OTA Financial as of Sept. 30, 2012
Portfolio Holdings for OTA Financial
OTA Financial holds 0 positions in its portfolio as reported in the September 2012 quarterly 13F filing
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NAME OF ISSUER TITLE OF CLASS CUSIP VALUE AMOUNT TYPE INVSTMT OTHER VOTE
DISCRETION MANAGERS AUTHORITY
SOLE
ALLIANCE DATA SYSTEMS CO NOTE 4.750% 5/1 018581AC2 38282 127000 SH DEFINED 1 38282
ABERDEEN ASIA PAC INC FD COM 003009107 78 10089 SH DEFINED 1 78
ADAMS EXPRESS COMPANY COM 006212104 130 11542 SH DEFINED 1 130
AGIC CONV & INCOME FD II COM 001191105 118 13716 SH DEFINED 1 118
ALERIAN MLP ETF ALERIAN MLP 00162Q866 987 59606 SH DEFINED 1 987
AMERICA MOVIL S A DE C V SHS 02364W204 489 20136 SH DEFINED 1 489
AMERICAN INTERNATIONAL GROUP COM 026874784 292 8921 SH DEFINED 1 292
ASA BERMUDA LTD SHS G3156P103 457 18151 SH DEFINED 1 457
BANK OF AMERICA CORPORATION WT EXP 011619 *W EXP 01/16/201 060505146 39 11086 SH DEFINED 1 39
BANK OF AMERICA CORPORATION WT EXP 102818 *W EXP 10/28/201 060505153 19 27792 SH DEFINED 1 19
BHP BILLITON LTD ADR ADR 088606108 1683 24542 SH DEFINED 1 1683
BLACKROCK CORE BND TRUST TR SHS BEN INT 09249E101 226 14599 SH DEFINED 1 226
BLACKROCK CORPORATE HY FD 5 COM 09255N102 236 17846 SH DEFINED 1 236
BLACKROCK ENH CAP AND INC COM 09256A109 156 11979 SH DEFINED 1 156
BLACKROCK INTERNATIONAL GROW COM BENE INTER 092524107 253 34714 SH DEFINED 1 253
BLACKROCK MUNIYIELD QUALITY COM 09254E103 846 53359 SH DEFINED 1 846
BLACKROCK REAL ASSET EQUITY COM 09254B109 164 15284 SH DEFINED 1 164
CALAMOS CVT AND HIGH INCOME SHS 12811P108 297 23460 SH DEFINED 1 297
CALAMOS STRAT TOT RETURN FD COM SH BEN INT 128125101 261 25667 SH DEFINED 1 261
CARNIVAL CORP PAIRED CTF 143658300 946 25979 SH DEFINED 1 946
CITIGROUP INC UNIT 99/99/9999 172967416 28558 294483 SH DEFINED 1 28558
CITIZENS REPUBLIC BANCORP IN COM 174420307 343 17755 SH DEFINED 1 343
COOPER INDUSTRIES PLC SHS G24140108 943 12575 SH DEFINED 1 943
EATON VANCE TAX-MANAGED DIVE COM 27828N102 101 10709 SH DEFINED 1 101
ENBRIDGE ENERGY PARTNERS COM 29250R106 313 10660 SH DEFINED 1 313
FORD MOTOR CO PUT 345370950 206 20800 PUT DEFINED 2 206
FORD MOTOR CO *W EXP 01/01/201 345370134 4028 3910838 SH DEFINED 1 2 4028
GENERAL MOTORS CO *W EXP 07/10/201 37045V118 10954 794932 SH DEFINED 1 10954
GENERAL MOTORS CO *W EXP 07/10/201 37045V126 4015 486144 SH DEFINED 1 4015
GENON ENERGY INC COM 37244E107 90 35809 SH DEFINED 1 90
HARTFORD FINL SVCS GRP CONV PFD 416515708 504 26421 SH DEFINED 1 504
HEALTH CARE REIT INC COM 42217K106 1363 23610 SH DEFINED 1 1363
HUDSON CITY BANCORP INC COM 443683107 88 11136 SH DEFINED 1 88
INVESCO VAN KAMPEN MUNICIPAL COM 46131J103 209 13727 SH DEFINED 1 209
INVESCO VAN KAMPEN SENIOR IN COM 46131H107 658 131377 SH DEFINED 1 658
ISHARES BARCLAYS CREDIT BOND BARCLYS CR BD 464288620 1367 12008 SH DEFINED 1 1367
ISHARES CORE TOTAL US BOND M USAGG B 464287226 252 2242 SH DEFINED 1 252
ISHARES FTSE CHINA 25 INDEX FTSE CHINA25 IDX 464287184 774 22384 SH DEFINED 1 774
ISHARES INC MSCI TAIWAN 464286731 815 61009 SH DEFINED 1 815
ISHARES INC MSCI BRAZIL 464286400 285 5285 SH DEFINED 1 285
ISHARES MSCI ASIA EX-JAPAN MSCI ACJPN IDX 464288182 1406 24993 SH DEFINED 1 1406
ISHARES MSCI AUSTRALIA INDEX MSCI AUSTRALIA 464286103 392 16488 SH DEFINED 1 392
ISHARES MSCI EAFE INDEX FUND MSCI EAFE INDEX 464287465 2780 52465 SH DEFINED 1 2780
ISHARES MSCI SOUTH KOREA MSCI S KOREA 464286772 310 5253 SH DEFINED 1 310
KAYNE ANDERSON MLP INVESTMEN COM 486606106 299 9600 SH DEFINED 1 299
KINDER MORGAN ENERGY PARTNER LTD PARTNER 494550106 1117 13547 SH DEFINED 1 1117
KNIGHT CAPITAL GROUP INC-A PUT 499005956 41 15300 PUT DEFINED 2 41
KRAFT FOODS INC VA CL A CL A 50075N104 3490 84412 SH DEFINED 1 3490
LENNAR CORP CL B CL B 526057302 1140 42325 SH DEFINED 1 1140
LIBERTY ALL STAR EQUITY FUND FD SH BEN INT 530158104 235 48820 SH DEFINED 1 235
LIBERTY GLOBAL INC-C COM SER C 530555309 719 12745 SH DEFINED 1 719
MARKET VECTORS INDONESIA IND ETF 57060U753 323 11327 SH DEFINED 1 323
MARKET VECTORS RUSSIA ETF ETF 57060U506 256 8897 SH DEFINED 1 256
MOLYCORP INC COM 608753109 119 10390 SH DEFINED 1 119
NUVEEN FLOATING RATE SHS 6706EN100 173 13806 SH DEFINED 1 173
NUVEEN MUNI VALUE COM 670928100 178 17103 SH DEFINED 1 178
NUVEEN PFD & CONV INC FD COM 67073B106 182 18555 SH DEFINED 1 182
NUVEEN QUAL INC MUNI COM 670977107 410 25440 SH DEFINED 1 410
OI SA-ADR ADR REP PFD 670851203 87 21806 SH DEFINED 1 87
PENTAIR INC COM 709631105 2569 57721 SH DEFINED 1 2569
PIMCO FLOATING RATE COM 72201J104 128 11275 SH DEFINED 1 128
ROYAL DUTCH SHELL PLC PLC SPONS ADR A 780259206 2784 40117 SH DEFINED 1 2784
SPROTT PHYSICAL GOLD TRUST GOLD TRUST UNIT 85207H104 2910 191455 SH DEFINED 1 2910
SUNOCO INC COM 86764P109 1642 35065 SH DEFINED 1 1642
SYNOVUS FINANCIAL CORP CORP UNIT 99/99/9999 87161C204 1082 49915 SH DEFINED 1 1082
TELECOM ITALIA SPA-SPON ADR ORD 87927Y102 276 27519 SH DEFINED 1 276
TYCO INTERNATIONAL LTD SHS H89128104 11157 198321 SH DEFINED 1 11157
UNILEVER N V -NY SHARES SHS 904784709 3957 111544 SH DEFINED 1 3957
UNITED TECHNOLOGIES CORP COM 913017109 416 5317 SH DEFINED 1 416
VANGUARD EMERG MARKETS VIPER ETF 922042858 409 9811 SH DEFINED 1 409
VANGUARD MSCI EAFE ETF ETF 921943858 1131 34409 SH DEFINED 1 1131
VANGUARD S/T CORP BOND ETF FDS SHRT-TERM CORP 92206C409 889 11078 SH DEFINED 1 889
WELLS FARGO ADVANTAGE INCOME SHS 94987B105 127 12027 SH DEFINED 1 127
WESTERN ASSET HIGH INC FD II COM 95766J102 191 18064 SH DEFINED 1 191
WHITING PETROLEUM CORP PFD CONV 966387201 7593 34606 SH DEFINED 1 7593
WISDOMTREE INDIA EARNINGS INDIA ERNGS FD 97717W422 531 28041 SH DEFINED 1 531