0001398344-16-013365.txt : 20160513
0001398344-16-013365.hdr.sgml : 20160513
20160513160312
ACCESSION NUMBER: 0001398344-16-013365
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160331
FILED AS OF DATE: 20160513
DATE AS OF CHANGE: 20160513
EFFECTIVENESS DATE: 20160513
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: 161648293
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
03-31-2016
03-31-2016
false
Thomas J. Herzfeld Advisors, Inc.
119 Washington Avenue, Suite 504
Miami Beach
FL
33139
13F HOLDINGS REPORT
028-14375
N
Erik M. Herzfeld
President
305-271-1900
/s/ Erik M. Herzfeld
Miami Beach
FL
05-12-2016
1
332
193246
1
0000019481
028-00085
Virtus Investment Advisers, Inc.
INFORMATION TABLE
2
fp0019576_13fhr-table.xml
13F INFORMATION TABLE
3M Company
COM
88579Y101
46
278
SH
SOLE
278
0
0
Abbott Laboratories
COM
002824100
42
1014
SH
SOLE
1014
0
0
Aberdeen Asia-Pacific Income Fund, Inc.
COM
003009107
124
24700
SH
SOLE
24700
0
0
Aberdeen Chile Fund Inc.
COM
00301W105
29
4800
SH
SOLE
4800
0
0
Aberdeen Emerging Markets Smaller Company Opportunities Fund, Inc.
COM
00301T102
58
4964
SH
SOLE
4964
0
0
Aberdeen Indonesia Fund, Inc.
COM
00305P106
141
23603
SH
SOLE
23603
0
0
Aberdeen Israel Fund, Inc.
COM
00301L109
40
2322
SH
SOLE
2322
0
0
Aberdeen Japan Equity Fund, Inc.
COM
00306J109
2175
296310
SH
OTR
1
225262
71048
0
Aberdeen Singapore Fund, Inc.
COM
003244100
227
25217
SH
OTR
1
17917
7300
0
Adams Diversified Equity Fund, Inc.
COM
006212104
5823
460338
SH
OTR
1
408149
52189
0
Adams Natural Resources Fund, Inc.
COM
00548F105
2919
162251
SH
OTR
1
109654
52597
0
Advent Claymore Convertible Securities & Income Fund II
COM
007639107
41
7516
SH
SOLE
7516
0
0
Advent/Claymore Enhanced Growth & Income Fund
COM
00765E104
482
58714
SH
SOLE
58714
0
0
Alexion Pharmaceuticals, Inc.
COM
015351109
18
128
SH
SOLE
128
0
0
Allegion PLC
ORD SHS
G0176J109
25
386
SH
SOLE
386
0
0
Alliance California Municipal Income Fund, Inc.
COM
018546101
431
29045
SH
SOLE
29045
0
0
AllianceBernstein National Municipal Income Fund
COM
01864U106
472
32679
SH
SOLE
32679
0
0
AllianzGI Equity & Convertible Income Fund
COM
018829101
36
2000
SH
SOLE
2000
0
0
AllianzGI NFJ Dividend, Interest & Premium Strategy Fund
COM
01883A107
777
63367
SH
OTR
1
5660
57707
0
Alpine Global Dynamic Dividend Fund
COM NEW
02082E205
2977
348998
SH
OTR
1
243239
105759
0
Alpine Total Dynamic Dividend Fund
COM SH BEN INT N
021060207
5242
698881
SH
OTR
1
572047
126834
0
Altria Group, Inc.
COM
02209S103
39
615
SH
SOLE
615
0
0
America Movil S.A.B. de C.V.
SPON ADR L SHS
02364W105
694
44690
SH
SOLE
44690
0
0
American Electric Power Co., Inc.
COM
025537101
35
528
SH
SOLE
528
0
0
Amgen Inc.
COM
031162100
105
700
SH
SOLE
700
0
0
AmpliPhi Biosciences Corporation
COM NEW
03211P202
4
1000
SH
SOLE
1000
0
0
Apollo Tactical Income Fund Inc
COM
037638103
708
51993
SH
SOLE
51993
0
0
Archer Daniels Midland Company
COM
039483102
182
5000
SH
SOLE
5000
0
0
Ares Dynamic Credit Allocation Fund, Inc.
COM
04014F102
21
1596
SH
SOLE
1596
0
0
ASA Gold and Precious Metals Limited
SHS
G3156P103
31
3000
SH
SOLE
3000
0
0
Asia Pacific Fund
COM
044901106
49
5150
SH
SOLE
5150
0
0
ASML Holding NV
N Y REGISTRY SHS
N07059210
36
358
SH
SOLE
358
0
0
AstraZeneca PLC
SPONSORED ADR
046353108
50
1759
SH
SOLE
1759
0
0
Atlantic Tele Network, Inc.
COM NEW
049079205
909
11988
SH
SOLE
11988
0
0
Avenue Income Credit Strategies Fund
COM
05358E106
79
7176
SH
SOLE
7176
0
0
Avianca Holdings S.A.
SPON ADR REP PFD
05367G100
956
192368
SH
SOLE
192368
0
0
Baidu, Inc.
SPON ADR REP A
056752108
43
226
SH
SOLE
226
0
0
Bancolombia S.A.
SPON ADR PREF
05968L102
676
19780
SH
SOLE
19780
0
0
Bancroft Fund Ltd.
COM
059695106
526
29293
SH
SOLE
29293
0
0
Barclays PLC
ADR
06738E204
21
2384
SH
SOLE
2384
0
0
BioMarin Pharmaceutical Inc.
COM
09061G101
33
400
SH
SOLE
400
0
0
BlackRock Credit Allocation Income Trust
COM
092508100
244
19474
SH
SOLE
19474
0
0
BlackRock Enhanced Equity Dividend Trust
COM
09251A104
9
1254
SH
SOLE
1254
0
0
BlackRock Limited Duration Income Trust
COM SHS
09249W101
4
250
SH
SOLE
250
0
0
BlackRock Long-Term Municipal Advantage Trust
COM
09250B103
83
7000
SH
SOLE
7000
0
0
BlackRock Multi-Sector Income Trust
COM
09258A107
283
17911
SH
SOLE
17911
0
0
BlackRock Municipal Target Term Trust
COM SHS BN IN
09257P105
180
7848
SH
SOLE
7848
0
0
BlackRock MuniHoldings Quality Fund II, Inc.
COM
09254C107
84
6000
SH
SOLE
6000
0
0
BlackRock Resources & Commodities Strategy Trust
SHS
09257A108
114
15756
SH
SOLE
15756
0
0
BlackRock Science and Technology Trust
SHS
09258G104
8403
494289
SH
OTR
1
379005
115284
0
BlackRock Utility & Infrastructure Trust
COM
09248D104
88
4746
SH
SOLE
4746
0
0
Blackstone/GSO Strategic Credit Fund
COM SHS BEN IN
09257R101
167
12281
SH
SOLE
12281
0
0
Boulder Growth and Income Fund, Inc.
COM
101507101
11921
1518588
SH
OTR
1
1257586
261002
0
British America Tobacco PLC
SPONSORED ADR
110448107
31
266
SH
SOLE
266
0
0
Brookfield Global Listed Infrastructure Income Fund
COM SHS
11273Q109
190
16701
SH
OTR
1
9701
7000
0
Brookfield Mortgage Opportunity Income Fund
COM
112792106
73
5001
SH
SOLE
5001
0
0
Calamos Global Dynamic Income Fund
COM
12811L107
104
14800
SH
SOLE
14800
0
0
Canadian Natural Resources Limited
COM
136385101
35
1287
SH
SOLE
1287
0
0
Carnival Corp.
PAIRED CTF
143658300
1636
31000
SH
SOLE
31000
0
0
Celgene Corporation
COM
151020104
80
800
SH
SOLE
800
0
0
Cemex, S.A.B. de C.V.
SPON ADR NEW
151290889
1206
165672
SH
SOLE
165672
0
0
Central Europe Russia and Turkey Fund
COM
153436100
38
2028
SH
SOLE
2028
0
0
Central Securities Corp.
COM
155123102
1043
54503
SH
SOLE
54503
0
0
Check Point Software Technologies Ltd.
ORD
M22465104
18
202
SH
SOLE
202
0
0
China Fund, Inc.
COM
169373107
59
4000
SH
SOLE
4000
0
0
China Petroleum & Chemical Corp.
SPON ADR H SHS
16941R108
32
489
SH
SOLE
489
0
0
China Unicom (Hong Kong) Limited
SPONSORED ADR
16945R104
19
1481
SH
SOLE
1481
0
0
Chubb Limited
COM
H1467J104
29
246
SH
SOLE
246
0
0
ClearBridge American Energy MLP Fund Inc.
COM
184691103
77
10992
SH
SOLE
10992
0
0
ClearBridge Energy MLP Fund Inc.
COM
184692101
19
1400
SH
SOLE
1400
0
0
ClearBridge Energy MLP Opportunity Fund Inc.
COM
18469P100
71
6306
SH
SOLE
6306
0
0
ClearBridge Energy MLP Total Return Fund Inc.
COM
18469Q108
216
20797
SH
SOLE
20797
0
0
Clough Global Allocation Fund
COM
18913Y103
35
3000
SH
SOLE
3000
0
0
Clough Global Opportunities Fund
SH BEN INT
18914E106
742
77490
SH
OTR
1
37013
40477
0
Coca Cola Femsa S.A.B. de C.V.
SPON ADR REP L
191241108
731
8799
SH
SOLE
8799
0
0
Cohen & Steers Closed-End Opportunity Fund, Inc.
COM
19248P106
1761
161725
SH
OTR
1
141725
20000
0
Cohen & Steers Global Income Builder, Inc.
COM
19248M103
6
635
SH
SOLE
635
0
0
Cohen & Steers Infrastructure Fund, Inc.
COM
19248A109
2044
103184
SH
OTR
1
70749
32435
0
Cohen & Steers MLP Income and Energy Opportunity Fund
COM SHS
19249B106
88
10951
SH
SOLE
10951
0
0
Cohen & Steers Total Return Realty Fund
COM
19247R103
287
21910
SH
SOLE
21910
0
0
Consolidated Water Co. Ltd.
ORD
G23773107
1576
129538
SH
SOLE
129538
0
0
Copa Holdings SA
CL A
P31076105
3425
50550
SH
SOLE
50550
0
0
Cornerstone Strategic Value Fund Inc.
COM
21924B302
1433
97877
SH
OTR
1
83694
14183
0
Cornerstone Total Return Fund, Inc.
COM
21924U300
107
6657
SH
SOLE
6657
0
0
Credicorp Ltd.
COM
G2519Y108
37
285
SH
SOLE
285
0
0
Cushing MLP Total Return Fund
COM NEW
231631201
108
10899
SH
SOLE
10899
0
0
Cushing Renaissance Fund
COM
231647108
192
13705
SH
SOLE
13705
0
0
CVS Health Corporation
COM
126650100
32
313
SH
SOLE
313
0
0
Delaware Enhanced Global Dividend & Income Fund
COM
246060107
357
39049
SH
OTR
1
20177
18872
0
Delaware Investments Dividend & Income Fund, Inc.
COM
245915103
41
4492
SH
SOLE
4492
0
0
Delphi Automotive PLC
SHS
G27823106
31
413
SH
SOLE
413
0
0
Deutsche Multi-Market Income Trust
SHS
25160E102
96
12133
SH
SOLE
12133
0
0
Deutsche Strategic Income Trust
SHS
25160F109
20
1850
SH
SOLE
1850
0
0
Diageo PLC
SPON ADR NEW
25243Q205
29
268
SH
SOLE
268
0
0
Diversified Real Asset Income Fund
COM SHS
25533B108
1279
80933
SH
OTR
1
61307
19626
0
Dominion Resources, Inc.
COM
25746U109
33
435
SH
SOLE
435
0
0
DoubleLine Income Solutions Fund
COM
258622109
42
2500
SH
SOLE
2500
0
0
Dreyfus Municipal Bond Infrastructure Fund, Inc.
SHS
26203D101
106
8017
SH
SOLE
8017
0
0
DTF Tax-Free Income Inc.
COM
23334J107
121
7660
SH
SOLE
7660
0
0
Duff & Phelps Select Energy MLP Fund Inc.
COM
26433F108
54
10000
SH
SOLE
10000
0
0
Eagle Growth and Income Opportunities Fund
COM SHS BEN IN
26958J105
157
9589
SH
SOLE
9589
0
0
Eaton Vance California Municipal Income Trust
SH BEN INT
27826F101
78
5427
SH
SOLE
5427
0
0
Eaton Vance Floating-Rate Income Plus Fund
COM SHS BEN INT
278284104
21
1471
SH
SOLE
1471
0
0
Eaton Vance Limited Duration Income Fund
COM
27828H105
34
2600
SH
SOLE
2600
0
0
Eaton Vance Municipal Income 2028 Term Trust
SHS
27829U105
102
5186
SH
SOLE
5186
0
0
Eaton Vance New Jersey Municipal Bond Fund
COM
27828R103
10
676
SH
SOLE
676
0
0
Eaton Vance New York Municipal Bond Fund II
COM
27828T109
9
656
SH
SOLE
656
0
0
Eaton Vance Risk-Managed Diversified Equity Income Fund
COM
27829G106
119
12500
SH
SOLE
12500
0
0
Eaton Vance Tax-Advantaged Dividend Income Fund
COM
27828G107
15
800
SH
SOLE
800
0
0
Eaton Vance Tax-Advantaged Global Dividend Opportunities Fund
COM
27828U106
40
1835
SH
SOLE
1835
0
0
Eaton Vance Tax-Managed Global Diversified Equity Income Fund
COM
27829F108
312
35485
SH
SOLE
35485
0
0
Eli Lilly and Company
COM
532457108
43
600
SH
SOLE
600
0
0
Equus Total Return, Inc.
COM
294766100
104
65309
SH
SOLE
65309
0
0
Era Group Inc.
COM
26885G109
202
21515
SH
SOLE
21515
0
0
European Equity Fund, Inc.
COM
298768102
114
14448
SH
SOLE
14448
0
0
Evertec Inc.
COM
30040P103
331
23643
SH
SOLE
23643
0
0
Exxon Mobil Corporation
COM
30231G102
35
415
SH
SOLE
415
0
0
FedEx Corporation
COM
31428X106
33
200
SH
SOLE
200
0
0
Fibria Celulose SA
SP ADR REP COM
31573A109
19
2263
SH
SOLE
2263
0
0
First Trust Dow Jones Internet ETF
CAP STRENGTH ETF
33733E302
14
200
SH
SOLE
200
0
0
First Trust Dynamic Europe Equity Income Fund
COM SHS
33740D107
1244
74551
SH
OTR
1
35596
38955
0
First Trust Energy Infrastructure Fund
COM
33738C103
3048
197686
SH
OTR
1
168785
28901
0
First Trust High Income Long/Short Fund
COM
33738E109
660
45165
SH
OTR
1
36225
8940
0
First Trust ISE Cloud Computing Index
ISE CLOUD COMP
33734X192
6
209
SH
SOLE
209
0
0
First Trust Mortgage Income Fund
COM SHS
33734E103
114
7935
SH
SOLE
7935
0
0
First Trust New Opportunities MLP & Energy Fund
COM
33739M100
109
9051
SH
SOLE
9051
0
0
Fomento Economico Mexicano, S.A.B. de C.V.
SPON ADR UNITS
344419106
1156
12000
SH
SOLE
12000
0
0
Freeport McMoran Copper & Gold
CL B
35671D857
331
32000
SH
SOLE
32000
0
0
Fresh Del Monte Produce Inc.
ORD
G36738105
210
5000
SH
SOLE
5000
0
0
Gabelli Dividend & Income Trust
COM
36242H104
2098
113554
SH
OTR
1
59616
53938
0
Gabelli Equity Trust, Inc.
COM
362397101
21
3783
SH
SOLE
3783
0
0
Gabelli Global Small and Mid-Cap Value Fund
COM
36249W104
7
700
SH
SOLE
700
0
0
Gabelli Global Utility & Income Trust
COM SH BEN INT
36242L105
26
1463
SH
SOLE
1463
0
0
Gabelli Healthcare & Wellness (Rx) Trust
SHS
36246K103
2863
290087
SH
OTR
1
221230
68857
0
Gabelli Multimedia Trust Inc.
COM
36239Q109
727
98873
SH
OTR
1
49173
49700
0
GDL Fund
COM SH BEN IT
361570104
100
9961
SH
SOLE
9961
0
0
General American Investors Company, Inc.
COM
368802104
3755
120240
SH
OTR
1
92675
27565
0
General Electric Company
COM
369604103
53
1673
SH
SOLE
1673
0
0
Gilead Sciences Inc.
COM
375558103
184
2000
SH
SOLE
2000
0
0
Goldman Sachs MLP and Energy Renaissance Fund
COM
38148G107
55
10000
SH
SOLE
10000
0
0
Grupo Televisa, S.A.B.
SPON ADR REP ORD
40049J206
780
28400
SH
SOLE
28400
0
0
Guggenheim Enhanced Equity Income Fund
COM
40167B100
680
93259
SH
OTR
1
24847
68412
0
Guggenheim Enhanced Equity Strategy Fund
COM
40167K100
998
65553
SH
SOLE
65553
0
0
GW Pharmaceuticals PLC
ADS
36197T103
30
414
SH
SOLE
414
0
0
HDFC Bank Ltd.
ADRS REPS 3 SHS
40415F101
30
487
SH
SOLE
487
0
0
Health Care Select Sector SPDR ETF
SBI HEALTHCARE
81369Y209
8
111
SH
SOLE
111
0
0
ICIC Bank Ltd.
ADR
45104G104
21
2943
SH
SOLE
2943
0
0
Incyte Corporation
COM
45337C102
18
242
SH
SOLE
242
0
0
ING Groep N.V.
SPONSORED ADR
456837103
51
4247
SH
SOLE
4247
0
0
Ingersoll-Rand PLC
SHS
G47791101
28
457
SH
SOLE
457
0
0
Inovio Pharmaceuticals, Inc.
COM NEW
45773H201
131
15000
SH
SOLE
15000
0
0
Intel Corporation
COM
458140100
29
896
SH
SOLE
896
0
0
Invesco Municipal Trust
COM
46131J103
67
5000
SH
SOLE
5000
0
0
Invesco Pennsylvania Value Municipal Income Trust
COM
46132K109
81
6000
SH
SOLE
6000
0
0
Invesco Quality Municipal Income Trust
COM
46133G107
26
2000
SH
SOLE
2000
0
0
iShares MSCI Mexico Capped
MSCI MEX CAP ETF
464286822
419
7800
SH
SOLE
7800
0
0
iShares Nasdaq Biotechnology
NASDQ BIOTEC ETF
464287556
114
436
SH
SOLE
436
0
0
iShares TIPS Bond
TIPS BD ETF
464287176
47
410
SH
SOLE
410
0
0
iShares US Medical Devices
U.S. MED DVC ETF
464288810
153
1250
SH
SOLE
1250
0
0
Japan Smaller Capitalization Fund Inc.
COM
47109U104
1243
128855
SH
OTR
1
71901
56954
0
John Hancock Premium Dividend Fund
COM SH BEN INT
41013T105
23
1509
SH
SOLE
1509
0
0
John Hancock Tax-Advantaged Dividend Income Fund
COM
41013V100
15
655
SH
SOLE
655
0
0
Johnson & Johnson
COM
478160104
34
312
SH
SOLE
312
0
0
JPMorgan Alerian MLP Index ETN
ALERIAN ML ETN
46625H365
81
3000
SH
SOLE
3000
0
0
JPMorgan Chase & Co.
COM
46625H100
45
759
SH
SOLE
759
0
0
JPMorgan China Region Fund, Inc.
COM
48126T104
134
9067
SH
SOLE
9067
0
0
Karyopharm Therapeutics Inc.
COM
48576U106
43
4868
SH
SOLE
4868
0
0
Koninklijke Philips N.V.
NY REG SH NEW
500472303
17
585
SH
SOLE
585
0
0
Ladenburg Thalmann Financial Services Inc.
COM
50575Q102
25
10000
SH
SOLE
10000
0
0
Latin American Discovery Fund Inc.
COM
51828C106
7
800
SH
SOLE
800
0
0
Legg Mason BW Global Income Opportunities Fund
COM
52469B100
48
3864
SH
SOLE
3864
0
0
Lennar Corp.
CL A
526057104
2394
49500
SH
SOLE
49500
0
0
Liberty All-Star Equity Fund
SH BEN INT
530158104
4611
927754
SH
OTR
1
752328
175426
0
Liberty All-Star Growth Fund, Inc.
COM
529900102
561
138452
SH
SOLE
138452
0
0
Liberty Global PLC
SHS CL A
G5480U104
32
834
SH
SOLE
834
0
0
LivaNova PLC
SHS
G5509L101
450
8330
SH
SOLE
8330
0
0
Lloyds Banking Group PLC
SPONSORED ADR
539439109
28
7211
SH
SOLE
7211
0
0
LMP Capital and Income Fund, Inc.
COM
50208A102
408
33012
SH
SOLE
33012
0
0
LMP Corporate Loan Fund Inc.
COM
50208B102
6
600
SH
SOLE
600
0
0
LyondellBasell Industries N.V.
SHS -A-
N53745100
29
336
SH
SOLE
336
0
0
Macquarie Global Infrastructure Total Return Fund Inc.
COM
55608D101
488
24272
SH
OTR
1
18042
6230
0
Mallinckrodt Public Limited Company
SHS
G5785G107
25
405
SH
SOLE
405
0
0
Market Vectors Gold Miners ETF
GOLD MINER ETF
57060U100
60
3000
SH
SOLE
3000
0
0
Marriott Vacations Worldwide Corp.
COM
57164Y107
735
10890
SH
SOLE
10890
0
0
Martin Marietta Materials Inc.
COM
573284106
479
3000
SH
SOLE
3000
0
0
MasTec, Inc.
COM
576323109
2731
134927
SH
SOLE
134927
0
0
McDonald's Corp.
COM
580135101
47
376
SH
SOLE
376
0
0
Merck & Co. Inc.
COM
58933Y105
106
2000
SH
SOLE
2000
0
0
MetLife, Inc.
COM
59156R108
45
1020
SH
SOLE
1020
0
0
Mexico Equity and Income Fund, Inc.
COM
592834105
252
22466
SH
SOLE
22466
0
0
MFS High Income Municipal Trust
SH BEN INT
59318D104
197
38334
SH
SOLE
38334
0
0
MFS Investment Grade Municipal Trust
SH BEN INT
59318B108
142
14000
SH
SOLE
14000
0
0
Microsoft Corporation
COM
594918104
36
658
SH
SOLE
658
0
0
Morgan Stanley Asia Pacific Fund
COM
61744U106
163
11901
SH
SOLE
11901
0
0
Morgan Stanley China A Share Fund
COM
617468103
2417
142854
SH
OTR
1
88404
54450
0
Morgan Stanley Emerging Market Debt Fund, Inc.
COM
61744H105
175
19899
SH
SOLE
19899
0
0
Morgan Stanley Emerging Markets Domestic Debt Fund
COM
617477104
535
70000
SH
OTR
1
11400
58600
0
Morgan Stanley Emerging Markets Fund, Inc.
COM
61744G107
9
716
SH
SOLE
716
0
0
Morgan Stanley Income Securities Inc.
INCOME SECS INC
61745P874
37
2125
SH
SOLE
2125
0
0
Morgan Stanley India Investment Fund
COM
61745C105
124
4967
SH
SOLE
4967
0
0
MVC Capital, Inc.
COM
553829102
20
2618
SH
SOLE
2618
0
0
Nasdaq Premium Income & Growth Fund
COM SHS
670699107
25
1348
SH
SOLE
1348
0
0
National Grid PLC
SPON ADR NEW
636274300
31
428
SH
SOLE
428
0
0
Neuberger Berman Real Estate Securities Income Fund
COM
64190A103
37
7218
SH
SOLE
7218
0
0
New Germany Fund, Inc.
COM
644465106
1545
109643
SH
OTR
1
70535
39108
0
New Ireland Fund, Inc.
COM
645673104
120
9269
SH
SOLE
9269
0
0
NexPoint Credit Strategies Fund
COM NEW
65340G205
2672
148018
SH
OTR
1
73185
74833
0
NexPoint Residential Trust, Inc.
COM
65341D102
11
833
SH
SOLE
833
0
0
NextEra Energy, Inc.
COM
65339F101
1460
12337
SH
SOLE
12337
0
0
Nike, Inc.
CL B
654106103
34
560
SH
SOLE
560
0
0
Norfolk Southern Corp.
COM
655844108
479
5750
SH
SOLE
5750
0
0
Norwegian Cruise Line Holdings Ltd.
SHS
G66721104
2264
40943
SH
SOLE
40943
0
0
Nuveen Connecticut Premium Income Municipal Fund
COM
67060D107
85
6400
SH
SOLE
6400
0
0
Nuveen Core Equity Alpha Fund
COM
67090X107
63
4616
SH
SOLE
4616
0
0
Nuveen Credit Strategies Income Fund
COM SHS
67073D102
2300
290784
SH
SOLE
290784
0
0
Nuveen Diversified Dividend and Income Fund
COM
6706EP105
59
5406
SH
SOLE
5406
0
0
Nuveen Dividend Advantage Municipal Fund 2
COM
67070F100
234
15757
SH
SOLE
15757
0
0
Nuveen Dividend Advantage Municipal Fund 3
COM SH BEN INT
67070X101
95
6352
SH
SOLE
6352
0
0
Nuveen Dividend Advantage Municipal Income Fund
COM
67071L106
376
24760
SH
SOLE
24760
0
0
Nuveen Flexible Investment Income Fund
COM
67075B104
137
8881
SH
SOLE
8881
0
0
Nuveen Global Equity Income Fund
COM
6706EH103
11
1000
SH
SOLE
1000
0
0
Nuveen Global High Income Fund
SHS
67075G103
325
23465
SH
SOLE
23465
0
0
Nuveen Intermediate Duration Quality Municipal Term Fund
COM
670677103
69
5100
SH
SOLE
5100
0
0
Nuveen Maryland Premium Income Municipal Fund
COM
67061Q107
27
2000
SH
SOLE
2000
0
0
Nuveen Multi-Market Income Fund, Inc.
COM
67075J107
721
100039
SH
SOLE
100039
0
0
Nuveen Municipal Advantage Fund, Inc.
COM
67062H106
93
6500
SH
SOLE
6500
0
0
Nuveen Municipal Market Opportunity Fund, Inc.
COM
67062W103
124
8685
SH
SOLE
8685
0
0
Nuveen Municipal Opportunity Fund, Inc.
COM
670984103
157
10671
SH
SOLE
10671
0
0
Nuveen New Jersey Dividend Advantage Municipal Fund
COM
67069Y102
81
5702
SH
SOLE
5702
0
0
Nuveen New York AMT-Free Municipal Income Fund
COM
670656107
77
5700
SH
SOLE
5700
0
0
Nuveen Quality Income Municipal Fund, Inc.
COM
670977107
88
6000
SH
SOLE
6000
0
0
Nuveen Quality Municipal Fund, Inc.
COM
67062N103
333
23406
SH
SOLE
23406
0
0
Nuveen S&P 500 Dynamic Overwrite Fund
COM
6706EW100
225
16878
SH
SOLE
16878
0
0
Nuveen Select Quality Municipal Fund, Inc.
COM
670973106
160
10890
SH
SOLE
10890
0
0
Nuveen Select Tax-Free Income Portfolio 3
SH BEN INT
67063X100
156
10500
SH
SOLE
10500
0
0
Nuveen Tax-Advantaged Dividend Growth Fund
COM
67073G105
117
8555
SH
SOLE
8555
0
0
NXP Semiconductors NV
COM
N6596X109
24
302
SH
SOLE
302
0
0
Occidental Petroleum Corporation
COM
674599105
32
470
SH
SOLE
470
0
0
Pacholder High Yield Fund, Inc.
COM
693742108
140
22075
SH
SOLE
22075
0
0
PCM Fund Inc.
COM
69323T101
41
4309
SH
SOLE
4309
0
0
Pfizer Inc.
COM
717081103
38
1288
SH
SOLE
1288
0
0
Philip Morris International, Inc.
COM
718172109
37
377
SH
SOLE
377
0
0
PIMCO Dynamic Credit Income Fund
COM SHS
72202D106
3950
226485
SH
OTR
1
176245
50240
0
PIMCO Enhanced Short Maturity Active ETF
ENHAN SHRT MA AC
72201R833
2812
27907
SH
SOLE
27907
0
0
PIMCO Income Opportunity Fund
COM
72202B100
637
30704
SH
OTR
1
25660
5044
0
PIMCO Income Strategy Fund
COM
72201H108
723
75643
SH
OTR
1
56017
19626
0
PIMCO Income Strategy Fund II
COM
72201J104
286
32730
SH
SOLE
32730
0
0
Pioneer Diversified High Income Trust
COM
723653101
3
200
SH
SOLE
200
0
0
Popular, Inc.
COM NEW
733174700
830
29000
SH
SOLE
29000
0
0
PriceSmart Inc.
COM
741511109
85
1000
SH
SOLE
1000
0
0
Prudential PLC
ADR
74435K204
23
605
SH
SOLE
605
0
0
Prudential Short Duration High Yield Fund, Inc.
COM
74442F107
29
1891
SH
SOLE
1891
0
0
Putnam High Income Securities Fund
SHS BEN INT
746779107
35
4764
SH
SOLE
4764
0
0
Putnam Premier Income Trust
SH BEN INT
746853100
229
48242
SH
SOLE
48242
0
0
Rand Capital Corp.
COM
752185108
9
2000
SH
SOLE
2000
0
0
RENN Global Entrepreneurs Fund, Inc.
COM
759720105
29
28272
SH
SOLE
28272
0
0
RMR Real Estate Income Fund
COM
76970B101
2695
139646
SH
OTR
1
128368
11278
0
Royal Caribbean Cruises Ltd.
COM
V7780T103
2868
34913
SH
SOLE
34913
0
0
Royal Dutch Shell PLC
SPON ADR B
780259107
1496
880
SH
SOLE
880
0
0
Royce Global Value Trust, Inc.
COM
78081T104
114
15509
SH
SOLE
15509
0
0
Royce Micro-Cap Trust, Inc.
COM
780915104
36
5204
SH
SOLE
5204
0
0
Royce Value Trust Inc.
COM
780910105
1797
153442
SH
SOLE
153442
0
0
Salient Midstream & MLP Fund
SH BEN INT
79471V105
1836
229476
SH
OTR
1
113490
115986
0
Schlumberger Limited
COM
806857108
27
370
SH
SOLE
370
0
0
Seaboard Corp.
COM
811543107
1742
580
SH
SOLE
580
0
0
Seacor Holdings, Inc.
COM
811904101
109
2000
SH
SOLE
2000
0
0
Sensata Technologies Holding NV
SHS
N7902X106
21
539
SH
SOLE
539
0
0
Shire PLC
SPONSORED ADR
82481R106
40
233
SH
SOLE
233
0
0
Simon Property Group Inc.
COM
828806109
53
253
SH
SOLE
253
0
0
SK Telecom Co. Ltd.
SPONSORED ADR
78440P108
46
2284
SH
SOLE
2284
0
0
Source Capital Corp.
COM
836144105
2201
61786
SH
SOLE
61786
0
0
Spanish Broadcasting System Inc.
CL A NEW
846425833
34
10030
SH
SOLE
10030
0
0
Special Opportunities Fund, Inc.
COM
84741T104
1209
92527
SH
OTR
1
83777
8750
0
Spirit Airlines, Inc.
COM
848577102
1247
26000
SH
SOLE
26000
0
0
Sprott Focus Trust, Inc.
COM
85208J109
311
51139
SH
SOLE
51139
0
0
Swiss Helvetia Fund Inc.
COM
870875101
24
2316
SH
SOLE
2316
0
0
Tahoe Resources Inc.
COM
873868103
320
31900
SH
SOLE
31900
0
0
Taiwan Fund, Inc.
COM
874036106
544
35021
SH
OTR
1
4631
30390
0
Taiwan Semiconductor Manufacturing Company Limited
SPONSORED ADR
874039100
19
711
SH
SOLE
711
0
0
TCW Strategic Income Fund, Inc.
COM
872340104
115
22000
SH
SOLE
22000
0
0
Teekay LNG Partners LP
PRTNRSP UNITS
Y8564M105
122
9589
SH
SOLE
9589
0
0
Tekla Healthcare Investors
SH BEN INT
87911J103
1294
53911
SH
OTR
1
38211
15700
0
Tekla Healthcare Opportunities Fund
SHS
879105104
8350
524833
SH
OTR
1
380830
144003
0
Tekla Life Sciences Investors
SH BEN INT
87911K100
1
62
SH
SOLE
62
0
0
Tekla World Healthcare Fund
BEN INT SHS
87911L108
5308
378361
SH
OTR
1
271371
106990
0
Telefonica Brasil SA
SPONSORED ADR
87936R106
21
1697
SH
SOLE
1697
0
0
Templeton Dragon Fund, Inc.
COM
88018T101
276
16095
SH
OTR
1
3958
12137
0
Teva Pharmaceutical Industries Limited
ADR
881624209
43
812
SH
SOLE
812
0
0
Thai Fund, Inc.
COM
882904105
158
21036
SH
SOLE
21036
0
0
The Bank of Nova Scotia
COM
064149107
293
6000
SH
SOLE
6000
0
0
The Coca-Cola Company
COM
191216100
39
836
SH
SOLE
836
0
0
The Estee Lauder Companies Inc.
CL A
518439104
15
160
SH
SOLE
160
0
0
The Herzfeld Caribbean Basin Fund, Inc.
COM
42804T106
2965
423002
SH
DFND
320900
102102
0
The Home Depot, Inc.
COM
437076102
37
279
SH
SOLE
279
0
0
The Korea Fund, Inc.
COM NEW
500634209
1005
30935
SH
OTR
1
23856
7079
0
The Kraft Heinz Company
COM
500754106
48
608
SH
SOLE
608
0
0
The Mexico Fund, Inc.
COM
592835102
239
13345
SH
SOLE
13345
0
0
The Procter & Gamble Company
COM
742718109
36
433
SH
SOLE
433
0
0
The Toronto-Dominion Bank
COM NEW
891160509
37
862
SH
SOLE
862
0
0
The Western Union Company
COM
959802109
270
14000
SH
SOLE
14000
0
0
Thermo Fisher Scientific, Inc.
COM
883556102
49
347
SH
SOLE
347
0
0
Tortoise Energy Independence Fund, Inc.
COM
89148K101
810
70905
SH
SOLE
70905
0
0
Tortoise Energy Infrastructure
COM
89147L100
1320
53642
SH
OTR
1
27542
26100
0
Tortoise MLP Fund, Inc.
COM
89148B101
974
59618
SH
OTR
1
29218
30400
0
Tortoise Pipeline & Energy Fund
COM
89148H108
2664
180744
SH
OTR
1
96149
84595
0
Tortoise Power and Energy Infrastructure Fund, Inc.
COM
89147X104
663
38132
SH
SOLE
38132
0
0
Toyota Motor Corporation
SP ADR REP2COM
892331307
32
303
SH
SOLE
303
0
0
Tri-Continental Corp.
COM
895436103
4909
245932
SH
OTR
1
221196
24736
0
TripAdvisor Inc.
COM
896945201
17
262
SH
SOLE
262
0
0
Turkish Investment Fund, Inc.
COM
900145103
34
3727
SH
SOLE
3727
0
0
U.S. Bancorp
COM NEW
902973304
34
831
SH
SOLE
831
0
0
Ultrapetrol (Bahamas) Ltd.
COM
P94398107
10
36000
SH
SOLE
36000
0
0
Unilever NV
N Y SHS NEW
904784709
35
790
SH
SOLE
790
0
0
United States Oil ETF
UNITS
91232N108
10
1000
SH
SOLE
1000
0
0
United Technologies Corporation
COM
913017109
38
381
SH
SOLE
381
0
0
Vanguard Information Technology ETF
INF TECH ETF
92204A702
11
100
SH
SOLE
100
0
0
Velocity Shares Daily Inverse VIX
INVRS VIX STERM
22542D795
78
3000
SH
SOLE
3000
0
0
Verizon Communications Inc.
COM
92343V104
39
726
SH
SOLE
726
0
0
Vipshop Holdings Limited
SPONSORED ADR
92763W103
25
1926
SH
SOLE
1926
0
0
Virtus Total Return Fund
COM
92829A103
3175
747101
SH
SOLE
747101
0
0
Vodafone Group PLC
SPNSR ADR NO PAR
92857W308
52
1619
SH
SOLE
1619
0
0
Vulcan Materials Company
COM
929160109
422
4000
SH
SOLE
4000
0
0
Wal-Mart Stores Inc.
COM
931142103
39
571
SH
SOLE
571
0
0
Watsco Inc.
COM
942622200
1361
10100
SH
SOLE
10100
0
0
Wells Fargo Advantage Multi-Sector Income Fund
WF MLT SECTR INC
94987D101
3
234
SH
SOLE
234
0
0
Western Asset Worldwide Income Fund Inc.
COM
957668106
47
4506
SH
SOLE
4506
0
0
Western Asset/Claymore Inflation-Linked Opportunities & Income Fund
COM
95766R104
55
5000
SH
SOLE
5000
0
0
Western Asset/Claymore Inflation-Linked Securities & Income Fund
COM SH BEN INT
95766Q106
61
5317
SH
SOLE
5317
0
0
WisdomTree Japan Hedged Equity
JAPN HEDGE EQT
97717W851
6
143
SH
SOLE
143
0
0
YieldShares High Income ETF
YLD SHS HGH INC
301505301
107
5900
SH
SOLE
5900
0
0
Zweig Fund, Inc.
COM NEW
989834205
224
17383
SH
SOLE
17383
0
0
Zweig Total Return Fund Inc.
COM NEW
989837208
1687
140681
SH
SOLE
140681
0
0