIX 150 INDEX ETF 464287382 486 3,800 SH 300 3,500 3,500 300 JAMES HARDIE INDS-SPONS ADR ADR 47030M106 445 12,100 SH 12,100 12,100 JANUARY 08 CALLS ON EWJ US EQUITY OPTION EWJ+AV 24 100 SH CALL 100 100 JANUARY 08 CALLS ON IWB US EQUITY OPTION IBW+AK 71 30 SH CALL 30 30 JANUARY 08 CALLS ON QQQQ US EQUITY OPTION QAV+AG 39 25 SH CALL 25 25 JANUARY 08 CALLS ON UDR US EQUITY OPTION UDR+AE 11 40 SH CALL 40 40 JANUS CAPITAL GROUP INC COMMON STOCK 47102X105 1,579 56,725 SH 56,725 56,725 JOHN HAN BK & THRIFT OPP FD CLOSED-END FUND 409735107 1,550 170,895 SH 170,895 170,895 JOHN HANCOCK PFD INCOME II CLOSED-END FUND 41013X106 209 8,800 SH 8,800 8,800 JOHNSON & JOHNSON COMMON STOCK 478160104 774 12,556 SH 12,556 12,556 KINGFISHER PLC-SPONS ADR ADR 495724403 109 12,000 SH 12,000 12,000 KITE REALTY GROUP TRUST REIT 49803T102 190 10,000 SH 10,000 10,000 KMG CHEMICALS INC COMMON STOCK 482564101 2,336 88,393 SH 88,393 88,393 KT CORP-SP ADR ADR 48268K101 223 9,500 SH 9,500 9,500 KVH INDUSTRIES INC COMMON STOCK 482738101 140 16,000 SH 16,000 16,000 LACLEDE GROUP INC/THE COMMON STOCK 505597104 638 20,000 SH 20,000 20,000 LAFARGE S.A.-SPONSORED ADR ADR 505861401 228 5,000 SH 5,000 5,000 LIFEPOINT HOSPITALS INC COMMON STOCK 53219L109 580 15,000 SH 15,000 15,000 LLOYDS TSB GROUP PLC -SP ADR ADR 539439109 487 10,900 SH 10,900 10,900 LMP REAL ESTATE INCOME FUND CLOSED-END FUND 50208C108 345 16,000 SH 16,000 16,000 LOWE'S COS INC COMMON STOCK 548661107 2,404 78,321 SH 72,321 6,000 6,000 72,321 LUBRIZOL CORP COMMON STOCK 549271104 326 5,055 SH 5,055 5,055 LUCENT-CW07 EQUITY WRT 549463131 0 138 SH 138 138 LUFKIN INDUSTRIES INC COMMON STOCK 549764108 646 10,000 SH 10,000 10,000 LYONDELL CHEMICAL COMPANY COMMON STOCK 552078107 371 10,000 SH 10,000 10,000 MANULIFE FINANCIAL CORP COMMON STOCK 56501R106 290 7,762 SH 7,762 7,762 MBIA CAP/CLAYMORE MGD DUR IN CLOSED-END FUND 55266X100 223 17,589 SH 17,589 17,589 MEDALLION FINANCIAL CORP COMMON STOCK 583928106 421 35,619 SH 35,619 35,619 MFS GOVT MARKETS INC TRUST CLOSED-END FUND 552939100 303 45,600 SH 45,600 45,600 MICROFINANCIAL INC COMMON STOCK 595072109 4,269 688,600 SH 688,600 688,600 MICROSOFT CORP COMMON STOCK 594918104 1,240 42,086 SH 42,086 42,086 MIDCAP SPDR TRUST SERIES 1 ETF 595635103 1,476 9,061 SH 9,061 9,061 MITSUBISHI UFJ FINL GRP-ADR ADR 606822104 110 10,000 SH 10,000 10,000 NATIONAL GRID PLC-SP ADR ADR 636274300 227 3,071 SH 3,071 3,071 NATIONAL OILWELL VARCO INC COMMON STOCK 637071101 379 3,633 SH 3,633 3,633 NESTLE SA-SPONS ADR FOR REG ADR 641069406 297 3,100 SH 3,100 3,100 NETFLIX INC COMMON STOCK 64110L106 1,338 69,013 SH 69,013 69,013 NEWELL RUBBERMAID INC COMMON STOCK 651229106 215 7,300 SH 7,300 7,300 NEXEN INC COMMON STOCK 65334H102 867 28,001 SH 28,001 28,001 NIS GROUP CO LTD - ADR ADR 654655109 49 11,520 SH 11,520 11,520 NORFOLK SOUTHERN CORP COMMON STOCK 655844108 473 9,000 SH 9,000 9,000 NORTHROP GRUMMAN CORP COMMON STOCK 666807102 382 4,900 SH 4,900 4,900 NORTHWEST NATURAL GAS CO COMMON STOCK 667655104 277 6,000 SH 6,000 6,000 OIL SERVICE HOLDRS TRUST ETF 678002106 1,730 9,900 SH 9,900 9,900 OPTEUM INC-CLASS A REIT 68384A100 36 13,400 SH 13,400 13,400 PARKER DRILLING CO COMMON STOCK 701081101 833 79,000 SH 79,000 79,000 PENTAIR INC COMMON STOCK 709631105 492 12,760 SH 12,760 12,760 PETROQUEST ENERGY INC COMMON STOCK 716748108 145 10,000 SH 10,000 10,000 PFIZER INC COMMON STOCK 717081103 513 20,056 SH 20,056 20,056 PIMCO CORPORATE INCOME FUND CLOSED-END FUND 72200U100 202 13,600 SH 13,600 13,600 PORTUGAL TELECOM SGPS-SP ADR ADR 737273102 282 20,300 SH 20,300 20,300 PRAXAIR INC COMMON STOCK 74005P104 1,447 20,100 SH 20,100 20,100 PROGRESS ENERGY INC COMMON STOCK 743263105 1,654 36,274 SH 36,274 36,274 PROSPECT STREET INCOME SHRS CLOSED-END FUND 743590101 189 30,800 SH 30,800 30,800 PRUDENTIAL FINANCIAL INC COMMON STOCK 744320102 535 5,500 SH 500 5,000 5,000 500 PS BUSINESS PARKS INC/CA REIT 69360J107 222 3,500 SH 3,500 3,500 PUBLIC STORAGE REIT 74460D109 346 4,500 SH 1,500 3,000 3,000 1,500 QUANEX CORP COMMON STOCK 747620102 316 6,487 SH 6,487 6,487 RED ALERT GROUP INC COMMON STOCK 75629Q105 0 25,067 SH 25,067 25,067 REGAL BELOIT CORP COMMON STOCK 758750103 925 19,870 SH 19,870 19,870 REPUBLIC PROPERTY TRUST REIT 760737106 147 12,000 SH 12,000 12,000 RGC RESOURCES INC COMMON STOCK 74955L103 524 18,838 SH 18,838 18,838 RINKER GROUP LTD-ADR ADR 76687M101 478 6,000 SH 6,000 6,000 ROYCE MICRO-CAP TRUST CLOSED-END FUND 780915104 966 62,675 SH 62,675 62,675 ROYCE VALUE TRUST CLOSED-END FUND 780910105 4,404 205,584 SH 205,584 205,584 RYDEX S&P EQ WGT HEALTHCARE ETF 78355W841 1,522 26,950 SH 26,950 26,950 RYDEX S&P EQUAL WEIGHT ETF ETF 78355W106 3,349 65,413 SH 65,413 65,413 SANDISK CORP COMMON STOCK 80004C101 254 5,200 SH 200 5,000 5,000 200 SAP AG-SPONSORED ADR ADR 803054204 255 5,000 SH 5,000 5,000 SCANA CORP COMMON STOCK 80589M102 233 6,075 SH 6,075 6,075 SEMCO ENERGY INC COMMON STOCK 78412D109 78 10,000 SH 10,000 10,000 SENIOR HOUSING PROP TRUST REIT 81721M109 210 10,300 SH 3,500 6,800 6,800 3,500 SIEMENS AG-SPONS ADR ADR 826197501 429 3,000 SH 3,000 3,000 SMITH INTERNATIONAL INC COMMON STOCK 832110100 263 4,490 SH 4,490 4,490 SOUTHWEST WATER CO COMMON STOCK 845331107 675 52,831 SH 52,831 52,831 SPDR TRUST SERIES 1 ETF 78462F103 333 2,214 SH 2,214 2,214 STARWOOD HOTELS & RESORTS COMMON STOCK 85590A401 322 4,800 SH 300 4,500 4,500 300 STONEMOR PARTNERS LP UNIT 86183Q100 903 36,550 SH 36,550 36,550 STRATEGIC HOTELS & RESORTS I REIT 86272T106 225 10,000 SH 10,000 10,000 SUBURBAN PROPANE PARTNERS LP LTD PART 864482104 1,488 31,075 SH 31,075 31,075 SWS GROUP INC COMMON STOCK 78503N107 220 10,191 SH 10,191 10,191 TARGET CORP COMMON STOCK 87612E106 334 5,250 SH 5,250 5,250 TCW STRATEGIC INCOME FUND IN CLOSED-END FUND 872340104 179 37,200 SH 37,200 37,200 TEVA PHARMACEUTICAL-SP ADR ADR 881624209 437 10,598 SH 400 10,198 10,198 400 TEXAS INSTRUMENTS INC COMMON STOCK 882508104 546 14,500 SH 14,500 14,500 TOTAL SA-SPON ADR ADR 89151E109 421 5,200 SH 5,200 5,200 TS&W/CLAYMORE T/A BALANCED CLOSED-END FUND 87280R108 238 15,776 SH 15,776 15,776 TXU CORP COMMON STOCK 873168108 3,820 56,768 SH 56,768 56,768 UBS AG-REG COMMON STOCK H89231338 360 6,000 SH 6,000 6,000 UDR INC REIT 902653104 598 22,744 SH 18,744 4,000 4,000 18,744 UNILEVER N V -NY SHARES NY REG SHRS 904784709 298 9,600 SH 600 9,000 9,000 600 UNITED FIRE & CASUALTY CO COMMON STOCK 910331107 2,093 59,146 SH 59,146 59,146 UNITED TECHNOLOGIES CORP COMMON STOCK 913017109 3,442 48,522 SH 48,522 48,522 USG CORP COMMON STOCK 903293405 343 7,000 SH 7,000 7,000 VALERO ENERGY CORP COMMON STOCK 91913Y100 211 2,861 SH 2,861 2,861 VAN KAMPEN BOND FUND CLOSED-END FUND 920955101 195 11,600 SH 11,600 11,600 VAN KAMPEN SENIOR INCOME TRS CLOSED-END FUND 920961109 439 50,100 SH 50,100 50,100 VARIAN SEMICONDUCTOR EQUIP COMMON STOCK 922207105 514 12,819 SH 819 12,000 12,000 819 VITRAN CORP INC COMMON STOCK 92850E107 341 16,000 SH 16,000 16,000 VODAFONE GROUP PLC-SP ADR ADR 92857W209 294 8,750 SH 875 7,875 7,875 875 VORNADO REALTY TRUST REIT 929042109 330 3,000 SH 3,000 3,000 VTEX ENERGY INC COMMON STOCK 92908G104 1 10,000 SH 10,000 10,000 WA/CLAY US INFL-LKD SEC&INC CLOSED-END FUND 95766Q106 3,007 264,435 SH 264,435 264,435 WASTE MANAGEMENT INC COMMON STOCK 94106L109 961 24,600 SH 24,600 24,600 WELLS FARGO & COMPANY COMMON STOCK 949746101 542 15,400 SH 15,400 15,400 WESTERN ASSET HIGH INCOME OP CLOSED-END FUND 95766K109 202 30,200 SH 30,200 30,200 WESTERN ASSET MANAGED HIGH Y CLOSED-END FUND 95766L107 203 30,800 SH 30,800 30,800 WGL HOLDINGS INC COMMON STOCK 92924F106 1,998 61,221 SH 61,221 61,221 WILLIAMS COS INC COMMON STOCK 969457100 6,499 205,526 SH 205,526 205,526 WILLIAMS-SONOMA INC COMMON STOCK 969904101 1,675 53,054 SH 53,054 53,054 WINSTON HOTELS INC REIT 97563A102 179 11,900 SH 11,900 11,900 WISCONSIN ENERGY CORP COMMON STOCK 976657106 1,066 24,105 SH 24,105 24,105 WISDOMTREE HIGH-YIELDING EQ ETF 97717W208 71 1,200 SH 1,200 1,200 WISDOMTREE JAP S/C DVD FUND ETF 97717W836 62 1,200 SH 1,200 1,200 WISDOMTREE MIDCAP DIVIDEND F ETF 97717W505 53 900 SH 900 900 WORLDWIDE WEB NETWORX CORP COMMON STOCK 981604101 0 34,000 SH 34,000 34,000 XCEL ENERGY INC COMMON STOCK 98389B100 975 47,608 SH 47,608 47,608 XTO ENERGY INC COMMON STOCK 98385X106 301 5,000 SH 5,000 5,000
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