John D. Bates

Pfizer Common — None

Tyco 'nt” Common — None — merger

Tyco nt" _tc. (new) — None — se’

3anc<o’ Amer. - Common — None

S_V Cor. - Common — None

Wasi Mutua Common — None

Procter & Game - Common — None

Zimmer H (gs - Common — CanrGain — Se

Verizon Common — None

cearc Common — CanrGain — Se

Canita One in" Common — None

Quest Diag. - Common — CayGain — Se

3axter nt' Common — None

CNN Zin" Cord. Common — Jv

UBS PW Retirement Money “unc — Jv. — Se

3roacricge “in' - Common — s91no.Y

3roacricge “in' - Common — CanGain — SC

yco 3 ectronics tc — None — merger

Covicien _tc — merger

Covicien _tc — CarGain — S€

Covicien _tc — None — SE

Dreyfus Voney V «t — uy

Dreyfus Voney V «t — Int/Div — uy/se

SERV ne — None — uy

AXA Zcuita) e Life Annuity — uy

AXA Zcuita) e Life Annuity — None — uy

Smita 3arney - Joint (includes former “Zirkin-UBS Fin.Servs. - Joint")

Citihan< Voney “unc — Interest — uy/se

AV. Aggressive Growta — None — Se

A"V Const Func C — None — Se

G3 (Genwort1) _ife & Annuity — enc — Se

Transamerica _ife Annuity (P.7 enceavor) — Int/Div — se

Fice ity 3 ue Cin Growth — Int/Div

Tice ity Divicenc Growta — Int/Div

Citigrous Common — None — S€

C orox Common — CanGain — Se

7irst Data Common — CarGain — merger

Western Union Common — Int/Div

iserv Inc. Common — None

Gannett Co. Common — enc

Time Warner Common — Int/Div

TJnitec -eati1 Common — Int/Div

Wyet1 Common — Int/Div

XV.A Vioney Vt — Int/Div — Se

AES Cord. Common — None

New 2ers»hective “unc — Int/Div — uy

3arc ays 3anc< ref — None — uy

owarc Cty. V.J 3onc — Interest — uy

VD Ded -SG& Comm Dev 3onc — Interest — uy

PG Cty VD 3onc — Interest — uy

Was. Sub. San. Dt. VD Bone — Interest — uy

Western Asset Money Mar <et — Int/Div — uy

Arc1Canita Grou» _tc — None — uy

Amer. “ower Cord. -C ass A — None — uy

Ciemec Cor. — Int/Div — uy

Davita nc — None — uy

ectronics for ‘maging — \None — uy

Znergy "ransfer Ptns _P — enc — uy

Ha 'iburton Co. Hc gs. — Int/Div — uy

ntuit nc — None — uy

NY Comm. 3ancor — Int/Div — uy

Powersares 2x-"racec Func Dynamic 3iotec1 & Genome — None — uy

Sciwa)r Cis.Com. — enc — uy

Unum Grou» — Int/Div — uy

Barney - RA - J (former'y "Zir<in - U3S Fin" Servs - RA -J")

AT& nc. Common — None

3M Common — None

Vectronic Common — None

U3S PW Retirement V.oney “unc — Int/Div — se

A te Coro. Common — CanrGain — merger

Genuine arts Common — CanrGain — se

Untc "ec1 Common — \one

Co gate ?a mo ive Common — None

Tribune Common — \None — Se

Citihran¢ Acct. — uy

Citihran¢ Acct. — None — Se

Dreyfus Voney V <t — uy

Dreyfus Voney V <t — Int/Div — uy/se

Cameron .nt' - Common — None — uy

Centerpoint Znergy - Common 96. -- Conagra ~oocs - Common — None — BN uy

Forest Oi Cord. - Common — None — uy

Gay orc Ent. Co. - Common — None — uy

ain Ce estia Grou» - Common — None — uy

2activ Cord. - Common — None — uy

JC 2enney - Common — \'one — uy

Wisconsin Znergy FE ¢g-Common — None — uy

Shares TR-DI Trans). “ncex =unc — None — uy

Shares "RG oha nc ncex =unc — None — uy

IShares Dow Jones US “ea th Care rovicers ‘ncex unc — None — uy

owersares - Dynamic Semiconc uctors — None — uy

Powers ares - Dynamic V.ecia ortfo’io — \None — buy

SPOR Incex SS 72S D Wi'shire ‘nt” Rea” Zstate — None — uy

Retail 37S — None — uy

SPDR SER TR XBW CAP V.X7S 377 — None — uy

SPDRRSERTRBW ICE? — None — uy

Se ect S»ector S?IR Energy — None — uy

Vanguarc Consumer Stay es 277 — None — uy

Vanguarc -ea ti Care 2777 — \None — uy

VII. Page 8 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of

spouse and dependent children. See pp. 34-60 of Instructions.)

(includ

(No reportable income,

assets, or transactions)

BH NONE

117. -- Vanguard Int'l Equity (European)

T

11/23

|

ETF

None

J

buy

11/23

| 118. Corts TR For US West Comm.Debs

buy

A |Dividend

sell

11/27

|

buy

11/23

| 119. -- Int'l Rectifier Common

None

sell

11/27

|

120. -- SPDR SER TR KBW INS ETF

None

buy

11/23

121. -- IShares S&P Software Index

None

11/23

Fund

Smith Barney - K

122.

-- AIM Const. Fund

Dividend

sell

4/19

123.

-- Invest Co. of Amer

Dividend

124.

-- Fidelity Blue Chip Growth

Dividend

sell

4/19

125.

-- Fidelity Dividend Growth

Dividend

sell

4/19

K

open

430 | L

126.

-- Citibank Acct.

A

Interest

K

withdraw

var.

K

127.

TIAA CREF Ret. Acct. -C

None

var.

buy

In

CS

00

0

01-$50,000

{5

5

Val

(See

1. 03%)

00

00;

EERE

Vali

(See Col. C

)