-----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, NauO7k0a4Ocvtyp1gm81UC+SlGKwsJ6ibGalbAl3UCQvdJYWVRAlMlBqXjgBHEXq Cr93EPpW1GLjcIXGIcVmVg== 0001144204-06-031623.txt : 20060809 0001144204-06-031623.hdr.sgml : 20060809 20060808201150 ACCESSION NUMBER: 0001144204-06-031623 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060630 FILED AS OF DATE: 20060809 DATE AS OF CHANGE: 20060808 EFFECTIVENESS DATE: 20060809 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: 061014719 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 v049317_13f-hr.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 June 30, 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 7-8-2006 -------------------------------- 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: 342 Form 13F table value total: $232,482 List of other included Managers: None FCA Corp Form 13(f) For the Quarter Ending June 30, 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 505 56,700 SH 56,700 56,700 3M CO COMMON STOCK 88579Y101 1,465 18,141 SH 18,141 18,141 AAMES INVESTMENT CORP REIT 00253G108 60 12,000 SH 12,000 12,000 ABN AMRO HOLDING NV-SP ADR ADR 000937102 286 10,439 SH 10,439 10,439 ADAMS EXPRESS COMPANY CLOSED-END FUND 006212104 155 12,073 SH 12,073 12,073 AEW REAL ESTATE INCOME FUND CLOSED-END FUND 00104H107 415 21,600 SH 5,600 16,000 16,000 5,600 AGCO CORP COMMON STOCK 001084102 526 20,000 SH 20,000 20,000 AIM SELECT REAL ESTATE INC CLOSED-END FUND 00888R107 448 28,800 SH 12,800 16,000 16,000 12,800 ALAMO GROUP INC COMMON STOCK 011311107 1,383 65,700 SH 65,700 65,700 ALTO PALERMO S.A.-ADR ADR 02151P107 139 17,000 SH 17,000 17,000 AMB PROPERTY CORP REIT 00163T109 316 6,250 SH 6,250 6,250 AMDOCS LTD COMMON STOCK G02602103 366 10,000 SH 10,000 10,000 AMEREN CORPORATION COMMON STOCK 023608102 202 4,000 SH 4,000 4,000 AMERICAN BUSINESS BANK COMMON STOCK 02475L105 689 27,011 SH 27,011 27,011 AMERICAN EXPRESS CO COMMON STOCK 025816109 1,157 21,735 SH 21,735 21,735 AMERICAN FINANCIAL REALTY TR REIT 02607P305 116 12,000 SH 12,000 12,000 AMERICAN INTERNATIONAL GROUP COMMON STOCK 026874107 2,463 41,713 SH 41,713 41,713 AMERICAN LAND LEASE INC REIT 027118108 363 14,800 SH 9,200 5,600 5,600 9,200 AMERICAN NATIONAL INSURANCE COMMON STOCK 028591105 389 2,998 SH 2,998 2,998 AMERICAN STATES WATER CO COMMON STOCK 029899101 881 24,700 SH 24,700 24,700 AMGEN INC COMMON STOCK 031162100 1,834 28,112 SH 28,112 28,112 ANADARKO PETROLEUM CORP COMMON STOCK 032511107 603 12,648 SH 12,648 12,648 ANGLO AMERICAN PLC-UNSP ADR ADR 03485P102 266 13,000 SH 13,000 13,000 APPLE COMPUTER INC COMMON STOCK 037833100 1,264 22,075 SH 22,075 22,075 AQUA AMERICA INC COMMON STOCK 03836W103 647 28,384 SH 28,384 28,384 AQUENTIUM INC COMMON STOCK 03840C101 2 12,500 SH 12,500 12,500 AQUILA INC PUBLIC 03840P300 220 8,800 SH 8,800 8,800 ARCHSTONE-SMITH TRUST REIT 039583109 221 4,350 SH 4,350 4,350 ARKEMA-SPONSORED ADR ADR 041232109 237 6,130 SH 6,130 6,130 ASTROCOM CORP COMMON STOCK 046390100 0 10,000 SH 10,000 10,000 AT&T INC COMMON STOCK 00206R102 732 26,233 SH 26,233 26,233 ATI TECHNOLOGIES INC COMMON STOCK 001941103 219 15,000 SH 15,000 15,000 ATLAS PIPELINE PARTNERS-UTS. LTD PART 049392103 460 11,250 SH 11,250 11,250 ATMOS ENERGY CORP COMMON STOCK 049560105 419 15,000 SH 15,000 15,000 AUGUST 06 CALLS ON IWF US CALL 464287902 0 50 SH CALL 50 50 AUGUST 06 CALLS ON KMI US CALL 49455P901 0 100 SH CALL 100 100 AUTOMATIC DATA PROCESSING COMMON STOCK 053015103 258 5,700 SH 5,700 5,700 AVALONBAY COMMUNITIES INC REIT 053484101 321 2,900 SH 2,900 2,900 BANCO SANTANDER CEN-SPON ADR ADR 05964H105 249 17,000 SH 17,000 17,000 BANK OF AMERICA CORP COMMON STOCK 060505104 2,387 49,632 SH 49,632 49,632 BANK OF NEW YORK CO INC COMMON STOCK 064057102 306 9,500 SH 9,500 9,500 BAXTER INTERNATIONAL INC COMMON STOCK 071813109 654 17,800 SH 17,800 17,800 BELLSOUTH CORP COMMON STOCK 079860102 323 8,930 SH 8,930 8,930 BICO INC COMMON STOCK 088766100 0 10,000 SH 10,000 10,000 BIOTECH HOLDRS TRUST ETF 09067D201 300 1,700 SH 1,700 1,700 BLACKROCK CALIFOR MUNI IN TR CLOSED-END FUND 09248E102 331 21,000 SH 21,000 21,000 BLACKROCK LTD DURATION INC CLOSED-END FUND 09249W101 182 10,000 SH 10,000 10,000 BNP PARIBAS-ADR ADR 05565A202 289 6,000 SH 6,000 6,000 BOSTON PROPERTIES INC REIT 101121101 1,080 11,950 SH 11,950 11,950 BP PLC-SPONS ADR ADR 055622104 428 6,143 SH 6,143 6,143 BRITISH AIRWAYS -SPONS ADR ADR 110419306 241 3,800 SH 3,800 3,800 BUNGE LIMITED COMMON STOCK G16962105 327 6,500 SH 6,500 6,500 BURLINGTON NORTHERN SANTA FE COMMON STOCK 12189T104 1,674 21,118 SH 21,118 21,118 CALIFORNIA WATER SERVICE GRP COMMON STOCK 130788102 754 21,100 SH 21,100 21,100 CAMDEN PROPERTY TRUST REIT 133131102 287 3,900 SH 3,900 3,900 CAPITAL ONE FINANCIAL CORP COMMON STOCK 14040H105 555 6,500 SH 6,500 6,500 CATERPILLAR INC COMMON STOCK 149123101 1,294 17,370 SH 17,370 17,370 CENTRAL SECURITIES CORP CLOSED-END FUND 155123102 774 30,547 SH 30,547 30,547 CHEMED CORP COMMON STOCK 16359R103 284 5,200 SH 5,200 5,200 CHEVRON CORP COMMON STOCK 166764100 1,176 18,953 SH 18,953 18,953 CIA SANEAMENTO BASICO DE-ADR ADR 20441A102 236 10,000 SH 10,000 10,000 CIA VALE DO RIO DOCE-ADR ADR 204412209 288 12,000 SH 12,000 12,000 CISCO SYSTEMS INC COMMON STOCK 17275R102 645 33,043 SH 33,043 33,043 CITIGROUP INC COMMON STOCK 172967101 1,134 23,505 SH 23,505 23,505 COCA-COLA CO/THE COMMON STOCK 191216100 367 8,536 SH 8,536 8,536 COHEN & STEERS REIT UTI & IN CLOSED-END FUND 19247Y108 218 11,700 SH 11,700 11,700 COHEN & STEERS SEL UTILITY CLOSED-END FUND 19248A109 237 11,450 SH 11,450 11,450 COMPASS BANCSHARES INC COMMON STOCK 20449H109 342 6,150 SH 6,150 6,150 CONOCOPHILLIPS COMMON STOCK 20825C104 1,345 20,532 SH 20,532 20,532 CONSOLIDATED EDISON INC COMMON STOCK 209115104 338 7,600 SH 7,600 7,600 CONSTELLATION ENERGY GROUP COMMON STOCK 210371100 818 15,000 SH 15,000 15,000 CONTINENTAL AIRLINES-CL B COMMON STOCK 210795308 298 10,000 SH 10,000 10,000 COOPER TIRE & RUBBER COMMON STOCK 216831107 463 41,550 SH 41,550 41,550 CREDIT SUISSE ASSET MGMT INC CLOSED-END FUND 224916106 177 44,800 SH 44,800 44,800 CRH PLC-SPONSORED ADR ADR 12626K203 306 9,200 SH 9,200 9,200 CVS CORP COMMON STOCK 126650100 1,924 62,678 SH 62,678 62,678 DEERE & CO COMMON STOCK 244199105 584 6,990 SH 6,990 6,990 DELTA FINANCIAL CORP COMMON STOCK 247918105 167 17,000 SH 17,000 17,000 DENTSPLY INTERNATIONAL INC COMMON STOCK 249030107 203 6,700 SH 6,700 6,700 DESARROLLADORA HOMEX-ADR ADR 25030W100 295 9,000 SH 9,000 9,000 DEUTSCHE BANK AG-REGISTERED COMMON STOCK D18190898 338 3,000 SH 3,000 3,000 DIAMOND OFFSHORE DRILLING COMMON STOCK 25271C102 235 2,800 SH 2,800 2,800 DIAMONDROCK HOSPITALITY CO REIT 252784301 178 12,000 SH 12,000 12,000 DIME BANCORP-WT EQUITY WRT 25429Q110 0 260 SH 260 260 DOMINION RESOURCES INC/VA COMMON STOCK 25746U109 269 3,600 SH 3,600 3,600 DOW CHEMICAL COMMON STOCK 260543103 890 22,815 SH 22,815 22,815 DRS TECHNOLOGIES INC COMMON STOCK 23330X100 1,179 24,177 SH 24,177 24,177 DST SYSTEMS INC COMMON STOCK 233326107 350 5,885 SH 5,885 5,885 DUKE ENERGY CORP COMMON STOCK 26441C105 318 10,832 SH 10,832 10,832 DUKE REALTY CORP REIT 264411505 849 24,150 SH 24,150 24,150 DWS RREEF REAL ESTATE FD II CLOSED-END FUND 23338X102 210 12,800 SH 12,800 12,800 E.ON AG -SPONSORED ADR ADR 268780103 307 8,000 SH 8,000 8,000 EATON VANCE LTD DURATION FND CLOSED-END FUND 27828H105 180 10,400 SH 10,400 10,400 ELECTRONIC ARTS INC COMMON STOCK 285512109 215 5,000 SH 5,000 5,000 ENERGY SELECT SECTOR SPDR ETF 81369Y506 2,086 36,750 SH 36,750 36,750 ENERGY TRANSFER PARTNERS LP LTD PART 29273R109 1,937 43,380 SH 43,380 43,380 ENTERPRISE PRODUCTS PARTNERS LTD PART 293792107 1,261 50,647 SH 50,647 50,647 EOG RESOURCES INC COMMON STOCK 26875P101 333 4,800 SH 4,800 4,800 EQUITY INCOME FUND (AT&T) CLOSED-END FUND 294700703 611 6,909 SH 6,909 6,909 EQUITY INNS INC REIT 294703103 182 11,000 SH 11,000 11,000 EQUITY OFFICE PROPERTIES TR REIT 294741103 1,758 48,150 SH 44,050 4,100 4,100 44,050 EQUITY ONE INC REIT 294752100 403 19,263 SH 19,263 19,263 EVEREST RE CAP TRUST PUBLIC 299807206 228 9,000 SH 9,000 9,000 EVEREST RE GROUP LTD COMMON STOCK G3223R108 431 4,975 SH 4,975 4,975 EVERGREEN MGD INCOME FUND CLOSED-END FUND 30024Y104 181 11,200 SH 11,200 11,200 EXTRA SPACE STORAGE INC REIT 30225T102 214 13,200 SH 13,200 13,200 EXXON MOBIL CORP COMMON STOCK 30231G102 6,096 99,363 SH 99,363 99,363 FANNIE MAE COMMON STOCK 313586109 236 4,900 SH 3,100 1,800 1,800 3,100 FANNIE MAE PUBLIC 313586794 380 7,000 SH 7,000 7,000 FEDERAL REALTY INVS TRUST REIT 313747206 847 12,100 SH 12,100 12,100 FIRST SEISMIC CORP COMMON STOCK 336397104 48 396,601 SH 396,601 396,601 FIRST SEISMIC CORP SER B PUBLIC 124996133 10 10,000 SH 10,000 10,000 FIRST TRUST VALUE LINE 100 CLOSED-END FUND 33735D104 1,023 66,597 SH 66,597 66,597 FIRST TRUST VALUE LINE DVD CLOSED-END FUND 33735A100 1,933 128,278 SH 128,278 128,278 FIRST TRUST/FOUR CRNS SR F 2 CLOSED-END FUND 33733U108 194 10,845 SH 10,845 10,845 FISERV INC COMMON STOCK 337738108 225 4,960 SH 4,960 4,960 FLAGSTAR BANCORP INC COMMON STOCK 337930101 1,142 71,550 SH 71,550 71,550 FLUOR CORP COMMON STOCK 343412102 840 9,043 SH 9,043 9,043 FMC TECHNOLOGIES INC COMMON STOCK 30249U101 486 7,200 SH 7,200 7,200 FORD CAPITAL TRUST II PUBLIC 34539520 432 15,550 SH 15,550 15,550 FPL GROUP INC COMMON STOCK 302571104 1,908 46,100 SH 46,100 46,100 FRANCE TELECOM SA-SPONS ADR ADR 35177Q105 219 10,000 SH 10,000 10,000 FREDDIE MAC COMMON STOCK 313400301 570 10,000 SH 10,000 10,000 GENENTECH INC COMMON STOCK 368710406 337 4,125 SH 4,125 4,125 GENERAL ELECTRIC CO COMMON STOCK 369604103 1,095 33,233 SH 33,233 33,233 GENERAL GROWTH PROPERTIES REIT 370021107 1,259 27,945 SH 23,445 4,500 4,500 23,445 GENESEE & WYOMING INC-CL A COMMON STOCK 371559105 4,734 133,452 SH 133,452 133,452 GLAXOSMITHKLINE PLC-ADR ADR 37733W105 793 14,210 SH 6,210 8,000 8,000 6,210 GMH COMMUNITIES TRUST REIT 36188G102 204 15,500 SH 15,500 15,500 GRUPO TELEVISA SA-SPONS ADR ADR 40049J206 290 15,000 SH 15,000 15,000 HANG LUNG PROPERTIES-SP ADR ADR 41043M104 165 18,000 SH 18,000 18,000 HCA INC COMMON STOCK 404119109 964 22,340 SH 22,340 22,340 HEADWATERS INC COMMON STOCK 42210P102 256 10,000 SH 10,000 10,000 HERSHA HOSPITALITY TRUST REIT 427825104 111 12,000 SH 12,000 12,000 HIGH INCOME OPPORTUNITY FD CLOSED-END FUND 42967Q105 183 30,200 SH 30,200 30,200 HIGHLAND HOSPITALITY CORP REIT 430141101 244 17,300 SH 17,300 17,300 HOME DEPOT INC COMMON STOCK 437076102 1,055 29,465 SH 26,165 3,300 3,300 26,165 HOST HOTELS & RESORTS INC REIT 44107P104 280 12,819 SH 1,183 11,636 11,636 1,183 HRPT PROPERTIES TRUST REIT 40426W101 117 10,100 SH 10,100 10,100 ICICI BANK LTD-SPON ADR ADR 45104G104 237 10,000 SH 10,000 10,000 IMPERIAL CREDIT INDUSTRY-W08 EQUITY WRT 452729114 0 401 SH 401 401 INCO LTD COMMON STOCK 453258402 583 8,845 SH 8,845 8,845 ING GROEP N.V.-SPONSORED ADR ADR 456837103 426 10,842 SH 10,842 10,842 INGERSOLL-RAND CO LTD-CL A COMMON STOCK G4776G101 569 13,290 SH 13,290 13,290 INGLES MARKETS INC -CL A COMMON STOCK 457030104 1,769 104,053 SH 104,053 104,053 INTEL CORP COMMON STOCK 458140100 727 38,278 SH 38,278 38,278 INTERCONTINENTAL HOTELS-ADR ADR 45857P202 398 22,642 SH 22,642 22,642 INTL BUSINESS MACHINES CORP COMMON STOCK 459200101 1,036 13,489 SH 13,489 13,489 INTL RECTIFIER CORP COMMON STOCK 460254105 391 10,000 SH 10,000 10,000 INTL SPEEDWAY CORP-CL A COMMON STOCK 460335201 366 7,900 SH 7,900 7,900 IRSA -SP GDR GDR 450047204 112 10,000 SH 10,000 10,000 ISHARES COHEN & STEERS RLTY ETF 464287564 1,718 20,495 SH 17,495 3,000 3,000 17,495 ISHARES DJ SELECT DIVIDEND ETF 464287168 1,031 16,345 SH 16,345 16,345 ISHARES DJ US REAL ESTATE ETF 464287739 545 7,650 SH 4,450 3,200 3,200 4,450 ISHARES DJ US TECHNOLOGY SEC ETF 464287721 233 4,900 SH 4,900 4,900 ISHARES GOLDMAN SACHS NETWOR ETF 464287531 336 11,200 SH 11,200 11,200 ISHARES MSCI EAFE INDEX FUND ETF 464287465 4,191 64,085 SH 64,085 64,085 ISHARES MSCI EMERGING MKT IN ETF 464287234 1,154 12,285 SH 12,285 12,285 ISHARES MSCI EMU ETF 464286608 1,958 22,236 SH 20,236 2,000 2,000 20,236 ISHARES MSCI JAPAN INDEX FD ETF 464286848 1,386 101,615 SH 76,615 25,000 25,000 76,615 ISHARES MSCI UNITED KINGDOM ETF 464286699 434 20,600 SH 20,600 20,600 ISHARES NASDAQ BIOTECH INDX ETF 464287556 371 5,100 SH 5,100 5,100 ISHARES RUSSELL 2000 ETF 464287655 423 5,900 SH 5,900 5,900 ISHARES RUSSELL 2000 VALUE ETF 464287630 293 4,050 SH 4,050 4,050 ISHARES RUSSELL 3000 GROWTH ETF 464287671 295 7,180 SH 7,180 7,180 ISHARES RUSSELL 3000 INDEX ETF 464287689 2,153 29,210 SH 29,210 29,210 ISHARES S&P 500 GROWTH INDEX ETF 464287309 546 9,348 SH 9,348 9,348 ISHARES S&P 500 INDEX FUND ETF 464287200 437 3,425 SH 3,425 3,425 ISHARES S&P 500 VALUE INDEX ETF 464287408 243 3,535 SH 3,535 3,535 ISHARES S&P EUROPE 350 ETF 464287861 2,922 31,982 SH 30,482 1,500 1,500 30,482 ISHARES S&P GLBL HEALTHCARE ETF 464287325 2,779 52,300 SH 52,300 52,300 ISHARES S&P GLOBAL 100 ETF 464287572 1,506 22,757 SH 22,757 22,757 ISHARES S&P LATIN AMERICA 40 ETF 464287390 415 3,034 SH 1,534 1,500 1,500 1,534 ISHARES S&P MIDCAP 400 ETF 464287507 2,454 32,114 SH 32,114 32,114 ISHARES S&P MIDCAP 400/VALUE ETF 464287705 202 2,705 SH 2,705 2,705 ISHARES S&P SMALLCAP 600 ETF 464287804 1,374 22,120 SH 22,120 22,120 ISHARES S&P SMALLCAP 600/VAL ETF 464287879 2,797 40,270 SH 40,270 40,270 ISHARES S&P/TOPIX 150 INDEX ETF 464287382 697 5,800 SH 300 5,500 5,500 300 JAMES HARDIE INDS-SPONS ADR ADR 47030M106 345 12,100 SH 12,100 12,100 JANUARY 07 CALLS ON FXI US CALL 464287904 1 20 SH CALL 20 20 JANUARY 07 CALLS ON IWB US CALL 464287902 0 20 SH CALL 20 20 JANUARY 07 PUTS ON YHOO US PUT 984332956 0 50 SH PUT 50 50 JANUARY 08 CALLS ON IWB US CALL 464287902 1 30 SH CALL 30 30 JANUARY 08 CALLS ON QQQQ US CALL 631100104 0 25 SH CALL 25 25 JANUARY 09 CALLS ON EWJ US CALL 464286848 0 50 SH CALL 50 50 JANUARY 09 CALLS ON SNE US CALL 835699907 0 20 SH CALL 20 20 JANUS CAPITAL GROUP INC COMMON STOCK 47102X105 1,123 62,725 SH 62,725 62,725 JOHN HAN BK & THRIFT OPP FD CLOSED-END FUND 409735107 1,477 156,565 SH 156,565 156,565 JOHNSON & JOHNSON COMMON STOCK 478160104 990 16,522 SH 16,522 16,522 JPMORGAN CHASE & CO COMMON STOCK 46625H100 677 16,110 SH 16,110 16,110 JULY 06 CALLS ON DO US CALL 25271C902 0 20 SH CALL 20 20 JULY 06 CALLS ON FLR US CALL 343412902 0 20 SH CALL 20 20 JULY 06 CALLS ON KMI US CALL 49455P901 1 60 SH CALL 60 60 JULY 06 CALLS ON N US CALL 453258902 1 60 SH CALL 60 60 JULY 06 CALLS ON OXY US CALL 674599905 1 60 SH CALL 60 60 JULY 06 CALLS ON PD US CALL 717265902 1 30 SH CALL 30 30 JULY 06 CALLS ON SLB US CALL 806857908 0 30 SH CALL 30 30 JULY 06 CALLS ON VLO US CALL 91913Y900 1 40 SH CALL 40 40 JULY 06 PUTS ON YHOO US PUT 984332956 0 50 SH PUT 50 50 KILROY REALTY CORP REIT 49427F108 1,053 14,570 SH 12,170 2,400 2,400 12,170 KINDER MORGAN ENERGY PRTNRS LTD PART 494550106 1,654 35,985 SH 35,985 35,985 KINDER MORGAN INC COMMON STOCK 49455P101 270 2,700 SH 2,700 2,700 KINGFISHER PLC-SPONS ADR ADR 495724403 106 12,000 SH 12,000 12,000 KITE REALTY GROUP TRUST REIT 49803T102 156 10,000 SH 10,000 10,000 KMG CHEMICALS INC COMMON STOCK 482564101 462 59,800 SH 59,800 59,800 KT CORP-SP ADR ADR 48268K101 204 9,500 SH 9,500 9,500 KVH INDUSTRIES INC COMMON STOCK 482738101 187 16,000 SH 16,000 16,000 LACLEDE GROUP INC/THE COMMON STOCK 505597104 687 20,000 SH 20,000 20,000 LASALLE HOTEL PROPERTIES PUBLIC 517942207 542 21,100 SH 21,100 21,100 LEXMARK INTERNATIONAL INC-A COMMON STOCK 529771107 240 4,300 SH 4,300 4,300 LIFEPOINT HOSPITALS INC COMMON STOCK 53219L109 482 15,000 SH 15,000 15,000 LLOYDS TSB GROUP PLC -SP ADR ADR 539439109 272 6,900 SH 6,900 6,900 LOWE'S COS INC COMMON STOCK 548661107 1,200 39,564 SH 36,564 3,000 3,000 36,564 LUBRIZOL CORP COMMON STOCK 549271104 201 5,055 SH 5,055 5,055 LUCENT TECHNOLOGIES-CW07 EQUITY WRT 549463131 0 138 SH 138 138 LUFKIN INDUSTRIES INC COMMON STOCK 549764108 297 5,000 SH 5,000 5,000 MACERICH CO/THE REIT 554382101 633 9,020 SH 9,020 9,020 MAGELLAN MIDSTREAM PARTNERS LTD PART 559080106 1,482 43,615 SH 43,615 43,615 MANAGED HIGH INCOME PT INC CLOSED-END FUND 56166C105 181 30,800 SH 30,800 30,800 MANULIFE FINANCIAL CORP COMMON STOCK 56501R106 265 8,354 SH 8,354 8,354 MARATHON OIL CORP COMMON STOCK 565849106 1,161 13,942 SH 13,942 13,942 MBIA CAP/CLAYMORE MGD DUR IN CLOSED-END FUND 55266X100 203 16,818 SH 16,818 16,818 MEDALLION FINANCIAL CORP COMMON STOCK 583928106 328 25,300 SH 25,300 25,300 MER LY NIKKEI 225 MITTS MISC. 590188371 99 10,000 SH 10,000 10,000 MFS GOVT MARKETS INC TRUST CLOSED-END FUND 552939100 286 45,600 SH 45,600 45,600 MICHAELS STORES INC COMMON STOCK 594087108 210 5,100 SH 5,100 5,100 MICROFINANCIAL INC COMMON STOCK 595072109 2,485 720,420 SH 720,420 720,420 MICROSOFT CORP COMMON STOCK 594918104 1,243 53,358 SH 53,358 53,358 MIDCAP SPDR TRUST SERIES 1 ETF 595635103 1,360 9,773 SH 9,773 9,773 MITSUBISHI UFJ FINL GRP-ADR ADR 606822104 140 10,000 SH 10,000 10,000 MORGAN STANLEY ASIA PACIFIC CLOSED-END FUND 61744U106 331 21,000 SH 21,000 21,000 MORGAN STANLEY GOVT INC TRST CLOSED-END FUND 61745P106 170 19,900 SH 19,900 19,900 MUNIHOLDINGS CA INS FUND CLOSED-END FUND 625933106 487 34,950 SH 34,950 34,950 NABORS INDUSTRIES LTD COMMON STOCK G6359F103 505 14,950 SH 14,950 14,950 NASDAQ-100 INDEX TRCKNG STCK ETF 631100104 614 15,840 SH 15,840 15,840 NATIONAL OILWELL VARCO INC COMMON STOCK 637071101 825 13,033 SH 9,400 3,633 3,633 9,400 NESTLE SA-SPONS ADR FOR REG ADR 641069406 241 3,100 SH 3,100 3,100 NETFLIX INC COMMON STOCK 64110L106 2,150 79,013 SH 79,013 79,013 NEW YORK COMMUNITY BANCORP COMMON STOCK 649445103 182 11,000 SH 11,000 11,000 NEWELL RUBBERMAID INC COMMON STOCK 651229106 204 7,900 SH 7,900 7,900 NFJ DVD INTEREST & PR STRAT CLOSED-END FUND 65337H109 359 15,966 SH 15,966 15,966 NISSIN CO LTD - ADR ADR 654765106 80 11,520 SH 11,520 11,520 NORDSTROM INC COMMON STOCK 655664100 256 7,020 SH 7,020 7,020 NORFOLK SOUTHERN CORP COMMON STOCK 655844108 479 9,000 SH 9,000 9,000 NORTHROP GRUMMAN CORP COMMON STOCK 666807102 352 5,500 SH 5,500 5,500 NURSESNETWORK.COM INC COMMON STOCK 670577105 0 30,000 SH 30,000 30,000 OCCIDENTAL PETROLEUM CORP COMMON STOCK 674599105 2,071 20,196 SH 20,196 20,196 OIL SERVICE HOLDRS TRUST ETF 678002106 1,509 10,100 SH 10,100 10,100 ONEOK PARTNERS LP LTD PART 68268N103 707 14,330 SH 14,330 14,330 OPTEUM INC-CLASS A COMMON STOCK 68384A308 90 10,000 SH 10,000 10,000 PACIFIC ENERGY PARTNERS LP LTD PART 69422R105 1,156 35,475 SH 35,475 35,475 PARKER DRILLING CO COMMON STOCK 701081101 567 79,000 SH 79,000 79,000 PENTAIR INC COMMON STOCK 709631105 436 12,760 SH 12,760 12,760 PEOPLES ENERGY CORP COMMON STOCK 711030106 539 15,000 SH 15,000 15,000 PETROQUEST ENERGY INC COMMON STOCK 716748108 123 10,000 SH 10,000 10,000 PFIZER INC COMMON STOCK 717081103 429 18,285 SH 18,285 18,285 PHELPS DODGE CORP COMMON STOCK 717265102 838 10,200 SH 10,200 10,200 PIMCO CORPORATE INCOME FUND CLOSED-END FUND 72200U100 254 17,400 SH 17,400 17,400 PLAINS ALL AMER PIPELINE LP LTD PART 726503105 1,732 39,660 SH 39,660 39,660 PORTUGAL TELECOM SGPS-SP ADR ADR 737273102 245 20,300 SH 20,300 20,300 PPL CORPORATION COMMON STOCK 69351T106 355 11,000 SH 11,000 11,000 PRAXAIR INC COMMON STOCK 74005P104 1,085 20,100 SH 20,100 20,100 PREFERREDPLUS TRST LMG-1 PUBLIC 740434808 314 12,500 SH 12,500 12,500 PROGRESS ENERGY INC COMMON STOCK 743263105 1,542 35,974 SH 35,974 35,974 PROLOGIS REIT 743410102 1,098 21,075 SH 17,575 3,500 3,500 17,575 PROSPECT STREET INCOME SHRS CLOSED-END FUND 743590101 173 30,800 SH 30,800 30,800 PRUDENTIAL FINANCIAL INC COMMON STOCK 744320102 272 3,500 SH 500 3,000 3,000 500 PS BUSINESS PARKS INC/CA REIT 69360J107 207 3,500 SH 3,500 3,500 PUBLIC STORAGE INC REIT 74460D109 570 7,515 SH 5,015 2,500 2,500 5,015 PUTNAM MANAGED HIGH YIELD TR CLOSED-END FUND 746819101 213 24,400 SH 24,400 24,400 QUANEX CORP COMMON STOCK 747620102 279 6,487 SH 6,487 6,487 REAL ESTATE INCOME FUND INC CLOSED-END FUND 755881109 301 16,000 SH 16,000 16,000 RED ALERT GROUP INC COMMON STOCK 75629Q105 0 25,067 SH 25,067 25,067 REGAL BELOIT COMMON STOCK 758750103 834 18,900 SH 18,900 18,900 REGENCY CENTERS CORP REIT 758849103 277 4,450 SH 4,450 4,450 REPUBLIC PROPERTY TRUST REIT 760737106 119 12,000 SH 12,000 12,000 RESEARCH IN MOTION COMMON STOCK 760975102 209 3,000 SH 3,000 3,000 RGC RESOURCES INC COMMON STOCK 74955L103 417 16,550 SH 16,550 16,550 RINKER GROUP LTD-ADR ADR 76687M101 303 5,000 SH 5,000 5,000 ROYCE MICRO-CAP TRUST CLOSED-END FUND 780915104 835 57,405 SH 57,405 57,405 ROYCE VALUE TRUST CLOSED-END FUND 780910105 3,994 206,311 SH 206,311 206,311 RYDEX S&P EQUAL WEIGHT ETF ETF 78355W106 2,735 63,727 SH 63,727 63,727 SANDISK CORP COMMON STOCK 80004C101 255 5,000 SH 5,000 5,000 SAP AG-SPONSORED ADR ADR 803054204 263 5,000 SH 5,000 5,000 SCANA CORP COMMON STOCK 80589M102 234 6,075 SH 6,075 6,075 SCHLUMBERGER LTD COMMON STOCK 806857108 1,531 23,508 SH 23,508 23,508 SEARS HOLDINGS CORP COMMON STOCK 812350106 466 3,000 SH 3,000 3,000 SEMCO ENERGY INC COMMON STOCK 78412D109 56 10,000 SH 10,000 10,000 SENIOR HOUSING PROP TRUST REIT 81721M109 184 10,300 SH 3,500 6,800 6,800 3,500 SEPTEMBER 06 CALLS ON EWJ US CALL 464286908 0 80 SH CALL 80 80 SEPTEMBER 06 CALLS ON SHLD US CALL 812350906 1 30 SH CALL 30 30 SIEMENS AG-SPONS ADR ADR 826197501 260 3,000 SH 3,000 3,000 SIMON PROPERTY GROUP INC PUBLIC 828806604 201 8,000 SH 8,000 8,000 SIMON PROPERTY GROUP INC REIT 828806109 1,441 17,370 SH 17,370 17,370 SOUTHERN PACIFIC FDG CTF BEN COMMON STOCK 843578204 0 464,001 SH 464,001 464,001 SOUTHWALL TECHNOLOGIES INC COMMON STOCK 844909101 9 14,000 SH 14,000 14,000 SOUTHWEST WATER CO COMMON STOCK 845331107 515 43,054 SH 43,054 43,054 SPDR TRUST SERIES 1 ETF 78462F103 331 2,600 SH 2,600 2,600 STONEMOR PARTNERS LP UNIT 86183Q100 489 25,200 SH 25,200 25,200 STRATEGIC HOTELS & RESORTS I REIT 86272T106 207 10,000 SH 10,000 10,000 SUBURBAN PROPANE PARTNERS LP UNIT 864482104 979 31,075 SH 31,075 31,075 SUNOCO LOGISTICS PARTNERS LP UNIT 86764L108 225 5,500 SH 5,500 5,500 TANGER FACTORY OUTLET CENTER REIT 875465106 298 9,200 SH 9,200 9,200 TARGET CORP COMMON STOCK 87612E106 494 10,100 SH 10,100 10,100 TCW STRATEGIC INCOME FUND IN CLOSED-END FUND 872340104 173 37,200 SH 37,200 37,200 TEPPCO PARTNERS LP LTD PART 872384102 987 28,005 SH 28,005 28,005 TEXAS INSTRUMENTS INC COMMON STOCK 882508104 491 16,200 SH 16,200 16,200 TOTAL SA-SPON ADR ADR 89151E109 341 5,200 SH 5,200 5,200 TRANSOCEAN INC COMMON STOCK G90078109 1,491 18,565 SH 18,565 18,565 TS&W/CLAYMORE T/A BALANCED CLOSED-END FUND 87280R108 207 14,841 SH 14,841 14,841 TXU CORP COMMON STOCK 873168108 3,572 59,740 SH 59,740 59,740 UNILEVER N V -NY SHARES NY REG SHRS 904784709 244 10,800 SH 1,800 9,000 9,000 1,800 UNITED DOMINION REALTY TRUST REIT 910197102 576 20,557 SH 20,557 20,557 UNITED FIRE & CASUALTY CO COMMON STOCK 910331107 1,664 55,216 SH 55,216 55,216 UNITED STATES STEEL CORP COMMON STOCK 912909108 576 8,210 SH 8,210 8,210 UNITED TECHNOLOGIES CORP COMMON STOCK 913017109 3,250 51,248 SH 51,248 51,248 USG CORP COMMON STOCK 903293405 282 5,000 SH 5,000 5,000 VALERO ENERGY CORP COMMON STOCK 91913Y100 1,862 27,984 SH 27,984 27,984 VALERO LP LTD PART 91913W104 314 6,367 SH 6,367 6,367 VAN KAMPEN BOND FUND CLOSED-END FUND 920955101 190 11,600 SH 11,600 11,600 VAN KAMPEN SENIOR INCOME TRS CLOSED-END FUND 920961109 417 50,100 SH 50,100 50,100 VARIAN SEMICONDUCTOR EQUIP COMMON STOCK 922207105 344 10,546 SH 546 10,000 10,000 546 VITRAN CORP INC COMMON STOCK 92850E107 376 16,000 SH 16,000 16,000 VODAFONE GROUP PLC-SP ADR ADR 92857W209 213 10,000 SH 1,000 9,000 9,000 1,000 VORNADO REALTY TRUST REIT 929042109 1,317 13,500 SH 13,500 13,500 WA/CLAY US TREAS INFL PROT CLOSED-END FUND 95766Q106 3,076 276,102 SH 276,102 276,102 WACHOVIA CORP COMMON STOCK 929903102 296 5,468 SH 5,468 5,468 WASTE MANAGEMENT INC COMMON STOCK 94106L109 829 23,100 SH 23,100 23,100 WEINGARTEN REALTY INVESTORS REIT 948741103 235 6,150 SH 2,700 3,450 3,450 2,700 WELLS FARGO & COMPANY COMMON STOCK 949746101 1,075 16,025 SH 16,025 16,025 WGL HOLDINGS INC COMMON STOCK 92924F106 1,771 61,171 SH 61,171 61,171 WILLIAMS COS INC COMMON STOCK 969457100 7,148 306,002 SH 306,002 306,002 WINSTON HOTELS INC REIT 97563A102 146 11,900 SH 11,900 11,900 WISCONSIN ENERGY CORP COMMON STOCK 976657106 967 24,000 SH 24,000 24,000 WORLDWIDE WEB NETWORX CORP COMMON STOCK 981604101 0 34,000 SH 34,000 34,000 WORLDWIDE WEB NETWORX CORP RESTRICTED PUBLIC 981604911 0 33,000 SH 33,000 33,000 WPS RESOURCES CORP COMMON STOCK 92931B106 496 10,000 SH 10,000 10,000 WT07 05DENT-A-MED INC USD EQUITY WRT 24872E112 0 2 SH 2 2 WTS DISCOVERY ZONE INC EQUITY WRT 25468B131 0 11 SH 11 11 XCEL ENERGY INC COMMON STOCK 98389B100 913 47,608 SH 47,608 47,608 XTO ENERGY INC COMMON STOCK 98385X106 221 5,000 SH 5,000 5,000 YAHOO! INC COMMON STOCK 984332106 3,580 108,477 SH 108,477 108,477
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