OTA Financial

OTA Financial as of Sept. 30, 2013

Portfolio Holdings for OTA Financial

OTA Financial holds 71 positions in its portfolio as reported in the September 2013 quarterly 13F filing

Company (Ticker)
Portfolio Weight
Valued At
Change in Shares
Share Count
Share Price
Notes 37.3 $67M 150k 444.37
Teradyne Inc note 4.500% 3/1 8.4 $15M 50k 301.80
General Mtrs Co *w exp 07/10/201 6.6 $12M 446k 26.42
Sprott Physical Gold Trust (PHYS) 5.1 $9.1M 822k 11.02
Goodyear Tire Rubr Pfd 5.875% p 3.7 $6.7M 105k 63.68
Vanguard Emerging Markets ETF (VWO) 3.0 $5.4M 136k 40.11
iShares MSCI Emerging Markets Indx (EEM) 2.6 $4.6M 114k 40.76
General Mtrs Co jr pfd cnv srb 2.1 $3.8M 75k 50.14
iShares Silver Trust (SLV) 2.1 $3.7M 176k 20.89
General Mtrs Co *w exp 07/10/201 1.7 $3.1M 167k 18.60
iShares Barclays Credit Bond Fund (USIG) 1.4 $2.5M 23k 107.14
Weyerhaeuser Company (WY) 1.3 $2.3M 79k 28.63
Onyx Pharmaceuticals 1.3 $2.3M 18k 124.64
Enbridge Energy Management 1.2 $2.2M 76k 28.78
Genesee & Wyoming 1.1 $2.0M 16k 126.27
AllianceBernstein Income Fund 1.0 $1.8M 251k 7.04
CurrencyShares British Pound Ster. Trst 1.0 $1.8M 11k 159.63
Petroleo Brasileiro SA (PBR) 0.9 $1.5M 99k 15.48
Nuveen Multi-Strategy Inc & Growth Fd 2 (JQC) 0.9 $1.5M 165k 9.35
Colonial Properties Trust 0.8 $1.4M 64k 22.48
Affordable Residential Cmnty note 7.500% 8/1 0.8 $1.4M 10k 138.30
Nextera Energy Inc unit 0.7 $1.3M 24k 54.63
Warner Chilcott Plc - 0.7 $1.3M 55k 22.83
Pioneer Southwest Energy Partners 0.7 $1.2M 28k 44.20
ING Global Equity Divid.&Premium Opp-ETF 0.7 $1.2M 131k 9.02
M&T Bank Corporation (MTB) 0.7 $1.2M 10k 111.86
Comcast Corporation 0.6 $1.1M 27k 43.34
PowerShares India Portfolio 0.6 $1.1M 68k 15.97
Vale (VALE) 0.5 $946k 61k 15.60
Cliffs Natural Resources 0.5 $947k 46k 20.50
BHP Billiton 0.5 $928k 16k 58.82
iShares MSCI EAFE Index Fund (EFA) 0.5 $918k 14k 63.75
Vanguard Europe Pacific ETF (VEA) 0.5 $858k 22k 39.57
Kinder Morgan Management 0.5 $805k 11k 74.95
Hartford Financial Services (HIG) 0.4 $745k 24k 31.11
Royal Dutch Shell 0.4 $686k 11k 65.62
Market Vectors High Yield Muni. Ind 0.4 $686k 24k 29.19
America Movil SAB de CV 0.3 $632k 32k 20.01
Sterling Finl Corp Wash 0.3 $541k 19k 28.63
MetLife (MET) 0.3 $512k 11k 46.89
Pimco Municipal Income Fund II (PML) 0.3 $520k 47k 11.01
Nuveen Insured Municipal Opp. Fund 0.3 $490k 38k 12.99
PAA Natural Gas Storage 0.3 $476k 20k 23.28
Invesco Insured Municipal Income Trust (IIM) 0.3 $479k 35k 13.54
Aberdeen Asia-Pacific Income Fund 0.3 $463k 77k 6.05
Nuveen Select Quality Municipal Fund 0.2 $445k 35k 12.68
Spdr Short-term High Yield mf (SJNK) 0.2 $442k 15k 30.52
Fox News 0.2 $454k 14k 33.39
Eaton Vance Enhanced Equity Incm. Fd. II (EOS) 0.2 $404k 34k 11.73
First Tr Energy Infrastrctr 0.2 $404k 19k 21.51
Clearbridge Energy M 0.2 $400k 15k 26.60
Nuveen Multi-Strategy Income & Growth (JPC) 0.2 $373k 43k 8.67
SPDR S&P International Small Cap (GWX) 0.2 $346k 11k 32.69
Blackrock Build America Bond Trust (BBN) 0.2 $342k 18k 18.79
Eaton Vance Floating-Rate Income Trust (EFT) 0.2 $313k 20k 15.56
Nuveen Floating Rate Income Fund (JFR) 0.2 $318k 27k 11.94
Arcelormittal Sa Luxembourg mand cv nt 16 0.2 $315k 15k 21.45
Nuveen Ins Ny Tx Fr Adv Mun (NRK) 0.2 $311k 26k 12.20
SPDR Nuveen Barclays Capital Municpl Bnd 0.2 $284k 13k 22.81
Bank of America Corporation (BAC) 0.1 $266k 19k 13.78
Nuveen Insd Dividend Advantage (NVG) 0.1 $265k 21k 12.66
Hudson City Ban 0.1 $257k 28k 9.05
Clearbridge Energy M 0.1 $255k 12k 21.81
Whitewave Foods 0.1 $248k 12k 20.17
Velocity Shares Daily 2x Vix Short Term 0.1 $242k 16k 15.22
OfficeMax Incorporated 0.1 $230k 18k 12.75
Liberty All-Star Equity Fund (USA) 0.1 $239k 44k 5.39
Invesco Van Kampen Muni Opp Trust (VMO) 0.1 $231k 20k 11.78
News (NWSA) 0.1 $230k 14k 16.03
Calamos Convertible & Hi Income Fund (CHY) 0.1 $208k 17k 12.49
John Hancock Tax-Advantage Dvd Incom (HTD) 0.1 $215k 12k 17.33