0001398344-15-000981.txt : 20150213
0001398344-15-000981.hdr.sgml : 20150213
20150213160946
ACCESSION NUMBER: 0001398344-15-000981
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20141231
FILED AS OF DATE: 20150213
DATE AS OF CHANGE: 20150213
EFFECTIVENESS DATE: 20150213
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Thomas J. Herzfeld Advisors, Inc.
CENTRAL INDEX KEY: 0001509510
IRS NUMBER: 592414380
STATE OF INCORPORATION: FL
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14375
FILM NUMBER: 15614517
BUSINESS ADDRESS:
STREET 1: 119 WASHINGTON AVENUE, SUITE 504
CITY: MIAMI BEACH
STATE: FL
ZIP: 33139
BUSINESS PHONE: 305-271-1900
MAIL ADDRESS:
STREET 1: 119 WASHINGTON AVENUE, SUITE 504
CITY: MIAMI BEACH
STATE: FL
ZIP: 33139
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001509510
XXXXXXXX
12-31-2014
12-31-2014
false
Thomas J. Herzfeld Advisors, Inc.
119 Washington Avenue, Suite 504
Miami Beach
FL
33139
13F HOLDINGS REPORT
028-14375
N
Thomas J. Herzfeld
President
305-271-1900
/s/ Thomas J. Herzfeld
Miami Beach
FL
02-13-2015
0
308
199122
INFORMATION TABLE
2
fp0013253_13fhr-table.xml
13F INFORMATION TABLE
3M Company
common stock
88579Y101
12
74
SH
SOLE
74
0
0
Abbott Laboratories
common stock
002824100
11
253
SH
SOLE
253
0
0
Aberdeen Asia-Pacific Income Fund, Inc.
common stock
003009107
1104
198879
SH
SOLE
198879
0
0
Aberdeen Emerging Markets Smaller Company Opportunities Fund, Inc.
common stock
00301T102
65
4964
SH
SOLE
4964
0
0
Aberdeen Indonesia Fund, Inc.
common stock
00305P106
200
23835
SH
SOLE
23835
0
0
Aberdeen Israel Fund, Inc.
common stock
00301L109
46
2750
SH
SOLE
2750
0
0
Aberdeen Japan Equity Fund, Inc.
common stock
00306J109
1911
282238
SH
SOLE
282238
0
0
Aberdeen Latin America Equity Fund, Inc.
common stock
00306K106
2
88
SH
SOLE
88
0
0
Aberdeen Singapore Fund, Inc.
common stock
003244100
317
26585
SH
SOLE
26585
0
0
ACE Limited
common stock
H0023R105
10
88
SH
SOLE
88
0
0
Adams Express Company
common stock
006212104
5509
402677
SH
SOLE
402677
0
0
Advent/Claymore Enhanced Growth & Income Fund
common stock
00765E104
409
45965
SH
SOLE
45965
0
0
AllianceBernstein Global High Income Fund, Inc.
common stock
01879R106
392
31513
SH
SOLE
31513
0
0
AllianzGI Equity & Convertible Income Fund
common stock
018829101
41
2000
SH
SOLE
2000
0
0
Alpine Global Dynamic Dividend Fund
common stock
02082E205
2638
268076
SH
SOLE
268076
0
0
Alpine Total Dynamic Dividend Fund
common stock
021060207
4864
572855
SH
SOLE
572855
0
0
Altria Group Inc.
common stock
02209S103
8
167
SH
SOLE
167
0
0
Ambev S.A.
common stock
02319V103
7
1105
SH
SOLE
1105
0
0
America Movil S.A.B. de C.V.
common stock
02364W105
991
44690
SH
SOLE
44690
0
0
American Electric Power Co., Inc.
common stock
025537101
9
152
SH
SOLE
152
0
0
American Express Company
common stock
025816109
11
119
SH
SOLE
119
0
0
Anheuser-Busch InBev
common stock
03524A108
7
64
SH
SOLE
64
0
0
Apollo Tactical Income Fund Inc
common stock
037638103
931
58353
SH
SOLE
58353
0
0
Ares Multi-Strategy Credit Fund
common stock
04014Q108
65
3316
SH
SOLE
3316
0
0
ASA Gold and Precious Metals Limited
common stock
G3156P103
104
10307
SH
SOLE
10307
0
0
Asia Pacific Fund
common stock
044901106
58
5150
SH
SOLE
5150
0
0
Atlantic Tele Network, Inc.
common stock
049079205
810
11988
SH
SOLE
11988
0
0
Avenue Income Credit Strategies Fund
common stock
05358E106
139
9185
SH
SOLE
9185
0
0
Avianca Holdings S.A.
common stock
05367G100
1040
88682
SH
SOLE
88682
0
0
Baidu, Inc.
common stock
056752108
10
42
SH
SOLE
42
0
0
Banco Santander, S.A.
common stock
05964H105
8
968
SH
SOLE
968
0
0
Bancolombia S.A.
common stock
05968L102
947
19780
SH
SOLE
19780
0
0
Bancroft Fund Ltd.
common stock
059695106
624
31101
SH
SOLE
31101
0
0
Barclays PLC
common stock
06738E204
10
652
SH
SOLE
652
0
0
BlackRock Core Bond Trust
common stock
09249E101
3
200
SH
SOLE
200
0
0
BlackRock Credit Allocation Income Trust
common stock
092508100
1312
101530
SH
SOLE
101530
0
0
BlackRock Energy & Resources Trust
common stock
09250U101
39
1935
SH
SOLE
1935
0
0
BlackRock Enhanced Equity Dividend Trust
common stock
09251A104
11
1382
SH
SOLE
1382
0
0
BlackRock Income Trust, Inc.
common stock
09247F100
32
5000
SH
SOLE
5000
0
0
BlackRock Multi-Sector Income Trust
common stock
09258A107
325
19406
SH
SOLE
19406
0
0
BlackRock Resources & Commodities Strategy Trust
common stock
09257A108
163
16756
SH
SOLE
16756
0
0
BlackRock Science and Technology Trust
common stock
09258G104
2380
135326
SH
SOLE
135326
0
0
BlackRock Utility & Infrastructure Trust
common stock
09248D104
98
4746
SH
SOLE
4746
0
0
Blackstone/GSO Strategic Credit Fund
common stock
09257R101
428
26001
SH
SOLE
26001
0
0
Boulder Growth and Income Fund, Inc.
common stock
101507101
1945
214942
SH
SOLE
214942
0
0
Boulder Total Return Fund, Inc.
common stock
101541100
1351
48673
SH
SOLE
48673
0
0
BP PLC
common stock
055622104
7
177
SH
SOLE
177
0
0
British America Tobacco PLC
common stock
110448107
6
59
SH
SOLE
59
0
0
Brookfield Mortgage Opportunity Income Fund
common stock
112792106
82
5001
SH
SOLE
5001
0
0
Cameco Corporation
common stock
13321L108
6
396
SH
SOLE
396
0
0
Canadian Natural Resrouces Limited
common stock
136385101
9
276
SH
SOLE
276
0
0
Canadian Pacific Railway Limited
common stock
13645T100
13
65
SH
SOLE
65
0
0
Carnival Corp.
common stock
143658300
1405
31000
SH
SOLE
31000
0
0
Cemex, S.A.B. de C.V.
common stock
151290889
1149
112743
SH
SOLE
112743
0
0
Center Coast MLP & Infrastructure Fund
common stock
151461100
43
2399
SH
SOLE
2399
0
0
Central Europe Russia and Turkey Fund
common stock
153436100
82
4122
SH
SOLE
4122
0
0
Central Fund of Canada Limited (USA)
common stock
153501101
93
8000
SH
SOLE
8000
0
0
Central Securities Corp.
common stock
155123102
764
34769
SH
SOLE
34769
0
0
China Fund, Inc.
common stock
169373107
91
5000
SH
SOLE
5000
0
0
China Unicom (Hong Kong) Limited
common stock
16945R104
7
515
SH
SOLE
515
0
0
ClearBridge Energy MLP Fund Inc.
common stock
184692101
524
18972
SH
SOLE
18972
0
0
Clough Global Allocation Fund
common stock
18913Y103
576
38994
SH
SOLE
38994
0
0
Clough Global Equity Fund
common stock
18914C100
1228
84779
SH
SOLE
84779
0
0
Clough Global Opportunities Fund
common stock
18914E106
3895
303857
SH
SOLE
303857
0
0
Coca Cola Femsa S.A.B. de C.V.
common stock
191241108
761
8799
SH
SOLE
8799
0
0
Cohen & Steers Infrastructure Fund, Inc.
common stock
19248A109
1688
74313
SH
SOLE
74313
0
0
Cohen & Steers MLP Income and Energy Opportunity Fund
common stock
19249B106
147
7496
SH
SOLE
7496
0
0
Cohen & Steers Total Return Realty Fund
common stock
19247R103
753
57060
SH
SOLE
57060
0
0
Companhia Brasileira de Disrtibuicao
common stock
20440T201
4
119
SH
SOLE
119
0
0
Companhia de Saneamento Basico do Estado de Sao Paulo
common stock
20441A102
6
974
SH
SOLE
974
0
0
Consolidated Water Co. Ltd.
common stock
G23773107
1338
125238
SH
SOLE
125238
0
0
Consumer Discret Select Sector SPDR ETF
common stock
81369Y407
16
225
SH
SOLE
225
0
0
Copa Holdings SA
common stock
P31076105
3918
37800
SH
SOLE
37800
0
0
Cornerstone Progressive Return Fund
common stock
21925C200
994
65346
SH
SOLE
65346
0
0
Cornerstone Strategic Value Fund Inc.
common stock
21924B302
11
555
SH
SOLE
555
0
0
Credicorp Ltd.
common stock
G2519Y108
9
59
SH
SOLE
59
0
0
Cushing Renaissance Fund
common stock
231647108
328
15387
SH
SOLE
15387
0
0
CVS Health Corporation
common stock
126650100
9
91
SH
SOLE
91
0
0
Cyberonics, Inc.
common stock
23251P102
1021
18330
SH
SOLE
18330
0
0
Delaware Enhanced Global Dividend & Income Fund
common stock
246060107
477
42322
SH
SOLE
42322
0
0
Delaware Investments Dividend & Income Fund, Inc.
common stock
245915103
67
6767
SH
SOLE
6767
0
0
Deutsche Global High Income Fund
common stock
25158V108
14
1802
SH
SOLE
1802
0
0
Deutsche Multi-Market Income Trust
common stock
25160E102
40
4751
SH
SOLE
4751
0
0
Deutsche Strategic Income Trust
common stock
25160F109
23
2000
SH
SOLE
2000
0
0
Diversified Real Asset Income Fund
common stock
25533B108
2277
131272
SH
SOLE
131272
0
0
Dominion Resources, Inc.
common stock
25746U109
8
104
SH
SOLE
104
0
0
DoubleLine Income Solutions Fund
common stock
258622109
3358
168746
SH
SOLE
168746
0
0
Duff & Phelps Global Utility Income Fund, Inc.
common stock
26433C105
52
2410
SH
SOLE
2410
0
0
Duff & Phelps Select Energy MLP
common stock
26433F108
292
20600
SH
SOLE
20600
0
0
Eaton Vance Floating-Rate Income Plus Fund
common stock
278284104
151
9331
SH
SOLE
9331
0
0
Eaton Vance Limited Duration Income Fund
common stock
27828H105
77
5440
SH
SOLE
5440
0
0
Eaton Vance Michigan Municipal Income Trust
common stock
27826D106
1
100
SH
SOLE
100
0
0
EGShares Emerging Markets Consumer
common stock
268461779
2
72
SH
SOLE
72
0
0
Equus Total Return, Inc.
common stock
294766100
185
88121
SH
SOLE
88121
0
0
Era Group Inc.
common stock
26885G109
250
11815
SH
SOLE
11815
0
0
European Equity Fund, Inc.
common stock
298768102
151
18296
SH
SOLE
18296
0
0
Evertec Inc.
common stock
30040P103
501
22643
SH
SOLE
22643
0
0
Exxon Mobil Corporation
common stock
30231G102
8
86
SH
SOLE
86
0
0
Federated Enhanced Treasury Income Fund
common stock
314162108
2776
208436
SH
SOLE
208436
0
0
FedEx Corporation
common stock
31428X106
69
400
SH
SOLE
400
0
0
Financial Select Sector SPDR ETF
common stock
81369Y605
7
302
SH
SOLE
302
0
0
First Opportunity Fund, Inc.
common stock
33587T108
7376
772342
SH
SOLE
772342
0
0
First Trust Dow Jones Internet Index
common stock
33733E302
6
97
SH
SOLE
97
0
0
First Trust Energy Infrastructure Fund
common stock
33738C103
110
4621
SH
SOLE
4621
0
0
First Trust High Income Long/Short Fund
common stock
33738E109
2187
136694
SH
SOLE
136694
0
0
First Trust Intermediate Duration Preferred & Income Fund
common stock
33718W103
164
7221
SH
SOLE
7221
0
0
First Trust ISE Cloud Computing Index
common stock
33734X192
6
209
SH
SOLE
209
0
0
First Trust Mortgage Income Fund
common stock
33734E103
894
60156
SH
SOLE
60156
0
0
First Trust New Opportunities MLP & Energy Fund
common stock
33739M100
659
36781
SH
SOLE
36781
0
0
Fomento Economico Mexicano, S.A.B. de C.V.
common stock
344419106
968
11000
SH
SOLE
11000
0
0
Fort Dearborn Income Securities, Inc
common stock
347200107
76
5400
SH
SOLE
5400
0
0
Foxby Corp.
common stock
351645106
143
76580
SH
SOLE
76580
0
0
Freeport McMoran Copper & Gold
common stock
35671D857
737
32000
SH
SOLE
32000
0
0
Fresh Del Monte Produce Inc.
common stock
G36738105
168
5000
SH
SOLE
5000
0
0
Gabelli Dividend & Income Trust
common stock
36242H104
152
7000
SH
SOLE
7000
0
0
Gabelli Equity Trust Preferred Series D
preferred stock
362397705
22
848
SH
SOLE
848
0
0
Gabelli Equity Trust Preferred Series G
preferred stock
362397176
113
5045
SH
SOLE
5045
0
0
Gabelli Equity Trust, Inc.
common stock
362397101
21
3300
SH
SOLE
3300
0
0
Gabelli Global Small and Mid-Cap Value Fund
common stock
36249W104
7
700
SH
SOLE
700
0
0
Gabelli Global Utility & Income Trust
common stock
36242L105
34
1763
SH
SOLE
1763
0
0
Gabelli Healthcare & Wellness (Rx) Trust
common stock
36246K103
2418
232013
SH
SOLE
232013
0
0
Gabelli Multimedia Trust Inc.
common stock
36239Q109
889
88773
SH
SOLE
88773
0
0
GAMCO Global Gold, Natural Resources & Income Trust by Gabelli Preferred Series B
preferred stock
36465A307
860
40200
SH
SOLE
40200
0
0
GDL Fund
common stock
361570104
102
9961
SH
SOLE
9961
0
0
GDL Fund Preferred Series B
preferred stock
361570302
643
12800
SH
SOLE
12800
0
0
General American Investors Company, Inc.
common stock
368802104
3339
95409
SH
SOLE
95409
0
0
General Electric Company
common stock
369604103
9
370
SH
SOLE
370
0
0
Gilead Sciences Inc.
common stock
375558103
141
1500
SH
SOLE
1500
0
0
Grupo Televisa, S.A.B.
common stock
40049J206
967
28400
SH
SOLE
28400
0
0
Guggenheim Enhanced Equity Strategy Fund
common stock
40167K100
268
15119
SH
SOLE
15119
0
0
Health Care Select Sector SPDR ETF
common stock
81369Y209
14
211
SH
SOLE
211
0
0
Hewlett-Packard Company
common stock
428236103
8
210
SH
SOLE
210
0
0
ICIC Bank Ltd.
common stock
45104G104
10
875
SH
SOLE
875
0
0
Incyte Corporation
common stock
45337C102
35
477
SH
SOLE
477
0
0
ING Groep N.V.
common stock
456837103
6
487
SH
SOLE
487
0
0
Ingersoll-Rand PLC
common stock
G47791101
12
186
SH
SOLE
186
0
0
Intel Corporation
common stock
458140100
9
240
SH
SOLE
240
0
0
iShares 3-7 Year Treasury Bond
common stock
464288661
1
6
SH
SOLE
6
0
0
iShares Core MSCI Emerging Market
common stock
46434G103
5
116
SH
SOLE
116
0
0
iShares iBoxx $ Investment Grade Corporate Bond
common stock
464287242
2
20
SH
SOLE
20
0
0
iShares MBS
common stock
464288588
4
38
SH
SOLE
38
0
0
iShares MSCI Canada
common stock
464286509
2
81
SH
SOLE
81
0
0
iShares MSCI EMU Index
common stock
464286608
12
322
SH
SOLE
322
0
0
iShares MSCI Mexico Capped
common stock
464286822
356
6000
SH
SOLE
6000
0
0
iShares MSCI Pacific ex-Japan
common stock
464286665
2
51
SH
SOLE
51
0
0
iShares MSCI Sweden
common stock
464286756
1
33
SH
SOLE
33
0
0
iShares MSCI Switzerland Capped Index
common stock
464286749
3
99
SH
SOLE
99
0
0
iShares MSCI United Kingdom
common stock
46434V548
5
282
SH
SOLE
282
0
0
iShares Nasdaq Biotechnology
common stock
464287556
11
36
SH
SOLE
36
0
0
iShares TIPS Bond
common stock
464287176
47
420
SH
SOLE
420
0
0
Japan Smaller Capitalization Fund Inc.
common stock
47109U104
1321
147228
SH
SOLE
147228
0
0
John Hancock Premium Dividend Fund
common stock
41013T105
51
3727
SH
SOLE
3727
0
0
John Hancock Tax-Advantaged Dividend Income Fund
common stock
41013V100
15
655
SH
SOLE
655
0
0
Johnson & Johnson
common stock
478160104
9
85
SH
SOLE
85
0
0
JPMorgan Alerian MLP Index ETN
common stock
46625H365
46
1000
SH
SOLE
1000
0
0
JPMorgan Chase & Co.
common stock
46625H100
11
170
SH
SOLE
170
0
0
JPMorgan China Region Fund, Inc.
common stock
48126T104
187
11067
SH
SOLE
11067
0
0
Karyopharm Therapeutics Inc.
common stock
48576U106
51
1368
SH
SOLE
1368
0
0
Kayne Anderson Midstream/Energy Fund
common stock
48661E108
3465
101799
SH
SOLE
101799
0
0
Kraft Foods Group, Inc.
common stock
50076Q106
12
186
SH
SOLE
186
0
0
Latin American Discovery Fund Inc.
common stock
51828C106
9
800
SH
SOLE
800
0
0
Legg Mason BW Global Income Opportunities Fund
common stock
52469B100
254
15206
SH
SOLE
15206
0
0
Lennar Corp.
common stock
526057104
1813
40500
SH
SOLE
40500
0
0
Liberty All-Star Equity Fund
common stock
530158104
3292
550454
SH
SOLE
550454
0
0
Liberty All-Star Growth Fund, Inc.
common stock
529900102
287
55569
SH
SOLE
55569
0
0
LMP Capital and Income Fund, Inc.
common stock
50208A102
565
33740
SH
SOLE
33740
0
0
LyondellBasell Industries N.V.
common stock
N53745100
4
56
SH
SOLE
56
0
0
Macquarie Global Infrastructure Total Return Fund Inc.
common stock
55608D101
408
16506
SH
SOLE
16506
0
0
Mallinckrodt Public Limitied Company
common stock
G5785G107
9
88
SH
SOLE
88
0
0
Market Vectors EM Local Currency Bond ETF
common stock
57060U522
1
33
SH
SOLE
33
0
0
Market Vectors Gold Miners ETF
common stock
57060U100
55
3000
SH
SOLE
3000
0
0
Martin Marietta Materials Inc.
common stock
573284106
375
3400
SH
SOLE
3400
0
0
MasTec, Inc.
common stock
576323109
2715
120100
SH
SOLE
120100
0
0
McDonald's Corp.
common stock
580135101
9
97
SH
SOLE
97
0
0
Mexico Equity and Income Fund, Inc.
common stock
592834105
186
14786
SH
SOLE
14786
0
0
Morgan Stanley Asia Pacific Fund
common stock
61744U106
227
15294
SH
SOLE
15294
0
0
Morgan Stanley Emerging Market Debt Fund, Inc.
common stock
61744H105
181
19899
SH
SOLE
19899
0
0
Morgan Stanley Emerging Markets Domestic Debt Fund
common stock
617477104
439
41536
SH
SOLE
41536
0
0
Morgan Stanley Emerging Markets Fund, Inc.
common stock
61744G107
29
1964
SH
SOLE
1964
0
0
Morgan Stanley Income Securities Inc.
common stock
61745P874
69
3843
SH
SOLE
3843
0
0
Morgan Stanley India Investment Fund
common stock
61745C105
139
5167
SH
SOLE
5167
0
0
MVC Capital, Inc.
common stock
553829102
26
2618
SH
SOLE
2618
0
0
Nasdaq Premium Income & Growth Fund
common stock
670699107
24
1250
SH
SOLE
1250
0
0
Neuberger Berman High Yield Strategies Fund
common stock
64128C106
21
1743
SH
SOLE
1743
0
0
Neuberger Berman MLP Income Fund
common stock
64129H104
186
10582
SH
SOLE
10582
0
0
Neuberger Berman Real Estate Securities Income Fund
common stock
64190A103
38
7216
SH
SOLE
7216
0
0
New America High Income Fund, Inc.
common stock
641876800
18
2000
SH
SOLE
2000
0
0
New Germany Fund, Inc.
common stock
644465106
1145
81590
SH
SOLE
81590
0
0
New Ireland Fund, Inc.
common stock
645673104
133
10532
SH
SOLE
10532
0
0
NexPoint Credit Strategies Fund
common stock
65340G106
1959
174442
SH
SOLE
174442
0
0
NextEra Energy, Inc.
common stock
65339F101
9
82
SH
SOLE
82
0
0
Nike, Inc.
common stock
654106103
8
88
SH
SOLE
88
0
0
Norfolk Southern Corp.
common stock
655844108
627
5750
SH
SOLE
5750
0
0
Norwegian Cruise Line Holdings Ltd.
common stock
G66721104
1704
36443
SH
SOLE
36443
0
0
Nuveen All Cap Energy MLP Opportunities Fund
common stock
67075E108
252
16501
SH
SOLE
16501
0
0
Nuveen Build America Bond Fund
common stock
67074C103
192
9049
SH
SOLE
9049
0
0
Nuveen Build America Bond Opportunity Fund
common stock
67074Q102
505
23013
SH
SOLE
23013
0
0
Nuveen Core Equity Alpha Fund
common stock
67090X107
25
1411
SH
SOLE
1411
0
0
Nuveen Credit Strategies Income Fund
common stock
67073D102
4176
476129
SH
SOLE
476129
0
0
Nuveen Diversified Dividend and Income Fund
common stock
6706EP105
238
20232
SH
SOLE
20232
0
0
Nuveen Dividend Advantage Municipal Fund 3
common stock
67070X101
88
6352
SH
SOLE
6352
0
0
Nuveen Flexible Investment Income Fund
common stock
67075B104
147
9001
SH
SOLE
9001
0
0
Nuveen Floating Rate Income Fund
common stock
67072T108
9
800
SH
SOLE
800
0
0
Nuveen Global Equity Income Fund
common stock
6706EH103
13
1000
SH
SOLE
1000
0
0
Nuveen Global High Income Fund
common stock
67075G103
473
27432
SH
SOLE
27432
0
0
Nuveen Long/Short Commodity Total Return Fund
common stock
670731108
199
12000
SH
SOLE
12000
0
0
Nuveen Multi-Market Income Fund, Inc.
common stock
67075J107
1253
163332
SH
SOLE
163332
0
0
Nuveen Preferred & Income Term Fund
common stock
67075A106
52
2300
SH
SOLE
2300
0
0
Nuveen Preferred Income Opportunities Fund
common stock
67073B106
29
3000
SH
SOLE
3000
0
0
Nuveen Quality Preferred Income Fund 3
common stock
67072W101
814
97720
SH
SOLE
97720
0
0
Nuveen S&P 500 Dynamic Overwrite Fund
common stock
6706EW100
86
6001
SH
SOLE
6001
0
0
Nuveen Tax - Advantaged Dividend Growth Fund
common stock
67073G105
2
150
SH
SOLE
150
0
0
NXP Semiconductors NV
common stock
N6596X109
9
122
SH
SOLE
122
0
0
Occidental Petroleum Corporation
common stock
674599105
7
92
SH
SOLE
92
0
0
Oxford Lane Capital, 7.50% Pfd Series 2023
preferred stock
691543300
8153
334552
SH
SOLE
334552
0
0
Oxford Lane Capital, 8.125% Pfd Series 2024
preferred stock
691543409
4647
188048
SH
SOLE
188048
0
0
Pacholder High Yield Fund Inc.
common stock
693742108
167
22679
SH
SOLE
22679
0
0
Petroleum & Resources Corp.
common stock
716549100
4481
187948
SH
SOLE
187948
0
0
Pfizer Inc.
common stock
717081103
11
342
SH
SOLE
342
0
0
Philip Morris International, Inc.
common stock
718172109
7
90
SH
SOLE
90
0
0
PIMCO Dynamic Credit Income Fund
common stock
72202D106
5249
254194
SH
SOLE
254194
0
0
PIMCO Dynamic Income Fund
common stock
72201Y101
1680
54644
SH
SOLE
54644
0
0
PIMCO Enchanced Short Maturity Active ETF
common stock
72201R833
1074
10629
SH
SOLE
10629
0
0
PIMCO Income Strategy Fund II
common stock
72201J104
728
74256
SH
SOLE
74256
0
0
Pioneer Diversified High Income Trust
common stock
723653101
4
200
SH
SOLE
200
0
0
Popular, Inc.
common stock
733174700
477
14000
SH
SOLE
14000
0
0
PowerShares CEF Income Composite ETF
common stock
73936Q843
496
21000
SH
SOLE
21000
0
0
PowerShares Emerging Markets Soverign Debt ETF
common stock
73936T573
1
27
SH
SOLE
27
0
0
PriceSmart Inc.
common stock
741511109
91
1000
SH
SOLE
1000
0
0
Principal Real Estate Income Fund
common stock
74255X104
39
2097
SH
SOLE
2097
0
0
Prudential PLC
common stock
74435K204
8
163
SH
SOLE
163
0
0
Putnam High Income Securities Fund
common stock
746779107
1363
168115
SH
SOLE
168115
0
0
Putnam Master Intermediate Income Trust
common stock
746909100
373
77528
SH
SOLE
77528
0
0
Putnam Premier Income Trust
common stock
746853100
1196
227832
SH
SOLE
227832
0
0
Rand Capital Corp.
common stock
752185108
8
2000
SH
SOLE
2000
0
0
RENN Global Entrepreneurs Fund, Inc.
common stock
759720105
139
106588
SH
SOLE
106588
0
0
RMR Real Estate Income Fund
common stock
76970B101
2970
142629
SH
SOLE
142629
0
0
Royal Caribbean Cruises Ltd.
common stock
V7780T103
2143
26000
SH
SOLE
26000
0
0
Royce Focus Trust, Inc.
common stock
78080N108
327
44962
SH
SOLE
44962
0
0
Royce Global Value Trust, Inc.
common stock
78081T104
137
17044
SH
SOLE
17044
0
0
Royce Micro-Cap Trust, Inc.
common stock
780915104
4
357
SH
SOLE
357
0
0
Royce Value Trust Inc.
common stock
780910105
2078
145020
SH
SOLE
145020
0
0
Salient Midstream & MLP Fund
common stock
79471V105
3156
132800
SH
SOLE
132800
0
0
Schlumberger Limited
common stock
806857108
7
78
SH
SOLE
78
0
0
Seaboard Corp.
common stock
811543107
2393
570
SH
SOLE
570
0
0
Seacor Holdings, Inc.
common stock
811904101
148
2000
SH
SOLE
2000
0
0
Sensata Technologies Holding NV
common stock
N7902X106
9
175
SH
SOLE
175
0
0
Silver Wheaton Corp.
common stock
828336107
8
378
SH
SOLE
378
0
0
Simon Property Group Inc.
common stock
828806109
11
60
SH
SOLE
60
0
0
SK Telecom Co. Ltd.
common stock
78440P108
5
188
SH
SOLE
188
0
0
Source Capital Corp.
common stock
836144105
307
4295
SH
SOLE
4295
0
0
Spanish Broadcasting System Inc.
common stock
846425833
29
10030
SH
SOLE
10030
0
0
Spirit Airlines, Inc.
common stock
848577102
756
10000
SH
SOLE
10000
0
0
Steiner Leisure Ltd.
common stock
P8744Y102
1038
22467
SH
SOLE
22467
0
0
Sumitomo Mitsui Financial Group, Inc.
common stock
86562M209
11
1542
SH
SOLE
1542
0
0
Swiss Helvetia Fund Inc.
common stock
870875101
29
2573
SH
SOLE
2573
0
0
Tahoe Resources Inc.
common stock
873868103
373
26900
SH
SOLE
26900
0
0
Taiwan Fund, Inc.
common stock
874036106
269
16434
SH
SOLE
16434
0
0
Tata Motors Limited
common stock
876568502
9
206
SH
SOLE
206
0
0
TCW Strategic Income Fund, Inc.
common stock
872340104
249
46230
SH
SOLE
46230
0
0
Teco Energy, Inc.
common stock
872375100
821
40500
SH
SOLE
40500
0
0
Teekay LNG Partners LP
common stock
Y8564M105
405
9589
SH
SOLE
9589
0
0
Tekla Healthcare Opportunities Fund
common stock
879105104
4438
221329
SH
SOLE
221329
0
0
Tekla Life Sciences Investors
common stock
87911K100
10
390
SH
SOLE
390
0
0
Templeton Dragon Fund, Inc.
common stock
88018T101
317
13170
SH
SOLE
13170
0
0
Templeton Russia and East European Fund, Inc.
common stock
88022F105
90
10000
SH
SOLE
10000
0
0
Teva Parmaceutical Industries Limited
common stock
881624209
7
116
SH
SOLE
116
0
0
Thai Fund, Inc.
common stock
882904105
333
28227
SH
SOLE
28227
0
0
The Coca-Cola Company
common stock
191216100
9
208
SH
SOLE
208
0
0
The Herzfeld Caribbean Basin Fund, Inc.
common stock
42804T106
3602
405210
SH
DFND
309514
95696
0
The Home Depot, Inc.
common stock
437076102
10
94
SH
SOLE
94
0
0
The Korea Fund, Inc.
common stock
500634209
1235
32924
SH
SOLE
32924
0
0
The Mexico Fund, Inc.
common stock
592835102
104
5000
SH
SOLE
5000
0
0
The Procter & Gamble Company
common stock
742718109
12
129
SH
SOLE
129
0
0
The Western Union Company
common stock
959802109
304
17000
SH
SOLE
17000
0
0
Thermo Fisher Scientific, Inc.
common stock
883556102
11
84
SH
SOLE
84
0
0
Tortoise Energy Independence Fund, Inc.
common stock
89148K101
2119
111817
SH
SOLE
111817
0
0
Tortoise Energy Infrastructure
common stock
89147L100
3030
69235
SH
SOLE
69235
0
0
Tortoise Energy Infrastructure, 3.75% Preferred Series B
preferred stock
89147L704
13
1300
SH
SOLE
1300
0
0
Tortoise MLP Fund, Inc.
common stock
89148B101
691
24753
SH
SOLE
24753
0
0
Tortoise Pipeline & Energy Fund
common stock
89148H108
2843
92499
SH
SOLE
92499
0
0
Toyota Motor Corporation
common stock
892331307
10
79
SH
SOLE
79
0
0
Transamerica Income Shares Inc.
common stock
893506105
9
429
SH
SOLE
429
0
0
Tri-Continental Corp.
common stock
895436103
4555
212736
SH
SOLE
212736
0
0
Tri-Continental Corp., $2.50 Cumulative Preferred Stock
preferred stock
895436202
24
500
SH
SOLE
500
0
0
Turkish Investment Fund, Inc.
common stock
900145103
51
4630
SH
SOLE
4630
0
0
Ultrapetrol (Bahamas) Ltd.
common stock
P94398107
77
36000
SH
SOLE
36000
0
0
United States Oil ETF
common stock
91232N108
20
1000
SH
SOLE
1000
0
0
United Technologies Corporation
common stock
913017109
9
76
SH
SOLE
76
0
0
Vanguard Consumer Staples ETF
common stock
92204A207
5
40
SH
SOLE
40
0
0
Vanguard Information Technology ETF
common stock
92204A702
19
186
SH
SOLE
186
0
0
Vanguard Materials ETF
common stock
92204A801
3
31
SH
SOLE
31
0
0
Vanguard Telecommunication Services ETF
common stock
92204A884
3
39
SH
SOLE
39
0
0
Verizon Communications Inc.
common stock
92343V104
7
159
SH
SOLE
159
0
0
Vipshop Holdings Limited
common stock
92763W103
9
486
SH
SOLE
486
0
0
Virtus Global Multi-Sector Income Fund
common stock
92829B101
48
3001
SH
SOLE
3001
0
0
Virtus Total Return Fund
common stock
92829A103
4904
1085047
SH
SOLE
1085047
0
0
Vulcan Materials Company
common stock
929160109
263
4000
SH
SOLE
4000
0
0
Wal-Mart Stores Inc.
common stock
931142103
12
135
SH
SOLE
135
0
0
Watsco Inc.
common stock
942622200
1307
12300
SH
SOLE
12300
0
0
Wells Fargo Advantage Multi-Sector Income Fund
common stock
94987D101
3
234
SH
SOLE
234
0
0
Western Asset High Yield Defined Opportunity Fund Inc.
common stock
95768B107
357
22669
SH
SOLE
22669
0
0
Western Asset/Claymore Inflation-Linked Opportunities & Income Fund
common stock
95766R104
396
35075
SH
SOLE
35075
0
0
Western Asset/Claymore Inflation-Linked Securities & Income Fund
common stock
95766Q106
99
8497
SH
SOLE
8497
0
0
WisdomTree Japan Hedged Equity
common stock
97717W851
7
143
SH
SOLE
143
0
0
WuXi Pharma Tech (Cayman) Inc.
common stock
929352102
9
253
SH
SOLE
253
0
0
Zweig Fund, Inc.
common stock
989834205
267
17290
SH
SOLE
17290
0
0
Zweig Total Return Fund Inc.
common stock
989837208
1498
106890
SH
SOLE
106890
0
0