OTA Financial as of Dec. 31, 2012
Portfolio Holdings for OTA Financial
OTA Financial holds 0 positions in its portfolio as reported in the December 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
ABBOTT LABORATORIES COM 002824100 5345 81615 SH DEFINED 1 5345
ABERDEEN ASIA PAC INC FD COM 003009107 101 13163 SH DEFINED 1 101
AETNA INC COM 00817Y108 315 6821 SH DEFINED 1 315
ALLIANCE DATA SYSTEMS CO NOTE 4.750% 5/1 018581AC2 45913 149890 SH DEFINED 1 45913
AMERICA MOVIL S A DE C V SHS 02364W204 1256 54281 SH DEFINED 1 1256
AMERICAN REALTY CAPITAL TRUS COM 02917L101 429 37193 SH DEFINED 1 429
APACHE CORP COM 037411105 268 3422 SH DEFINED 1 268
BANK OF AMERICA CORP COM 060505104 467 40312 SH DEFINED 1 467
BANK OF AMERICA CORPORATION *W EXP 10/28/201 060505153 32 42260 SH DEFINED 1 32
BHP BILLITON LTD ADR ADR 088606108 779 9942 SH DEFINED 1 779
BLACKROCK GLOBAL OPP EQTY TR COM 092501105 198 15000 SH DEFINED 1 198
BLACKROCK INCOME OPPORTUNITY COM 092475102 184 16273 SH DEFINED 1 184
CARNIVAL CORP PAIRED CTF 143658300 234 6382 SH DEFINED 1 234
CBS CORP-CLASS A VOTING CL A 124857103 251 6609 SH DEFINED 1 251
CELSION CORP COM 15117N305 118 14420 SH DEFINED 1 2 118
CENTRAL FUND CANADA LTD-A CL A 153501101 651 30978 SH DEFINED 1 651
CITIGROUP INC *W EXP 01/04/201 172967226 24 58870 SH DEFINED 1 24
CITIZENS REPUBLIC BANCORP IN COM 174420307 400 21124 SH DEFINED 1 400
EATON VANCE INSURED MUNI BON COM 27827X101 984 70389 SH DEFINED 1 984
EATON VANCE LIMITED COM 27828H105 599 35967 SH DEFINED 1 599
EATON VANCE RISK-MANAGED DIV COM 27829G106 123 11804 SH DEFINED 1 123
EATON VANCE SR FLOATING COM 27828Q105 374 23424 SH DEFINED 1 374
EATON VANCE T/A GL DVD INCM COM 27828S101 333 24523 SH DEFINED 1 333
EATON VANCE TAX ADVANTAGE COM 27828G107 339 20563 SH DEFINED 1 339
EATON VANCE TAX-MANAGED GLOB COM 27829F108 109 12384 SH DEFINED 1 109
FIRST CALIFORNIA FINANCIAL G COM 319395109 140 18230 SH DEFINED 1 140
FORD MOTOR CO *W EXP 01/01/201 345370134 4405 1141328 SH DEFINED 1 4405
FREEPORT MCMORAN COPPER & GO COM 35671D857 2047 59860 SH DEFINED 1 2047
GENERAL MOTORS CO PFD CNV SRB 37045V209 317 7190 SH DEFINED 1 317
GENERAL MOTORS CO *W EXP 07/10/201 37045V118 25183 1291449 SH DEFINED 1 25183
GENERAL MOTORS CO *W EXP 07/10/201 37045V126 8763 701623 SH DEFINED 1 8763
HARTFORD FINL SVCS GRP DEP CONV PFD 416515708 1889 91514 SH DEFINED 1 1889
HEALTH CARE REIT INC COM 42217K106 617 10070 SH DEFINED 1 617
INTL BUSINESS MACHINES COM 459200101 880 4599 SH DEFINED 1 880
INVESCO DYNAMIC CREDIT OPPO COM 46132R104 694 55623 SH DEFINED 1 694
INVESCO MUNICIPAL TRUST COM 46131J103 443 30832 SH DEFINED 1 443
INVESCO QUALITY MUNI INC TR COM 46133G107 472 34520 SH DEFINED 1 472
ISHA MSCI EMERG MKT MIN VOL EM MKT MIN VOL 464286533 806 13323 SH DEFINED 1 806
ISHARES CORE TOTAL US BOND M ETF 464287226 1176 10589 SH DEFINED 1 1176
ISHARES INC MSCI TAIWAN 464286731 385 28291 SH DEFINED 1 385
ISHARES INC MSCI BRAZIL 464286400 367 6554 SH DEFINED 1 367
ISHARES MSCI EAFE GROWTH INX MSCI GRW IDX 464288885 2021 33674 SH DEFINED 1 2021
ISHARES MSCI EAFE VALUE INX MSCI VAL IDX 464288877 1578 32451 SH DEFINED 1 1578
ISHARES MSCI HONG KONG INDEX MSCI HONG KONG 464286871 765 39432 SH DEFINED 1 765
ISHARES MSCI INDONESIA INVES INDONE INVS MRKT 46429B309 295 9761 SH DEFINED 1 295
ISHARES MSCI MALAYSIA MSCI MALAYSIA 464286830 661 43732 SH DEFINED 1 661
ISHARES MSCI SOUTH AFRICA MSCI STH AFRCA 464286780 224 3139 SH DEFINED 1 224
ISHARES MSCI SOUTH KOREA MSCI S KOREA 464286772 491 7752 SH DEFINED 1 491
JOHN HAN PREMIUM DIVIDEND FD DIV FD COM SH BEN INT 41013T105 214 15810 SH DEFINED 1 214
KAYNE ANDERSON ENERGY TOT RT COM 48660P104 515 20950 SH DEFINED 1 515
KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 1084 13595 SH DEFINED 1 1084
LENNAR CORP CL B CL B 526057302 2612 85529 SH DEFINED 1 2612
LEUCADIA NATIONAL CORP COM 527288104 312 13154 SH DEFINED 1 312
LIBERTY GLOBAL INC-C COM SER C 530555309 370 6309 SH DEFINED 1 370
MAXIS NIKKEI 225 INDEX FUND TR MAXIS NIKKEI 74016W106 551 38194 SH DEFINED 1 551
MECHEL-PREF SPON ADR SPON ADR PFD 583840509 19 10307 SH DEFINED 1 19
MFS CHARTER INCOME TRUST TR SH BEN INT 552727109 190 18864 SH DEFINED 1 190
NUVEEN EQTY PREM INCM FD COM 6706ER101 157 13306 SH DEFINED 1 157
NUVEEN PERF PLS MUNI COM 67062P108 192 11926 SH DEFINED 1 192
NUVEEN QUAL INC MUNI COM 670977107 260 17042 SH DEFINED 1 260
NUVEEN QUALITY PFD INCM FD COM 67071S101 174 20153 SH DEFINED 1 174
NYSE EURONEXT COM 629491101 944 29954 SH DEFINED 1 944
OI SA-ADR ADR 670851104 55 12917 SH DEFINED 1 55
ONCOTHYREON INC PUT 682324958 36 17900 PUT DEFINED 2 36
P P G INDUSTRIES INC COM 693506107 473 3499 SH DEFINED 1 473
PETROLEO BRASILEIRO S.A.-ADR ADR 71654V408 1260 64759 SH DEFINED 1 1260
POWERSHARES SENIOR LOAN TRUST II SENIOR LN PORT 73936Q769 208 8345 SH DEFINED 1 208
PPL CORPORATION UNIT 99/99/9999 69351T601 2120 40544 SH DEFINED 1 2120
PVH CORP COM 693656100 342 3081 SH DEFINED 1 342
ROYAL DUTCH SHELL PLC PLC SPONS ADR A 780259206 3548 51463 SH DEFINED 1 3548
SPDR BARCLAYS SHORT-TERM HIG SHT TRM HGH YLD 78468R408 221 7251 SH DEFINED 1 221
SPDR S^P INTL SMALL CAP FDS S^P INTL SMLCP 78463X871 219 7730 SH DEFINED 1 219
SPDR S^P RUSSIA ETF ETF 78463X558 318 10951 SH DEFINED 1 318
SPROTT PHYSICAL GOLD TRUST TRUST UNIT 85207H104 3821 268951 SH DEFINED 1 3821
SPROTT PHYSICAL SILVER TRUST TR TR UNIT 85207K107 2812 233576 SH DEFINED 1 2812
SYNOVUS FINANCIAL CORP UNIT 99/99/9999 87161C204 734 33380 SH DEFINED 1 734
TERASDYNE INC NOTE 4.500% 3/1 880770AE2 15500 50000 SH DEFINED 1 15500
UNILEVER PLC NEW ADR ADR 904767704 894 23103 SH DEFINED 1 894
VALE SA-SP PREF ADR ADR REPSTG PFD 91912E204 635 31309 SH DEFINED 1 635
VANGUARD MSCI EAFE ETF ETF 921943858 949 26956 SH DEFINED 1 949
VANGUARD MSCI PACIFIC ETF ETF 922042866 1252 23468 SH DEFINED 1 1252
VERINT SYSTEMS INC COM 92343X100 438 14936 SH DEFINED 1 438
WESTERN ASSET EMERGING MARKE COM 95766E103 340 22248 SH DEFINED 1 340
WESTERN ASSET HIGH INC FD II COM 95766J102 608 63037 SH DEFINED 1 608
WESTERN ASSET HIGH YIELD DEF COM 95768B107 310 16965 SH DEFINED 1 310
WESTERN ASSET MANAGED HIGH Y COM 95766L107 130 21216 SH DEFINED 1 130
WHITING PETROLEUM CORP CORP NEW PERP PFD CONV 966387201 7675 38422 SH DEFINED 1 7675
WISDOMTREE INDIA EARNINGS INDIA ERNGS FD 97717W422 548 28315 SH DEFINED 1 548