OTA Financial

OTA Financial as of Dec. 31, 2013

Portfolio Holdings for OTA Financial

OTA Financial holds 114 positions in its portfolio as reported in the December 2013 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Notes 34.5 $55M 100k 551.62
General Motors Company (GM) 7.2 $11M 279k 40.87
Sprott Physical Gold Trust (PHYS) 4.8 $7.7M 771k 9.96
Omnicare Cap Tr Ii pfd b tr 4.00% 4.0 $6.4M 87k 74.21
Goodyear Tire Rubr Pfd 5.875% p 3.9 $6.2M 93k 66.85
Royal Dutch Shell 3.8 $6.1M 85k 71.26
Epr Properties Pfd C 5.75% (EPR.PC) 2.4 $3.8M 188k 20.45
General Mtrs Co *w exp 07/10/201 2.3 $3.7M 159k 23.12
Sprott Physical Silver Tr tr unit (PSLV) 2.0 $3.1M 413k 7.56
General Mtrs Co *w exp 07/10/201 1.9 $3.0M 98k 31.15
Kinder Morgan Energy Partners 1.8 $2.9M 36k 80.64
Genesee & Wyoming 1.4 $2.2M 17k 127.98
Clearbridge Energy M 1.3 $2.1M 76k 27.21
iShares MSCI EAFE Index Fund (EFA) 1.2 $1.9M 29k 67.04
Ishares Inc em mkt min vol (EEMV) 1.1 $1.8M 31k 58.25
Vanguard Emerging Markets ETF (VWO) 1.0 $1.6M 38k 41.14
United Technol conv prf 0.9 $1.4M 22k 65.46
Nextera Energy Inc unit 0.8 $1.4M 24k 56.62
Invesco Van Kampen Senior Income Trust (VVR) 0.8 $1.3M 255k 5.04
Pimco Dynamic Credit Income other 0.8 $1.3M 57k 22.47
iShares MSCI Japan Index 0.7 $1.1M 94k 12.12
Invesco Insured Municipal Income Trust (IIM) 0.6 $1.0M 75k 13.49
WisdomTree Emerging Markets Eq (DEM) 0.6 $959k 19k 51.01
Market Vectors-Inter. Muni. Index 0.6 $963k 44k 21.99
America Movil SAB de CV 0.6 $891k 38k 23.43
Ishares Inc core msci emkt (IEMG) 0.5 $850k 17k 49.76
Prudential Gl Sh Dur Hi Yld 0.5 $845k 49k 17.33
Weyerhaeuser Company (WY) 0.5 $754k 24k 31.54
Eaton V.Tax-Advantaged Dividend Inc Fund (EVT) 0.5 $736k 39k 19.00
Blackrock MuniHoldings CA Insrd Fnd (MUC) 0.5 $725k 55k 13.21
Metlife Inc 5% 10/0/14 Conv Pr cv prf 0.4 $703k 22k 31.53
PAA Natural Gas Storage 0.4 $632k 28k 22.98
Western Asset Managed Municipals Fnd (MMU) 0.4 $636k 52k 12.21
Cole Real Estate Invts 0.3 $553k 40k 14.02
BlackRock Enhanced Capital and Income (CII) 0.3 $548k 40k 13.66
Alpine Total Dynamic Dividend Fund 0.3 $524k 125k 4.18
Comcast Corporation 0.3 $515k 10k 49.85
WisdomTree India Earnings Fund (EPI) 0.3 $512k 29k 17.42
Pimco Municipal Income Fund II (PML) 0.3 $488k 46k 10.65
Enbridge Energy Partners 0.3 $461k 16k 29.82
Wstrn Asst Emrgng Mrkts Incm Fnd 0.3 $437k 37k 11.81
Invesco Quality Municipal Inc Trust (IQI) 0.3 $425k 38k 11.12
Market Vectors Gold Miners ETF 0.3 $422k 20k 21.10
Aberdeen Asia-Pacific Income Fund 0.3 $409k 71k 5.75
Hartford Finl Svcs Wt Exp 0626 wt 0.3 $422k 15k 27.53
Lennar Corporation (LEN) 0.2 $399k 10k 39.53
MSCI Indonesia Investable Market Ind (EIDO) 0.2 $399k 18k 22.83
Eaton Vance Risk Managed Diversified (ETJ) 0.2 $393k 35k 11.25
Nuveen Premium Income Municipal Fund 0.2 $398k 32k 12.30
Blackrock Muniyield Fund (MYD) 0.2 $394k 31k 12.81
Nuveen Build Amer Bd (NBB) 0.2 $394k 21k 18.42
Gamco Global Gold Natural Reso (GGN) 0.2 $394k 44k 9.00
Market Vectors Emerging Mkts Local ETF 0.2 $360k 15k 23.49
Clearbridge Energy M 0.2 $362k 16k 22.04
Nuveen Quality Pref. Inc. Fund II 0.2 $334k 41k 8.14
Nuveen Equity Premium and Growth Fund (SPXX) 0.2 $330k 23k 14.10
Liberty All-Star Equity Fund (USA) 0.2 $323k 54k 5.96
Nuveen Municipal Advantage Fund 0.2 $323k 27k 12.16
iShares MSCI Hong Kong Index Fund (EWH) 0.2 $301k 15k 20.60
Nuveen Quality Income Municipal Fund 0.2 $308k 25k 12.23
Blackrock Muniholdings Insured Fund II (MUE) 0.2 $282k 23k 12.07
Invesco Van Kampen Trust For Inv Grd Mun (VGM) 0.2 $286k 24k 12.14
Invesco Van Kampen Municipal Trust (VKQ) 0.2 $282k 24k 11.57
Invesco Van Kampen Muni Opp Trust (VMO) 0.2 $284k 24k 11.71
Nuveen Munpl Markt Opp Fund 0.2 $281k 24k 11.98
Nuveen Div Adv Muni Fd 3 Ben Int (NZF) 0.2 $281k 23k 12.34
Nuveen Insured Quality Muncipal Fund 0.2 $282k 23k 12.07
Blackrock MuniHoldings Insured 0.2 $280k 24k 11.86
Van Kampen Advantage Muni Incm Tr II (VKI) 0.2 $282k 27k 10.49
BlackRock MuniHoldings New Jersey Ins Fn (MUJ) 0.2 $284k 22k 13.09
Nuveen CA Div Adv Muni Fd 3 Ben Int 0.2 $280k 25k 11.38
Nuveen Select Quality Municipal Fund 0.2 $281k 23k 12.37
Nuveen Intermediate 0.2 $285k 25k 11.50
Intercloud Systems Inc *w exp 08/25/201 0.2 $285k 21k 13.41
Nuveen Maryland Premium Income Municipal 0.2 $277k 23k 11.91
Nuveen Va Premium Income Municipal Fund (NPV) 0.2 $275k 23k 11.78
AllianceBernstein Global Hgh Incm (AWF) 0.2 $254k 18k 14.23
Wells Fargo Adv Multi-Sector Inco Fund (ERC) 0.2 $248k 18k 14.01
News Corp Class B cos (NWS) 0.2 $252k 14k 17.78
Petroleo Brasileiro SA (PBR.A) 0.1 $241k 17k 14.65
Hovnanian Enterprises 0.1 $239k 36k 6.61
NII Holdings 0.1 $234k 85k 2.74
Ez (EZPW) 0.1 $234k 20k 11.68
Jpmorgan Chase & Co. w exp 10/201 0.1 $246k 13k 19.39
Atlantic Power Corporation 0.1 $235k 68k 3.48
Royce Value Trust (RVT) 0.1 $241k 15k 15.96
BlackRock Debt Strategies Fund 0.1 $233k 59k 3.98
Nuveen Ins Ny Tx Fr Adv Mun (NRK) 0.1 $232k 19k 12.26
Dfc Global 0.1 $238k 21k 11.41
American Eagle Outfitters (AEO) 0.1 $217k 15k 14.35
Nuance Communications 0.1 $218k 14k 15.19
Aeropostale 0.1 $227k 25k 9.07
ION Geophysical Corporation 0.1 $226k 69k 3.29
BioScrip 0.1 $218k 30k 7.37
Cirrus Logic (CRUS) 0.1 $216k 11k 20.34
Liquidity Services (LQDT) 0.1 $228k 10k 22.59
Acacia Research Corporation (ACTG) 0.1 $227k 16k 14.52
Cobalt Intl Energy 0.1 $225k 14k 16.42
BlackRock MuniYield Pennsylvania Insured (MPA) 0.1 $227k 18k 12.77
BlackRock MuniYield New Jersey Fund 0.1 $229k 17k 13.65
Exd - Eaton Vance Tax-advant 0.1 $228k 16k 14.14
Demand Media 0.1 $219k 38k 5.75
Fusion-io 0.1 $222k 25k 8.87
Francescas Hldgs Corp 0.1 $222k 12k 18.39
Halcon Resources 0.1 $216k 56k 3.85
Millennial Media 0.1 $228k 31k 7.26
Nuverra Environmental Soluti 0.1 $226k 14k 16.79
Forest Oil Corporation 0.1 $210k 58k 3.60
Cincinnati Bell 0.1 $215k 61k 3.55
VirnetX Holding Corporation 0.1 $212k 11k 19.34
Putnam Municipal Opportunities Trust (PMO) 0.1 $207k 19k 10.70
BlackRock MuniYield Michigan Insured Fnd (MIY) 0.1 $209k 17k 12.46
Nuveen North Carol Premium Incom Mun 0.1 $211k 18k 11.92
Ruckus Wireless 0.1 $215k 15k 14.20