OTA Financial as of March 31, 2013
Portfolio Holdings for OTA Financial
OTA Financial holds 0 positions in its portfolio as reported in the March 2013 quarterly 13F filing
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NAME OF ISSUER TITLE OF CLASS CUSIP VALUE AMOUNT TYPE INVSTMT OTHER VOTE
DISCRETION MANAGERS AUTHORITY
SOLE
ADVENT CLAYMORE CONV SEC COM 00764C109 198 11733 SH DEFINED 1 198
ALLIANCE DATA SYSTEMS CORP NOTE 4.750% 5/1 018581AC2 51224 149890 SH DEFINED 1 51224
ALLIANCE WRLD DLR G F II COM 01879R106 359 22042 SH DEFINED 1 359
AMERICA MOVIL S A DE C V SHS 02364W204 386 18518 SH DEFINED 1 386
AMERICAN INTERNATIONAL GROUP COM 026874784 206 5321 SH DEFINED 1 206
APACHE CORP CONV SER D 037411808 383 8604 SH DEFINED 1 383
BANK OF AMERICA CORP COM 060505104 357 29360 SH DEFINED 1 357
BERRY PETROLEUM CO CL A 085789105 777 16800 SH DEFINED 1 777
BLACKROCK BUILD AMERICA BOND SHS 09248X100 311 13838 SH DEFINED 1 311
BLACKROCK DEBT STRATEGIES FD COM 09255R103 137 30817 SH DEFINED 1 137
BLACKROCK GLOBAL OPP EQTY TR COM 092501105 248 17938 SH DEFINED 1 248
BLACKROCK MUN INC TR SBI TR SH BEN INT 09248F109 353 23379 SH DEFINED 1 353
BLACKROCK MUNIHOLDINGS CA QU COM 09254L107 177 11079 SH DEFINED 1 177
BLACKROCK MUNIYIELD FUND COM 09253W104 184 11549 SH DEFINED 1 184
CALAMOS GLOBAL DYNAMIC INCOM COM 12811L107 333 37264 SH DEFINED 1 333
CARNIVAL PLC-ADR ADR 14365C103 650 18562 SH DEFINED 1 650
CBS CORP-CLASS A VOTING CL A 124857103 297 6412 SH DEFINED 1 297
CENTRAL FUND CANADA LTD-A CL A 153501101 212 10985 SH DEFINED 1 212
CENTRAL GARDEN AND PET CO-A CL A NON-VTG 153527205 131 16044 SH DEFINED 1 131
COHEN & STEERS REIT & PFD COM 19247X100 410 21730 SH DEFINED 1 410
COMCAST CORP NEW CL A SPL PA NEW CL A SPL 20030N200 836 21105 SH DEFINED 1 836
COPANO ENERGY LLC-UNITS COM UNITS 217202100 219 5428 SH DEFINED 1 219
CURRENCYSHARES AUSTRALIAN DO AUSTRALIAN DOL 23129U101 380 3650 SH DEFINED 1 380
CURRENCYSHARES JAPANESE YEN TR JAPANESE YEN 23130A102 638 6134 SH DEFINED 1 638
DISCOVERY COMMUNICATIONS-C NEW COM SER C 25470F302 300 4321 SH DEFINED 1 300
EATON VANCE LIMITED COM 27828H105 250 14654 SH DEFINED 1 250
EATON VANCE SR FLOATING COM 27828Q105 441 26519 SH DEFINED 1 441
EATON VANCE TAX MAN GLBL BR COM 27829C105 317 28331 SH DEFINED 1 317
ENBRIDGE ENERGY MANAGEMENT L SHS UNITS LLI 29250X103 521 17261 SH DEFINED 1 521
GENERAL MOTORS CO *W EXP 07/10/201 37045V126 2933 248819 SH DEFINED 1 2933
GENERAL MOTORS CO *W EXP 07/10/201 37045V118 19748 1066933 SH DEFINED 1 19748
GENESEE & WYOMING INC UNIT 10/01/2015 371559204 1078 8361 SH DEFINED 1 1078
H & Q HEALTHCARE FD BEN INT 404052102 267 13407 SH DEFINED 1 267
HARTFORD FINL SVCS GRP DEP CONV PFD 416515708 11461 482579 SH DEFINED 1 11461
HEALTH CARE REIT INC COM 42217K106 692 10198 SH DEFINED 1 692
INVESCO AD MIT II SH BEN INT 46132E103 135 10634 SH DEFINED 1 135
INVESCO MUNICIPAL OPPORTUNI COM 46132C107 195 13837 SH DEFINED 1 195
INVESCO MUNICIPAL TRUST COM 46131J103 208 14838 SH DEFINED 1 208
INVESCO QUALITY MUNI INC TR COM 46133G107 615 46242 SH DEFINED 1 615
IPATH MSCI INDIA INDEX ETN IPMS INDIA ETN 06739F291 584 10220 SH DEFINED 1 584
ISHARES BARCLAYS CREDIT BOND BARCLYS CR BD 464288620 848 7541 SH DEFINED 1 848
ISHARES CORE TOTAL US BOND M ETF 464287226 582 5263 SH DEFINED 1 582
ISHARES IBOXX H/Y CORP BOND HIGH YLD CORP 464288513 292 3096 SH DEFINED 1 292
ISHARES MSCI ASIA EX-JAPAN MSCI ACJPN IDX 464288182 219 3710 SH DEFINED 1 219
ISHARES MSCI CHINA INDEX FD MSCI CHINA IDX 46429B671 1057 23336 SH DEFINED 1 1057
ISHARES MSCI EAFE GROWTH INX MSCI GRW IDX 464288885 220 3476 SH DEFINED 1 220
ISHARES MSCI EAFE INDEX FUND MSCI EAFE INDEX 464287465 2509 42553 SH DEFINED 1 2509
ISHARES MSCI EAFE SMALL CAP MSCI SMALL CAP 464288273 280 6387 SH DEFINED 1 280
ISHARES MSCI EAFE VALUE INX MSCI VAL IDX 464288877 691 13905 SH DEFINED 1 691
ISHARES MSCI EMERGING MKT MSCI EMERG MKT 464287234 1895 44315 SH DEFINED 1 1895
ISHARES MSCI MALAYSIA MSCI MALAYSIA 464286830 246 16470 SH DEFINED 1 246
KAYNE ANDERSON MLP INVESTMEN COM 486606106 568 16382 SH DEFINED 1 568
KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 5451 60724 SH DEFINED 1 5451
LENNAR CORP CL B CL B 526057302 2741 84995 SH DEFINED 1 2741
LIBERTY ALL STAR EQUITY FUND FD SH BEN INT 530158104 105 20401 SH DEFINED 1 105
LIBERTY GLOBAL INC-A COM SER A 530555101 1656 22569 SH DEFINED 1 1656
M & T BANK CORP COM 55261F104 561 5442 SH DEFINED 1 561
MFS CHARTER INCOME TRUST SH BEN INT 552727109 124 12276 SH DEFINED 1 124
NEWS CORP CL B CL B 65248E203 1159 37700 SH DEFINED 1 1159
NUV QLTY PFD INCOME FD 2 COM 67072C105 107 11417 SH DEFINED 1 107
NUVEEN EQTY PREMIUM ADVANTAG COM 6706ET107 132 10678 SH DEFINED 1 132
NUVEEN EQUITY PREM & GROWTH COM 6706EW100 216 15874 SH DEFINED 1 216
NUVEEN FLOATING RATE INC FD COM 67072T108 539 40952 SH DEFINED 1 539
NUVEEN INS MUNI OPPTY COM 670984103 245 16312 SH DEFINED 1 245
NUVEEN INV QUALITY MUNI FD COM 67062E103 179 11205 SH DEFINED 1 179
NUVEEN MUNI VALUE COM 670928100 231 22786 SH DEFINED 1 231
OMNICARE CAP TRUST II B TR 4.00% 68214Q200 8377 162679 SH DEFINED 1 8377
POWERSHARES SENIOR LOAN SENIOR LN PORT 73936Q769 385 15339 SH DEFINED 1 385
PPL CORPORATION UNIT 99/99/9999 69351T601 1028 18777 SH DEFINED 1 1028
PUTNAM PREMIER INCOME TRUST SH BEN INT 746853100 58 10551 SH DEFINED 1 58
REED ELSEVIER PLC-SPONS ADR ADR 758205207 208 4381 SH DEFINED 1 208
ROYAL DUTCH SHELL PLC-ADR SPON ADR B 780259107 1414 21176 SH DEFINED 1 1414
S^W SEED CO WT EXP 050315 *W EXP 05/03/201 785135112 73 22733 SH DEFINED 1 73
SPROTT PHYSICAL GOLD TRUST TRUST UNIT 85207H104 3157 233356 SH DEFINED 1 3157
SPROTT PHYSICAL SILVER TRUST TR UNIT 85207K107 856 76388 SH DEFINED 1 856
TELECOM ITALIA SPA-SPON ADR NEW SPON ADR SVGS 87927Y201 368 60354 SH DEFINED 1 368
TERADYNE INC NOTE 4.500% 3/1 880770AE2 14850 50000 SH DEFINED 1 14850
UNILEVER N V -NY SHARES SHS 904784709 1493 36421 SH DEFINED 1 1493
VANGUARD EMERG MARKETS VIPER ETF 922042858 536 12513 SH DEFINED 1 536
VELOCITYSHARES 2X VIX SH-TRM BRH ETN LKD SPVXSP 22539T852 231 66071 SH DEFINED 1 231
WESTERN ASSET EMERGING MARKE COM 95766A101 501 23630 SH DEFINED 1 501
WHITING PETROLEUM CORP NEW PERP PFD CONV 966387201 8925 37286 SH DEFINED 1 8925
WISDOMTREE INDIA EARNINGS INDIA ERNGS FD 97717W422 684 38116 SH DEFINED 1 684
WISDOMTREE JAPAN HEDGED EQ JAPN HEDGE EQT 97717W851 633 14661 SH DEFINED 1 633