President

0001398344-17-002083.txt : 20170214 0001398344-17-002083.hdr.sgml : 20170214 20170214161414 ACCESSION NUMBER: 0001398344-17-002083 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 EFFECTIVENESS DATE: 20170214 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: 17608967 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 12-31-2016 12-31-2016 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 02-14-2017 1 306 216206 1 028-00085 Virtus Investment Advisers, Inc. INFORMATION TABLE 2 fp0023969_13fhr-table.xml 13F INFORMATION TABLE 3M Company COM 88579Y101 174 977 SH SOLE 977 0 0 Abbott Laboratories COM 002824100 48 1249 SH SOLE 1249 0 0 Aberdeen Chile Fund Inc. COM 00301W105 33 5560 SH SOLE 5560 0 0 Aberdeen Emerging Markets Smaller Company Opportunities Fund, Inc. COM 00301T102 47 4147 SH SOLE 4147 0 0 Aberdeen Indonesia Fund, Inc. COM 00305P106 89 14020 SH SOLE 14020 0 0 Aberdeen Israel Fund, Inc. COM 00301L109 33 2050 SH SOLE 2050 0 0 Aberdeen Japan Equity Fund, Inc. COM 00306J109 2545 345526 SH OTR 1 238883 106643 0 Aberdeen Singapore Fund, Inc. COM 003244100 142 16417 SH SOLE 16417 0 0 Adams Diversified Equity Fund, Inc. COM 006212104 6853 539147 SH OTR 1 412156 126991 0 Adams Natural Resources Fund, Inc. COM 00548F105 3761 186470 SH OTR 1 103524 82946 0 Advent Claymore Convertible Securities & Income Fund II COM 007639107 44 7516 SH SOLE 7516 0 0 Advent/Claymore Enhanced Growth & Income Fund COM 00765E104 441 53177 SH SOLE 53177 0 0 Alexion Pharmaceuticals, Inc. COM 015351109 19 152 SH SOLE 152 0 0 Allegion PLC ORD SHS G0176J109 25 386 SH SOLE 386 0 0 Alliance California Municipal Income Fund, Inc. COM 018546101 93 7021 SH SOLE 7021 0 0 AllianceBernstein National Municipal Income Fund COM 01864U106 207 15655 SH SOLE 15655 0 0 AllianzGI Equity & Convertible Income Fund COM 018829101 37 2000 SH SOLE 2000 0 0 AllianzGI NFJ Dividend, Interest & Premium Strategy Fund COM 01883A107 1460 115788 SH OTR 1 4080 111708 0 Alpine Global Dynamic Dividend Fund COM NEW 02082E205 2879 328271 SH OTR 1 221412 106859 0 Alpine Total Dynamic Dividend Fund COM SH BEN INT 021060207 5558 733306 SH OTR 1 527497 205809 0 America Movil S.A.B. de C.V. SPON ADR L SHS 02364W105 562 44690 SH SOLE 44690 0 0 American Electric Power Co., Inc. COM 025537101 33 528 SH SOLE 528 0 0 American Express Company COM 025816109 51 692 SH SOLE 692 0 0 Amgen Inc. COM 031162100 102 700 SH SOLE 700 0 0 Apollo Tactical Income Fund Inc COM 037638103 1094 70779 SH SOLE 70779 0 0 Apple Inc. COM 037833100 80 693 SH SOLE 693 0 0 Archer Daniels Midland Company COM 039483102 228 5000 SH SOLE 5000 0 0 Ares Dynamic Credit Allocation Fund, Inc. COM 04014F102 99 6596 SH SOLE 6596 0 0 ASA Gold and Precious Metals Limited SHS G3156P103 55 5000 SH SOLE 5000 0 0 Asia Pacific Fund COM 044901106 50 5150 SH SOLE 5150 0 0 ASML Holding NV N Y REGISTRY SHS N07059210 20 180 SH SOLE 180 0 0 AstraZeneca PLC SPONSORED ADR 046353108 21 778 SH SOLE 778 0 0 ATN International Inc. COM 00215F107 961 11988 SH SOLE 11988 0 0 Avenue Income Credit Strategies Fund COM 05358E106 1648 122735 SH OTR 1 78480 44255 0 Avianca Holdings S.A. SPON ADR REP PFD 05367G100 2040 211569 SH SOLE 211569 0 0 Baidu, Inc. SPON ADR REP A 056752108 29 176 SH SOLE 176 0 0 Banco Bilbao Vizcaya Argentaria, S.A. SPONSORED ADR 05946K101 40 5971 SH SOLE 5971 0 0 Bancolombia S.A. SPON ADR PREF 05968L102 726 19780 SH SOLE 19780 0 0 Bancroft Fund Ltd. COM 059695106 35 1746 SH SOLE 1746 0 0 BioMarin Pharmaceutical Inc. COM 09061G101 33 400 SH SOLE 400 0 0 BlackRock Credit Allocation Income Trust COM 092508100 562 43358 SH OTR 1 24474 18884 0 BlackRock Enhanced Equity Dividend Trust COM 09251A104 11 1323 SH SOLE 1323 0 0 BlackRock Limited Duration Income Trust COM SHS 09249W101 4 250 SH SOLE 250 0 0 BlackRock Multi-Sector Income Trust COM 09258A107 238 14441 SH SOLE 14441 0 0 BlackRock Muni Intermediate Duration Fund, Inc. COM 09253X102 36 2580 SH SOLE 2580 0 0 BlackRock Municipal 2030 Target Term Trust COM SHS BEN IN 09257P105 27 1241 SH SOLE 1241 0 0 BlackRock Resources & Commodities Strategy Trust SHS 09257A108 130 15756 SH SOLE 15756 0 0 BlackRock Science and Technology Trust SHS 09258G104 9896 551597 SH OTR 1 414313 137284 0 Blackstone/GSO Strategic Credit Fund COM SHS BEN IN 09257R101 191 12481 SH SOLE 12481 0 0 Boulder Growth and Income Fund, Inc. COM 101507101 15359 1718039 SH OTR 1 1417037 301002 0 Bristol-Myers Squibb Company COM 110122108 99 1700 SH SOLE 1700 0 0 British America Tobacco PLC SPONSORED ADR 110448107 30 266 SH SOLE 266 0 0 Brookfield Real Assets Income Fund Inc. SHS BEN INT 112830104 125 5597 SH SOLE 5597 0 0 BT Group PLC ADR 05577E101 48 2104 SH SOLE 2104 0 0 Calamos Global Dynamic Income Fund COM 12811L107 103 14800 SH SOLE 14800 0 0 Canadian Natural Resources Limited COM 136385101 29 894 SH SOLE 894 0 0 Carnival Corp. UNIT 143658300 2155 41400 SH SOLE 41400 0 0 Caterpillar Inc. COM 149123101 65 697 SH SOLE 697 0 0 Celgene Corporation COM 151020104 93 800 SH SOLE 800 0 0 Cemex, S.A.B. de C.V. SPON ADR NEW 151290889 1897 236198 SH SOLE 236198 0 0 Central Europe Russia and Turkey Fund COM 153436100 37 1776 SH SOLE 1776 0 0 Central Fund of Canada Limited CL A 153501101 90 8000 SH SOLE 8000 0 0 Central Securities Corp. COM 155123102 5863 269046 SH OTR 1 167430 101616 0 Chevron Corporation COM 166764100 83 706 SH SOLE 706 0 0 China Fund, Inc. COM 169373107 53 3500 SH SOLE 3500 0 0 China Petroleum & Chemical Corp. SPON ADR H SHS 16941R108 33 466 SH SOLE 466 0 0 Chubb Limited COM H1467J104 33 246 SH SOLE 246 0 0 Cisco Systems, Inc. COM 17275R102 21 697 SH SOLE 697 0 0 ClearBridge American Energy MLP Fund Inc. COM 184691103 342 37262 SH SOLE 37262 0 0 ClearBridge Energy MLP Total Return Fund Inc. COM 18469Q108 100 7826 SH SOLE 7826 0 0 Clough Global Allocation Fund COM 18913Y103 36 3000 SH SOLE 3000 0 0 Clough Global Opportunities Fund SH BEN INT 18914E106 745 83243 SH OTR 1 42766 40477 0 Coca-Cola European Partners PLC SHS G25839104 24 774 SH SOLE 774 0 0 Cohen & Steers Closed-End Opportunity Fund, Inc. COM 19248P106 223 19048 SH SOLE 19048 0 0 Cohen & Steers Global Income Builder, Inc. COM 19248M103 5 635 SH SOLE 635 0 0 Cohen & Steers Infrastructure Fund, Inc. COM 19248A109 1306 67453 SH SOLE 67453 0 0 Cohen & Steers MLP Income and Energy Opportunity Fund COM SHS 19249B106 1182 108534 SH OTR 1 74621 33913 0 Consolidated Water Co. Ltd. ORD G23773107 1405 129538 SH SOLE 129538 0 0 Copa Holdings SA CL A P31076105 2931 32273 SH SOLE 32273 0 0 Cornerstone Strategic Value Fund Inc. COM 21924B302 13 855 SH SOLE 855 0 0 Credicorp Ltd. COM G2519Y108 30 187 SH SOLE 187 0 0 Credit Suisse Group AG SPONSORED ADR 225401108 28 1978 SH SOLE 1978 0 0 Cushing MLP Total Return Fund COM NEW 231631201 135 9899 SH SOLE 9899 0 0 Cushing Renaissance Fund COM 231647108 224 12905 SH SOLE 12905 0 0 CVS Health Corporation COM 126650100 31 389 SH SOLE 389 0 0 Delaware Enhanced Global Dividend & Income Fund COM 246060107 383 37855 SH OTR 1 18983 18872 0 Delaware Investments Dividend and Income Fund, Inc. COM 245915103 26 2624 SH SOLE 2624 0 0 Deutsche Multi-Market Income Trust SHS 25160E102 40 4751 SH SOLE 4751 0 0 Deutsche Strategic Income Trust SHS 25160F109 5 400 SH SOLE 400 0 0 Diageo PLC SPON ADR NEW 25243Q205 28 268 SH SOLE 268 0 0 Diversified Real Asset Income Fund COM SHS 25533B108 1205 77312 SH OTR 1 57686 19626 0 Dominion Resources, Inc. COM 25746U109 33 435 SH SOLE 435 0 0 DoubleLine Income Solutions Fund COM 258622109 47 2500 SH SOLE 2500 0 0 Dreyfus Municipal Bond Infrastructure Fund, Inc. SHS 26203D101 123 10037 SH SOLE 10037 0 0 Dreyfus Municipal Income, Inc. COM 26201R102 178 20630 SH SOLE 20630 0 0 E.I. du Pont de Nemours and Company COM 263534109 92 1253 SH SOLE 1253 0 0 Eagle Growth & Income Opportunities Fund COM SHS BEN IN 26958J105 156 9589 SH SOLE 9589 0 0 Eaton Vance California Municipal Income Trust SH BEN INT 27826F101 67 5483 SH SOLE 5483 0 0 Eaton Vance Enhanced Equity Income Fund COM 278274105 3 250 SH SOLE 250 0 0 Eaton Vance Floating-Rate Income Plus Fund COM SHS BEN INT 278284104 25 1471 SH SOLE 1471 0 0 Eaton Vance Limited Duration Income Fund COM 27828H105 36 2600 SH SOLE 2600 0 0 Eaton Vance New York Municipal Bond Fund II COM 27828T109 233 20000 SH SOLE 20000 0 0 Eaton Vance Risk-Managed Diversified Equity Income Fund COM 27829G106 112 12500 SH SOLE 12500 0 0 Eaton Vance Tax-Managed Global Diversified Equity Income Fund COM 27829F108 10 1300 SH SOLE 1300 0 0 Eli Lilly and Company COM 532457108 44 600 SH SOLE 600 0 0 Empire State Realty Trust, Inc. CL A 292104106 684 33894 SH SOLE 33894 0 0 Equus Total Return, Inc. COM 294766100 124 61909 SH SOLE 61909 0 0 Era Group Inc. COM 26885G109 365 21515 SH SOLE 21515 0 0 European Equity Fund, Inc. COM 298768102 72 9358 SH SOLE 9358 0 0 Evertec Inc. COM 30040P103 420 23643 SH SOLE 23643 0 0 Exxon Mobil Corporation COM 30231G102 101 1118 SH SOLE 1118 0 0 Ferrari N.V. COM N3167Y103 28 489 SH SOLE 489 0 0 First Trust Dynamic Europe Equity Income Fund COM SHS 33740D107 2595 167196 SH OTR 1 119441 47755 0 First Trust Energy Infrastructure Fund COM 33738C103 2237 123969 SH SOLE 123969 0 0 First Trust High Income Long/Short Fund COM 33738E109 790 49105 SH SOLE 49105 0 0 First Trust Mortgage Income Fund COM SHS 33734E103 36 2535 SH SOLE 2535 0 0 Fomento Economico Mexicano, S.A.B. de C.V. SPON ADR UNITS 344419106 923 12110 SH SOLE 12110 0 0 Freeport McMoran Copper & Gold CL B 35671D857 422 32000 SH SOLE 32000 0 0 Fresh Del Monte Produce Inc. ORD G36738105 303 5000 SH SOLE 5000 0 0 Gabelli Dividend & Income Trust COM 36242H104 979 48872 SH SOLE 48872 0 0 Gabelli Equity Trust, Inc. COM 362397101 23 4097 SH SOLE 4097 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 25 1463 SH SOLE 1463 0 0 Gabelli Healthcare & Wellness (Rx) Trust SHS 36246K103 2433 257822 SH OTR 1 184297 73525 0 Gabelli Multimedia Trust Inc. COM 36239Q109 112 15423 SH SOLE 15423 0 0 GDL Fund COM SH BEN IT 361570104 49 5000 SH SOLE 5000 0 0 General American Investors Company, Inc. COM 368802104 4081 130884 SH OTR 1 98198 32686 0 General Electric Company COM 369604103 75 2369 SH SOLE 2369 0 0 Gildan Activewear Inc. COM 375916103 22 851 SH SOLE 851 0 0 Gilead Sciences Inc. COM 375558103 143 2000 SH SOLE 2000 0 0 Grupo Aeroportuario del Sureste, S.A.B. de C.V. SPON ADR SER B 40051E202 302 2100 SH SOLE 2100 0 0 Grupo Televisa, S.A.B. SPON ADR REP ORD 40049J206 593 28400 SH SOLE 28400 0 0 Guggenheim Enhanced Equity Strategy Fund COM 40167K100 991 61363 SH SOLE 61363 0 0 Guggenheim Equal Weight Enhanced Equity Income Fund COM SH BEN INT 40167M106 75 4571 SH SOLE 4571 0 0 GW Pharmaceuticals PLC ADS 36197T103 22 201 SH SOLE 201 0 0 ICIC Bank Ltd. ADR 45104G104 46 6123 SH SOLE 6123 0 0 Incyte Corporation COM 45337C102 24 242 SH SOLE 242 0 0 ING Groep N.V. SPONSORED ADR 456837103 53 3789 SH SOLE 3789 0 0 Ingersoll-Rand PLC SHS G47791101 29 382 SH SOLE 382 0 0 Inovio Pharmaceuticals, Inc. COM NEW 45773H201 104 15000 SH SOLE 15000 0 0 Intel Corporation COM 458140100 69 1892 SH SOLE 1892 0 0 International Business Machines Corporation COM 459200101 117 704 SH SOLE 704 0 0 iShares Nasdaq Biotechnology NASDQ BIOTEC ETF 464287556 159 600 SH SOLE 600 0 0 iShares TIPS Bond TIPS BD ETF 464287176 46 410 SH SOLE 410 0 0 iShares US Medical Devices U.S. MED DVC ETF 464288810 379 2850 SH SOLE 2850 0 0 Itau Unibanco Holding S.A. SPON ADR REP PFD 465562106 39 3769 SH SOLE 3769 0 0 Japan Smaller Capitalization Fund Inc. COM 47109U104 1628 167384 SH OTR 1 69456 97928 0 John Hancock Tax-Advantaged Dividend Income Fund COM 41013V100 350 15179 SH SOLE 15179 0 0 Johnson & Johnson COM 478160104 117 1012 SH SOLE 1012 0 0 JPMorgan Chase & Co. COM 46625H100 125 1454 SH SOLE 1454 0 0 Karyopharm Therapeutics Inc. COM 48576U106 46 4868 SH SOLE 4868 0 0 Kayne Anderson Energy Total Return Fund, Inc. COM 48660P104 632 53522 SH OTR 1 0 53522 0 Kayne Anderson MLP Investment Company COM 486606106 271 13827 SH SOLE 13827 0 0 Koninklijke Philips N.V. NY REG SH NEW 500472303 61 2011 SH SOLE 2011 0 0 Ladenburg Thalmann Financial Services Inc. COM 50575Q102 24 10000 SH SOLE 10000 0 0 Latin American Discovery Fund Inc. COM 51828C106 32 3393 SH SOLE 3393 0 0 Legg Mason BW Global Income Opportunities Fund COM 52469B100 46 3864 SH SOLE 3864 0 0 Lennar Corp. CL A 526057104 2125 49500 SH SOLE 49500 0 0 Liberty All-Star Equity Fund SH BEN INT 530158104 5435 1053338 SH OTR 1 849705 203633 0 Liberty All-Star Growth Fund, Inc. COM 529900102 603 144302 SH SOLE 144302 0 0 LivaNova PLC SHS G5509L101 375 8330 SH SOLE 8330 0 0 Lloyds Banking Group PLC SPONSORED ADR 539439109 25 7926 SH SOLE 7926 0 0 LMP Capital and Income Fund, Inc. COM 50208A102 382 28740 SH SOLE 28740 0 0 LyondellBasell Industries N.V. SHS - A - N53745100 38 442 SH SOLE 442 0 0 Macquarie Global Infrastructure Total Return Fund Inc. COM 55608D101 321 16273 SH SOLE 16273 0 0 MannKind Corp. COM 56400P201 1 1000 SH SOLE 1000 0 0 Marriott Vacations Worldwide Corp. COM 57164Y107 912 10745 SH SOLE 10745 0 0 Martin Marietta Materials Inc. COM 573284106 665 3000 SH SOLE 3000 0 0 MasTec, Inc. COM 576323109 3899 101927 SH SOLE 101927 0 0 MasterCard Incorporated CL A 57636Q104 27 260 SH SOLE 260 0 0 McDonald's Corp. COM 580135101 131 1077 SH SOLE 1077 0 0 Merck & Co. Inc. COM 58933Y105 159 2696 SH SOLE 2696 0 0 MetLife, Inc. COM 59156R108 56 1040 SH SOLE 1040 0 0 Mexico Equity and Income Fund, Inc. COM 592834105 230 25117 SH SOLE 25117 0 0 MFS Charter Income Trust SH BEN INT 552727109 35 4057 SH SOLE 4057 0 0 MFS Investment Grade Municipal Trust SH BEN INT 59318B108 141 15000 SH SOLE 15000 0 0 Microsoft Corporation COM 594918104 84 1357 SH SOLE 1357 0 0 Morgan Stanley Asia Pacific Fund COM 61744U106 161 11901 SH SOLE 11901 0 0 Morgan Stanley China A Share Fund COM 617468103 494 29081 SH SOLE 29081 0 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 28 1555 SH SOLE 1555 0 0 Morgan Stanley India Investment Fund COM 61745C105 127 4967 SH SOLE 4967 0 0 MVC Capital, Inc. COM 553829102 22 2618 SH SOLE 2618 0 0 National Grid PLC SPON ADR NEW 636274300 25 428 SH SOLE 428 0 0 NetEase, Inc. SPONSORED ADR 64110W102 22 101 SH SOLE 101 0 0 Neuberger Berman MLP Income Fund Inc. COM 64129H104 439 46785 SH SOLE 46785 0 0 New Germany Fund, Inc. COM 644465106 1603 122616 SH OTR 1 65726 56890 0 New Ireland Fund, Inc. COM 645673104 93 7728 SH SOLE 7728 0 0 NexPoint Credit Strategies Fund COM NEW 65340G205 12616 554056 SH OTR 1 387977 166079 0 NextEra Energy, Inc. COM 65339F101 996 8337 SH SOLE 8337 0 0 Nike, Inc. CL B 654106103 35 690 SH SOLE 690 0 0 Norfolk Southern Corp. COM 655844108 316 2928 SH SOLE 2928 0 0 Norwegian Cruise Line Holdings Ltd. SHS G66721104 2464 57943 SH SOLE 57943 0 0 Nuveen AMT-Free Quality Municipal Income Fund COM 670657105 47 3553 SH SOLE 3553 0 0 Nuveen Core Equity Alpha Fund COM 67090X107 62 4731 SH SOLE 4731 0 0 Nuveen Credit Strategies Income Fund COM SHS 67073D102 2477 279872 SH SOLE 279872 0 0 Nuveen Diversified Dividend and Income Fund COM 6706EP105 24 2114 SH SOLE 2114 0 0 Nuveen Dividend Advantage Municipal Fund COM 67066V101 141 10085 SH SOLE 10085 0 0 Nuveen Dividend Advantage Municipal Fund 3 COM SH BEN INT 67070X101 287 20284 SH SOLE 20284 0 0 Nuveen Dividend Advantage Municipal Income Fund COM 67071L106 198 13677 SH SOLE 13677 0 0 Nuveen Dow 30 Dynamic Overwrite Fund SHS 67075F105 334 22254 SH OTR 1 300 21954 0 Nuveen Flexible Investment Income Fund COM 67075B104 124 7481 SH SOLE 7481 0 0 Nuveen Global High Income Fund SHS 67075G103 341 21302 SH SOLE 21302 0 0 Nuveen Multi-Market Income Fund, Inc. COM 67075J107 500 68474 SH SOLE 68474 0 0 Nuveen Municipal Value Fund, Inc. COM 670928100 124 13000 SH SOLE 13000 0 0 Nuveen NASDAQ 100 Dynamic Overwrite Fund COM SHS 670699107 415 22347 SH SOLE 22347 0 0 Nuveen New Jersey Dividend Advantage Municipal Fund COM 67069Y102 75 5702 SH SOLE 5702 0 0 Nuveen S&P 500 Buy-Write Income Fund COM 6706ER101 1370 107686 SH OTR 1 25845 81841 0 Nuveen S&P 500 Dynamic Overwrite Fund COM 6706EW100 96 6645 SH SOLE 6645 0 0 Nuveen Select Tax-Free Income Portfolio 2 SH BEN INT 67063C106 262 19722 SH SOLE 19722 0 0 Nuveen Select Tax-Free Income Portfolio 3 SH BEN INT 67063X100 347 24493 SH SOLE 24493 0 0 Nuveen Tax-Advantaged Dividend Growth Fund COM 67073G105 107 7665 SH SOLE 7665 0 0 NXP Semiconductors N.V. SH BEN INT 67062F100 174 12546 SH SOLE 12546 0 0 Occidental Petroleum Corporation COM 674599105 33 470 SH SOLE 470 0 0 Pacholder High Yield Fund, Inc. COM 693742108 154 21390 SH SOLE 21390 0 0 Pfizer Inc. COM 717081103 65 1992 SH SOLE 1992 0 0 Philip Morris International, Inc. COM 718172109 44 482 SH SOLE 482 0 0 PIMCO Dynamic Credit Income Fund COM SHS 72202D106 9811 485235 SH OTR 1 357625 127610 0 PIMCO Enhanced Short Maturity Active ETF ENHAN SHRT MA AC 72201R833 2572 25380 SH SOLE 25380 0 0 PIMCO Income Strategy Fund II COM 72201J104 75 7923 SH SOLE 7923 0 0 Pioneer Diversified High Income Trust COM 723653101 3 200 SH SOLE 200 0 0 Pioneer Municipal High Income Trust COM SHS 723763108 178 15000 SH SOLE 15000 0 0 Popular, Inc. COM NEW 733174700 1271 29000 SH SOLE 29000 0 0 PriceSmart Inc. COM 741511109 84 1000 SH SOLE 1000 0 0 Prudential PLC ADR 74435K204 24 605 SH SOLE 605 0 0 Putnam High Income Securities Fund SHS BEN INT 746779107 19 2356 SH SOLE 2356 0 0 Putnam Premier Income Trust SH BEN INT 746853100 42 8382 SH SOLE 8382 0 0 Rand Capital Corporation COM 752185108 6 2000 SH SOLE 2000 0 0 RENN Global Entrepreneurs Fund, Inc. 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