-----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, WynXaBOiu9qAzC7ZEluXk5Fcb65k/3DfAfQmAcA0qfiBtYD9DXFaHMCSFxgcFrdo n5erca8ZAHc0qT2pAR+GZQ== 0001144204-07-006078.txt : 20070209 0001144204-07-006078.hdr.sgml : 20070209 20070209102233 ACCESSION NUMBER: 0001144204-07-006078 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061231 FILED AS OF DATE: 20070209 DATE AS OF CHANGE: 20070209 EFFECTIVENESS DATE: 20070209 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: 07595876 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 v065010_13fhr.txt ---------------------- OMB APPROVAL ---------------------- OMB Number: Expires: Estimated average burden hours per response... UNITED STATES SEUCRITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F Report for the Calendar Year or quarter Ended December 31, 2006 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 2-8-2007 -------------------------------- 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: 270 Form 13F table value total: $194,320 List of other included Managers: None FCA Corp Form 13(f) For the Quarter Ending December 31, 2006
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 520 61,950 SH 61,950 61,950 3M CO COMMON STOCK 88579Y101 922 11,829 SH 11,829 11,829 ABN AMRO HOLDING NV-SP ADR ADR 000937102 343 10,706 SH 10,706 10,706 ADAMS EXPRESS COMPANY CLOSED-END FUND 006212104 173 12,476 SH 12,476 12,476 AEW REAL ESTATE INCOME FUND CLOSED-END FUND 00104H107 469 21,600 SH 5,600 16,000 16,000 5,600 AGCO CORP COMMON STOCK 001084102 619 20,000 SH 20,000 20,000 AIM SELECT REAL ESTATE INC CLOSED-END FUND 00888R107 480 28,800 SH 12,800 16,000 16,000 12,800 ALAMO GROUP INC COMMON STOCK 011311107 1,549 66,017 SH 66,017 66,017 ALCATEL-LUCENT-CW07 EQUITY WRT 549463131 0 138 SH 138 138 ALTO PALERMO S.A.-ADR ADR 02151P107 207 17,000 SH 17,000 17,000 AMDOCS LTD COMMON STOCK G02602103 388 10,000 SH 10,000 10,000 AMERICAN BUSINESS BANK COMMON STOCK 02475L105 1,161 44,651 SH 44,651 44,651 AMERICAN EXPRESS CO COMMON STOCK 025816109 1,310 21,585 SH 21,585 21,585 AMERICAN FINANCIAL REALTY TR REIT 02607P305 137 12,000 SH 12,000 12,000 AMERICAN INTERNATIONAL GROUP COMMON STOCK 026874107 2,515 35,096 SH 35,096 35,096 AMERICAN LAND LEASE INC REIT 027118108 392 14,800 SH 9,200 5,600 5,600 9,200 AMERICAN NATIONAL INSURANCE COMMON STOCK 028591105 342 2,998 SH 2,998 2,998 AMERICAN STATES WATER CO COMMON STOCK 029899101 954 24,700 SH 24,700 24,700 AMGEN INC COMMON STOCK 031162100 1,816 26,592 SH 26,592 26,592 ANGLO AMERICAN PLC-UNSP ADR ADR 03485P102 317 13,000 SH 13,000 13,000 AQUA AMERICA INC COMMON STOCK 03836W103 647 28,384 SH 28,384 28,384 AQUENTIUM INC COMMON STOCK 03840C101 1 12,500 SH 12,500 12,500 ARKEMA-SPONSORED ADR ADR 041232109 314 6,130 SH 6,130 6,130 AT&T INC COMMON STOCK 00206R102 938 26,233 SH 26,233 26,233 ATMOS ENERGY CORP COMMON STOCK 049560105 479 15,000 SH 15,000 15,000 AUTOMATIC DATA PROCESSING COMMON STOCK 053015103 281 5,700 SH 5,700 5,700 BANCO SANTANDER CEN-SPON ADR ADR 05964H105 317 17,000 SH 17,000 17,000 BANK OF AMERICA CORP COMMON STOCK 060505104 1,937 36,283 SH 36,283 36,283 BANK OF NEW YORK CO INC COMMON STOCK 064057102 362 9,200 SH 9,200 9,200 BAXTER INTERNATIONAL INC COMMON STOCK 071813109 826 17,800 SH 17,800 17,800 BELLSOUTH CORP COMMON STOCK 079860102 323 6,850 SH 6,850 6,850 BIOVAIL CORP COMMON STOCK 09067J109 339 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 329 6,000 SH 6,000 6,000 BOK FINANCIAL CORPORATION COMMON STOCK 05561Q201 206 3,751 SH 3,751 3,751 BP PLC-SPONS ADR ADR 055622104 341 5,075 SH 5,075 5,075 BRE PROPERTIES -CL A REIT 05564E106 230 3,540 SH 3,540 3,540 BRITISH AIRWAYS -SPONS ADR ADR 110419306 392 3,800 SH 3,800 3,800 BUNGE LIMITED COMMON STOCK G16962105 471 6,500 SH 6,500 6,500 BURLINGTON NORTHERN SANTA FE COMMON STOCK 12189T104 1,581 21,418 SH 21,418 21,418 CALIFORNIA WATER SERVICE GRP COMMON STOCK 130788102 911 22,550 SH 22,550 22,550 CAMDEN PROPERTY TRUST REIT 133131102 288 3,900 SH 3,900 3,900 CATERPILLAR INC COMMON STOCK 149123101 245 4,000 SH 4,000 4,000 CEMEX SAB-SPONS ADR PART CER ADR 151290889 391 11,538 SH 11,538 11,538 CENTRAL SECURITIES CORP CLOSED-END FUND 155123102 869 32,602 SH 32,602 32,602 CHEVRON CORP COMMON STOCK 166764100 226 3,072 SH 3,072 3,072 CHINA NETCOM GROUP-SPON ADR ADR 16940Q101 214 4,000 SH 4,000 4,000 CIA SANEAMENTO BASICO DE-ADR ADR 20441A102 339 10,000 SH 10,000 10,000 CIA VALE DO RIO DOCE-ADR ADR 204412209 357 12,000 SH 12,000 12,000 CISCO SYSTEMS INC COMMON STOCK 17275R102 859 31,418 SH 31,418 31,418 CITIGROUP INC COMMON STOCK 172967101 304 5,460 SH 5,460 5,460 COCA-COLA CO/THE COMMON STOCK 191216100 374 7,744 SH 7,744 7,744 COHEN & STEERS REIT UTI & IN CLOSED-END FUND 19247Y108 320 14,300 SH 14,300 14,300 COHEN & STEERS SEL UTILITY CLOSED-END FUND 19248A109 280 11,450 SH 11,450 11,450 COMMUNITY SOUTHERN BANK-CW08 EQUITY WRT 20405A114 1 2,000 SH 2,000 2,000 COMPASS BANCSHARES INC COMMON STOCK 20449H109 367 6,150 SH 6,150 6,150 CONSTELLATION ENERGY GROUP COMMON STOCK 210371100 1,033 15,000 SH 15,000 15,000 CONTINENTAL AIRLINES-CLASS B COMMON STOCK 210795308 413 10,000 SH 10,000 10,000 COOPER TIRE & RUBBER COMMON STOCK 216831107 473 33,050 SH 33,050 33,050 CREDIT SUISSE ASSET MGMT INC CLOSED-END FUND 224916106 196 44,800 SH 44,800 44,800 CRH PLC-SPONSORED ADR ADR 12626K203 391 9,200 SH 9,200 9,200 CVS CORP COMMON STOCK 126650100 1,968 63,678 SH 63,678 63,678 DELTA FINANCIAL CORP COMMON STOCK 247918105 172 17,000 SH 17,000 17,000 DESARROLLADORA HOMEX-ADR ADR 25030W100 532 9,000 SH 9,000 9,000 DEUTSCHE BANK AG-REGISTERED COMMON STOCK D18190898 400 3,000 SH 3,000 3,000 DIAMONDROCK HOSPITALITY CO REIT 252784301 216 12,000 SH 12,000 12,000 DIME BANCORP-WT EQUITY WRT 25429Q110 0 260 SH 260 260 DJ WILSHIRE REIT ETF ETF 86330E604 211 2,400 SH 450 1,950 1,950 450 DOW CHEMICAL COMMON STOCK 260543103 984 24,665 SH 24,665 24,665 DRS TECHNOLOGIES INC COMMON STOCK 23330X100 1,165 22,120 SH 22,120 22,120 DST SYSTEMS INC COMMON STOCK 233326107 463 7,385 SH 7,385 7,385 DUKE REALTY CORP REIT 264411505 597 14,600 SH 14,600 14,600 DWS RREEF REAL ESTATE FD II CLOSED-END FUND 23338X102 247 12,800 SH 12,800 12,800 DWS RREEF REAL ESTATE FD INC CLOSED-END FUND 233384106 227 9,000 SH 9,000 9,000 E.ON AG -SPONSORED ADR ADR 268780103 362 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 504 10,000 SH 10,000 10,000 ENERGY SELECT SECTOR SPDR ETF 81369Y506 2,143 36,550 SH 36,550 36,550 EQUITY INCOME FUND (AT&T) CLOSED-END FUND 294700703 691 6,249 SH 6,249 6,249 EQUITY INNS INC REIT 294703103 176 11,000 SH 11,000 11,000 EQUITY OFFICE PROPERTIES TR REIT 294741103 2,213 45,950 SH 41,850 4,100 4,100 41,850 EQUITY ONE INC REIT 294752100 514 19,263 SH 19,263 19,263 EVEREST RE GROUP LTD COMMON STOCK G3223R108 337 3,430 SH 3,430 3,430 EVERGREEN MGD INCOME FUND CLOSED-END FUND 30024Y104 192 11,200 SH 11,200 11,200 EXTRA SPACE STORAGE INC REIT 30225T102 241 13,200 SH 13,200 13,200 EXXON MOBIL CORP COMMON STOCK 30231G102 1,969 25,700 SH 25,700 25,700 FANNIE MAE COMMON STOCK 313586109 279 4,700 SH 2,900 1,800 1,800 2,900 FIRST POTOMAC REALTY TRUST REIT 33610F109 233 8,000 SH 8,000 8,000 FIRST SEISMIC CORP COMMON STOCK 336397104 12 396,601 SH 396,601 396,601 FIRST TRUST VALUE LINE 100 CLOSED-END FUND 33735D104 1,004 68,368 SH 68,368 68,368 FIRST TRUST VALUE LINE DVD ETF 33734H106 2,147 128,313 SH 128,313 128,313 FIRST TRUST/FOUR CRNS SR F 2 CLOSED-END FUND 33733U108 203 11,303 SH 11,303 11,303 FISERV INC COMMON STOCK 337738108 260 4,960 SH 4,960 4,960 FLAGSTAR BANCORP INC COMMON STOCK 337930101 762 51,350 SH 51,350 51,350 FORD MOTOR CO CAP TR II PUBLIC 345395206 450 13,150 SH 13,150 13,150 FPL GROUP INC COMMON STOCK 302571104 2,003 36,800 SH 36,800 36,800 FRANCE TELECOM SA-SPONS ADR ADR 35177Q105 277 10,000 SH 10,000 10,000 FREDDIE MAC COMMON STOCK 313400301 373 5,500 SH 5,500 5,500 GENERAL ELECTRIC CO COMMON STOCK 369604103 652 17,509 SH 17,509 17,509 GENERAL GROWTH PROPERTIES REIT 370021107 235 4,500 SH 4,500 4,500 GENESEE & WYOMING INC-CL A COMMON STOCK 371559105 3,331 126,960 SH 126,960 126,960 GLAXOSMITHKLINE PLC-ADR ADR 37733W105 726 13,759 SH 5,759 8,000 8,000 5,759 GMH COMMUNITIES TRUST REIT 36188G102 157 15,500 SH 15,500 15,500 GRUPO TELEVISA SA-SPONS ADR ADR 40049J206 405 15,000 SH 15,000 15,000 HANG LUNG PROPERTIES-SP ADR ADR 41043M104 223 18,000 SH 18,000 18,000 HEADWATERS INC COMMON STOCK 42210P102 240 10,000 SH 10,000 10,000 HERSHA HOSPITALITY TRUST REIT 427825104 136 12,000 SH 12,000 12,000 HIGHLAND HOSPITALITY CORP REIT 430141101 247 17,300 SH 17,300 17,300 HOME DEPOT INC COMMON STOCK 437076102 871 21,685 SH 18,385 3,300 3,300 18,385 HOST HOTELS & RESORTS INC REIT 44107P104 290 11,819 SH 183 11,636 11,636 183 HRPT PROPERTIES TRUST REIT 40426W101 125 10,100 SH 10,100 10,100 ICICI BANK LTD-SPON ADR ADR 45104G104 417 10,000 SH 10,000 10,000 ING GROEP N.V.-SPONSORED ADR ADR 456837103 479 10,842 SH 10,842 10,842 INGLES MARKETS INC -CL A COMMON STOCK 457030104 2,978 99,979 SH 99,979 99,979 INTEL CORP COMMON STOCK 458140100 736 36,352 SH 36,352 36,352 INTERCONTINENTAL HOTELS-ADR ADR 45857P202 572 22,642 SH 22,642 22,642 INTL BUSINESS MACHINES CORP COMMON STOCK 459200101 1,286 13,233 SH 13,233 13,233 INTL RECTIFIER CORP COMMON STOCK 460254105 385 10,000 SH 10,000 10,000 INTL SPEEDWAY CORP-CL A COMMON STOCK 460335201 403 7,900 SH 7,900 7,900 IRSA -SP GDR GDR 450047204 169 10,000 SH 10,000 10,000 ISHARES COHEN & STEERS RLTY ETF 464287564 2,211 22,047 SH 19,047 3,000 3,000 19,047 ISHARES DJ SELECT DIVIDEND ETF 464287168 1,256 17,757 SH 17,757 17,757 ISHARES DJ US REAL ESTATE ETF 464287739 554 6,650 SH 3,450 3,200 3,200 3,450 ISHARES DJ US TECHNOLOGY SEC ETF 464287721 245 4,500 SH 4,500 4,500 ISHARES GOLDMAN SACHS NETWOR ETF 464287531 328 10,200 SH 10,200 10,200 ISHARES GOLDMAN SACHS TECH I ETF 464287549 221 4,300 SH 4,300 4,300 ISHARES LEHMAN 1-3YR TRS BD ETF 464287457 400 5,000 SH 5,000 5,000 ISHARES MORNINGSTAR LG VAL I ETF 464288109 360 4,300 SH 4,300 4,300 ISHARES MSCI EAFE INDEX FUND ETF 464287465 5,237 71,519 SH 71,519 71,519 ISHARES MSCI EMERGING MKT IN ETF 464287234 1,662 14,556 SH 14,556 14,556 ISHARES MSCI EMU ETF 464286608 2,329 22,536 SH 20,536 2,000 2,000 20,536 ISHARES MSCI JAPAN INDEX FD ETF 464286848 1,688 118,765 SH 93,765 25,000 25,000 93,765 ISHARES MSCI PACIFIC EX JPN ETF 464286665 220 1,760 SH 1,760 1,760 ISHARES MSCI UNITED KINGDOM ETF 464286699 482 20,600 SH 20,600 20,600 ISHARES NASDAQ BIOTECH INDX ETF 464287556 397 5,100 SH 5,100 5,100 ISHARES RUSSELL 2000 ETF 464287655 460 5,900 SH 5,900 5,900 ISHARES RUSSELL 2000 VALUE ETF 464287630 324 4,050 SH 4,050 4,050 ISHARES RUSSELL 3000 GROWTH ETF 464287671 323 7,180 SH 7,180 7,180 ISHARES RUSSELL 3000 INDEX ETF 464287689 2,532 30,863 SH 30,863 30,863 ISHARES RUSSELL 3000 VALUE ETF 464287663 556 5,161 SH 5,161 5,161 ISHARES RUSSELL MIDCAP VALUE ETF 464287473 293 2,000 SH 2,000 2,000 ISHARES S&P 500 GROWTH INDEX ETF 464287309 616 9,483 SH 9,483 9,483 ISHARES S&P 500 INDEX FUND ETF 464287200 486 3,425 SH 3,425 3,425 ISHARES S&P 500 VALUE INDEX ETF 464287408 492 6,395 SH 6,395 6,395 ISHARES S&P EUROPE 350 ETF 464287861 3,357 31,983 SH 30,483 1,500 1,500 30,483 ISHARES S&P GLBL HEALTHCARE ETF 464287325 2,945 51,500 SH 51,500 51,500 ISHARES S&P GLOBAL 100 ETF 464287572 1,570 21,180 SH 21,180 21,180 ISHARES S&P LATIN AMERICA 40 ETF 464287390 516 3,034 SH 1,534 1,500 1,500 1,534 ISHARES S&P MIDCAP 400 ETF 464287507 2,506 31,256 SH 31,256 31,256 ISHARES S&P MIDCAP 400/VALUE ETF 464287705 539 6,807 SH 6,807 6,807 ISHARES S&P SMALLCAP 600 ETF 464287804 1,464 22,181 SH 22,181 22,181 ISHARES S&P SMALLCAP 600/VAL ETF 464287879 3,096 41,090 SH 41,090 41,090 ISHARES S&P/TOPIX 150 INDEX ETF 464287382 475 3,800 SH 300 3,500 3,500 300 JAMES HARDIE INDS-SPONS ADR ADR 47030M106 457 12,100 SH 12,100 12,100 JANUARY 07 CALLS ON EWJ US EQUITY OPTION 464286908 21 50 SH CALL 50 50 JANUARY 07 CALLS ON FXI US EQUITY OPTION 464287904 128 20 SH CALL 20 20 JANUARY 07 CALLS ON IWB US EQUITY OPTION 464287902 66 20 SH CALL 20 20 JANUARY 07 CALLS ON SNE US EQUITY OPTION 835699907 37 20 SH CALL 20 20 JANUARY 08 CALLS ON IWB US EQUITY OPTION 464287902 72 30 SH CALL 30 30 JANUARY 08 CALLS ON QQQQ US EQUITY OPTION 631100904 31 25 SH CALL 25 25 JANUS CAPITAL GROUP INC COMMON STOCK 47102X105 1,333 61,725 SH 61,725 61,725 JOHN HAN BK & THRIFT OPP FD CLOSED-END FUND 409735107 1,577 156,649 SH 156,649 156,649 JOHN HANCOCK PFD INCOME II CLOSED-END FUND 41013X106 224 8,800 SH 8,800 8,800 JOHNSON & JOHNSON COMMON STOCK 478160104 771 11,681 SH 11,681 11,681 JPMORGAN CHASE & CO COMMON STOCK 46625H100 559 11,576 SH 11,576 11,576 KINGFISHER PLC-SPONS ADR ADR 495724403 115 12,000 SH 12,000 12,000 KITE REALTY GROUP TRUST REIT 49803T102 186 10,000 SH 10,000 10,000 KMG CHEMICALS INC COMMON STOCK 482564101 872 87,178 SH 87,178 87,178 KT CORP-SP ADR ADR 48268K101 241 9,500 SH 9,500 9,500 KVH INDUSTRIES INC COMMON STOCK 482738101 170 16,000 SH 16,000 16,000 LACLEDE GROUP INC/THE COMMON STOCK 505597104 701 20,000 SH 20,000 20,000 LEXMARK INTERNATIONAL INC-A COMMON STOCK 529771107 315 4,300 SH 4,300 4,300 LIFEPOINT HOSPITALS INC COMMON STOCK 53219L109 506 15,000 SH 15,000 15,000 LLOYDS TSB GROUP PLC -SP ADR ADR 539439109 313 6,900 SH 6,900 6,900 LMP REAL ESTATE INCOME FUND CLOSED-END FUND 50208C108 346 16,000 SH 16,000 16,000 LOWE'S COS INC COMMON STOCK 548661107 2,456 78,856 SH 72,856 6,000 6,000 72,856 LUBRIZOL CORP COMMON STOCK 549271104 253 5,055 SH 5,055 5,055 LUFKIN INDUSTRIES INC COMMON STOCK 549764108 581 10,000 SH 10,000 10,000 LYONDELL CHEMICAL COMPANY COMMON STOCK 552078107 256 10,000 SH 10,000 10,000 MANULIFE FINANCIAL CORP COMMON STOCK 56501R106 262 7,762 SH 7,762 7,762 MBIA CAP/CLAYMORE MGD DUR IN CLOSED-END FUND 55266X100 222 17,196 SH 17,196 17,196 MEDALLION FINANCIAL CORP COMMON STOCK 583928106 401 32,425 SH 32,425 32,425 MFS GOVT MARKETS INC TRUST CLOSED-END FUND 552939100 297 45,600 SH 45,600 45,600 MICROFINANCIAL INC COMMON STOCK 595072109 2,725 700,600 SH 700,600 700,600 MICROSOFT CORP COMMON STOCK 594918104 1,455 48,711 SH 48,711 48,711 MIDCAP SPDR TRUST SERIES 1 ETF 595635103 1,322 9,033 SH 9,033 9,033 MITSUBISHI UFJ FINL GRP-ADR ADR 606822104 125 10,000 SH 10,000 10,000 MORGAN STANLEY ASIA PACIFIC CLOSED-END FUND 61744U106 401 21,000 SH 21,000 21,000 MORGAN STANLEY GOVT INC TRST CLOSED-END FUND 61745P106 189 19,900 SH 19,900 19,900 NATIONAL GRID PLC-SP ADR ADR 636274300 223 3,071 SH 3,071 3,071 NATIONAL OILWELL VARCO INC COMMON STOCK 637071101 222 3,633 SH 3,633 3,633 NESTLE SA-SPONS ADR FOR REG ADR 641069406 276 3,100 SH 3,100 3,100 NETFLIX INC COMMON STOCK 64110L106 2,043 79,013 SH 79,013 79,013 NEWELL RUBBERMAID INC COMMON STOCK 651229106 211 7,300 SH 7,300 7,300 NEXEN INC COMMON STOCK 65334H102 825 15,001 SH 15,001 15,001 NORFOLK SOUTHERN CORP COMMON STOCK 655844108 453 9,000 SH 9,000 9,000 NORTHROP GRUMMAN CORP COMMON STOCK 666807102 332 4,900 SH 4,900 4,900 OIL SERVICE HOLDRS TRUST ETF 678002106 1,411 10,100 SH 10,100 10,100 PARKER DRILLING CO COMMON STOCK 701081101 645 79,000 SH 79,000 79,000 PENTAIR INC COMMON STOCK 709631105 401 12,760 SH 12,760 12,760 PEOPLES ENERGY CORP COMMON STOCK 711030106 669 15,000 SH 15,000 15,000 PETROQUEST ENERGY INC COMMON STOCK 716748108 127 10,000 SH 10,000 10,000 PFIZER INC COMMON STOCK 717081103 529 20,421 SH 20,421 20,421 PHELPS DODGE CORP COMMON STOCK 717265102 1,221 10,200 SH 10,200 10,200 PIMCO CORPORATE INCOME FUND CLOSED-END FUND 72200U100 220 13,600 SH 13,600 13,600 PORTUGAL TELECOM SGPS-SP ADR ADR 737273102 263 20,300 SH 20,300 20,300 PRAXAIR INC COMMON STOCK 74005P104 1,234 20,800 SH 20,800 20,800 PROGRESS ENERGY INC COMMON STOCK 743263105 1,780 36,274 SH 36,274 36,274 PROLOGIS REIT 743410102 213 3,500 SH 3,500 3,500 PROSPECT STREET INCOME SHRS CLOSED-END FUND 743590101 187 30,800 SH 30,800 30,800 PRUDENTIAL FINANCIAL INC COMMON STOCK 744320102 301 3,500 SH 500 3,000 3,000 500 PS BUSINESS PARKS INC/CA REIT 69360J107 247 3,500 SH 3,500 3,500 PUBLIC STORAGE INC REIT 74460D109 390 4,000 SH 1,500 2,500 2,500 1,500 QUANEX CORP COMMON STOCK 747620102 224 6,487 SH 6,487 6,487 RED ALERT GROUP INC COMMON STOCK 75629Q105 0 25,067 SH 25,067 25,067 REGAL BELOIT COMMON STOCK 758750103 1,024 19,500 SH 19,500 19,500 REPUBLIC PROPERTY TRUST REIT 760737106 138 12,000 SH 12,000 12,000 RGC RESOURCES INC COMMON STOCK 74955L103 491 19,380 SH 19,380 19,380 RINKER GROUP LTD-ADR ADR 76687M101 426 6,000 SH 6,000 6,000 ROYCE MICRO-CAP TRUST CLOSED-END FUND 780915104 1,012 61,096 SH 61,096 61,096 ROYCE VALUE TRUST CLOSED-END FUND 780910105 4,486 201,995 SH 201,995 201,995 RYDEX S&P EQUAL WEIGHT ETF ETF 78355W106 3,211 67,837 SH 67,837 67,837 SANDISK CORP COMMON STOCK 80004C101 217 5,043 SH 43 5,000 5,000 43 SAP AG-SPONSORED ADR ADR 803054204 266 5,000 SH 5,000 5,000 SAUL CENTERS INC REIT 804395101 226 4,100 SH 4,100 4,100 SCANA CORP COMMON STOCK 80589M102 247 6,075 SH 6,075 6,075 SEMCO ENERGY INC COMMON STOCK 78412D109 61 10,000 SH 10,000 10,000 SENIOR HOUSING PROP TRUST REIT 81721M109 252 10,300 SH 3,500 6,800 6,800 3,500 SIEMENS AG-SPONS ADR ADR 826197501 296 3,000 SH 3,000 3,000 SOUTHWALL TECHNOLOGIES INC COMMON STOCK 844909101 6 14,000 SH 14,000 14,000 SOUTHWEST WATER CO COMMON STOCK 845331107 510 37,036 SH 37,036 37,036 SPDR TRUST SERIES 1 ETF 78462F103 420 2,964 SH 2,964 2,964 STARWOOD HOTELS & RESORTS COMMON STOCK 85590A401 206 3,300 SH 300 3,000 3,000 300 STONEMOR PARTNERS LP UNIT 86183Q100 640 25,600 SH 25,600 25,600 STRATEGIC HOTELS & RESORTS I REIT 86272T106 218 10,000 SH 10,000 10,000 SUBURBAN PROPANE PARTNERS LP UNIT 864482104 1,181 31,075 SH 31,075 31,075 TARGET CORP COMMON STOCK 87612E106 277 4,850 SH 4,850 4,850 TATE & LYLE PLC-SPONS ADR ADR 876570607 243 4,000 SH 4,000 4,000 TCW STRATEGIC INCOME FUND IN CLOSED-END FUND 872340104 190 37,200 SH 37,200 37,200 TEXAS INSTRUMENTS INC COMMON STOCK 882508104 418 14,500 SH 14,500 14,500 TOTAL SA-SPON ADR ADR 89151E109 374 5,200 SH 5,200 5,200 TS&W/CLAYMORE T/A BALANCED CLOSED-END FUND 87280R108 241 15,311 SH 15,311 15,311 TXU CORP COMMON STOCK 873168108 2,920 53,868 SH 53,868 53,868 UNILEVER N V -NY SHARES NY REG SHRS 904784709 270 9,900 SH 900 9,000 9,000 900 UNITED DOMINION REALTY TRUST REIT 910197102 654 20,557 SH 20,557 20,557 UNITED FIRE & CASUALTY CO COMMON STOCK 910331107 2,059 58,416 SH 58,416 58,416 UNITED TECHNOLOGIES CORP COMMON STOCK 913017109 2,646 42,330 SH 42,330 42,330 USG CORP COMMON STOCK 903293405 274 5,000 SH 5,000 5,000 VAN KAMPEN BOND FUND CLOSED-END FUND 920955101 204 11,600 SH 11,600 11,600 VAN KAMPEN SENIOR INCOME TRS CLOSED-END FUND 920961109 441 50,100 SH 50,100 50,100 VARIAN SEMICONDUCTOR EQUIP COMMON STOCK 922207105 480 10,546 SH 546 10,000 10,000 546 VITRAN CORP INC COMMON STOCK 92850E107 278 16,000 SH 16,000 16,000 VODAFONE GROUP PLC-SP ADR ADR 92857W209 243 8,750 SH 875 7,875 7,875 875 VTEX ENERGY INC COMMON STOCK 92908G104 3 10,000 SH 10,000 10,000 WA/CLAY US TREAS INFL PROT CLOSED-END FUND 95766Q106 3,177 278,157 SH 278,157 278,157 WACHOVIA CORP COMMON STOCK 929903102 211 3,698 SH 3,698 3,698 WASTE MANAGEMENT INC COMMON STOCK 94106L109 882 24,000 SH 24,000 24,000 WELLS FARGO & COMPANY COMMON STOCK 949746101 548 15,400 SH 15,400 15,400 WESTERN ASSET HIGH INCOME OP CLOSED-END FUND 95766K109 204 30,200 SH 30,200 30,200 WESTERN ASSET MANAGED HIGH Y CLOSED-END FUND 95766L107 208 30,800 SH 30,800 30,800 WEYERHAEUSER CO COMMON STOCK 962166104 205 2,900 SH 2,900 2,900 WGL HOLDINGS INC COMMON STOCK 92924F106 1,995 61,221 SH 61,221 61,221 WILLIAMS COS INC COMMON STOCK 969457100 5,778 221,193 SH 221,193 221,193 WILLIAMS-SONOMA INC COMMON STOCK 969904101 1,681 53,451 SH 53,451 53,451 WINSTON HOTELS INC REIT 97563A102 158 11,900 SH 11,900 11,900 WISCONSIN ENERGY CORP COMMON STOCK 976657106 1,144 24,105 SH 24,105 24,105 WORLDWIDE WEB NETWORX CORP COMMON STOCK 981604101 0 34,000 SH 34,000 34,000 WPS RESOURCES CORP COMMON STOCK 92931B106 540 10,000 SH 10,000 10,000 XCEL ENERGY INC COMMON STOCK 98389B100 1,098 47,608 SH 47,608 47,608 XTO ENERGY INC COMMON STOCK 98385X106 235 5,000 SH 5,000 5,000
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