0001398344-20-022207.txt : 20201112
0001398344-20-022207.hdr.sgml : 20201112
20201112161900
ACCESSION NUMBER: 0001398344-20-022207
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200930
FILED AS OF DATE: 20201112
DATE AS OF CHANGE: 20201112
EFFECTIVENESS DATE: 20201112
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: 201306987
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
09-30-2020
09-30-2020
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
305-777-1660
/s/ Erik M. Herzfeld
Miami Beach
FL
11-09-2020
0
254
148857
INFORMATION TABLE
2
fp0058611_13fhr-table.xml
13F INFORMATION TABLE
Abbott Laboratories
COM
002824100
8
73
SH
SOLE
73
0
0
AbbVie, Inc.
COM
00287Y109
7
87
SH
SOLE
87
0
0
Aberdeen Asia Pacific In Com
COM
003009107
4541
1195079
SH
SOLE
1195079
0
0
Aberdeen Emerging Markets Equity Inc.
COM
00301W105
5
768
SH
SOLE
768
0
0
Aberdeen Global Dynamic Dividend Fund
COM
00302M106
1109
129266
SH
SOLE
129266
0
0
Aberdeen Global Premier Properties Fund
COM SH BEN INT
00302L108
1841
422333
SH
SOLE
422333
0
0
Aberdeen Japan Equity Fund Inc
COM
00306J109
5
561
SH
SOLE
561
0
0
Aberdeen Total Dynamic Dividend Fund
COM SH BEN INT
00326L100
1129
154458
SH
SOLE
154458
0
0
Activision Blizzard, Inc.
COM
00507V109
2
27
SH
SOLE
27
0
0
Adams Diversified Equity Fund Inc
COM
006212104
2907
186841
SH
SOLE
186841
0
0
Adams Natural Resources Fund Inc
COM
00548F105
64
6789
SH
SOLE
6789
0
0
Adobe Systems, Inc.
COM
00724F101
3
7
SH
SOLE
7
0
0
Advanced Micro Devices, Inc.
COM
007903107
2
24
SH
SOLE
24
0
0
Air products and Chemicals, Inc.
COM
009158106
12
45
SH
SOLE
45
0
0
Alcon, Inc.
ORD SHS
H01301128
6
100
SH
SOLE
100
0
0
Alibaba Group Holding Limited
SPONSORED ADS
01609W102
20
66
SH
SOLE
66
0
0
AllianceBernstein National Municipal Income Fund Inc
COM
01864U106
161
11825
SH
SOLE
11825
0
0
AllianceBernstern Global High Income Fund
COM
01879R106
685
66601
SH
SOLE
66601
0
0
AllianzGI Artificial Intelligence Opp Fund
COM
01883M101
2461
116729
SH
SOLE
116729
0
0
Alphabet, Inc. Cl C
CL C
02079K107
11
7
SH
SOLE
7
0
0
Amazon Com Inc
COM
023135106
21
7
SH
SOLE
7
0
0
America Movil SAB de CV
SPON ADR L SHS
02364W105
190
15948
SH
SOLE
15948
0
0
American Tower Corporation
COM
03027X100
1
6
SH
SOLE
6
0
0
Amgen Inc
COM
031162100
156
717
SH
SOLE
717
0
0
Anheuser-Busch Inbev SA/NV ADR
SPONSORED ADR
03524A108
2
36
SH
SOLE
36
0
0
Apollo Tactical Income Fund Inc
COM
037638103
3716
295651
SH
SOLE
295651
0
0
Apple Inc
COM
037833100
2
17
SH
SOLE
17
0
0
ASA Gold and Precious Metals Ltd
SHS
G3156P103
107
5028
SH
SOLE
5028
0
0
ASML Holding N V
N Y REGISTRY SHS
N07059210
21
58
SH
SOLE
58
0
0
AstraZeneca Group plc ADR
SPONSORED ADR
046353108
4
78
SH
SOLE
78
0
0
Autodesk, Inc.
COM
052769106
2
7
SH
SOLE
7
0
0
Automatic Data Processing, Inc.
COM
053015103
8
51
SH
SOLE
51
0
0
BeiGene, Ltd.
SPONSORED ADR
07725L102
4
14
SH
SOLE
14
0
0
BlackRock 2022 Global Income Opp Tr
COM
09258P104
3
300
SH
SOLE
300
0
0
BlackRock Calif Mun Income
COM SH BEN INT
09248E102
618
47529
SH
SOLE
47529
0
0
BlackRock Debt Strategies Fund
COM NEW
09255R202
1360
142736
SH
SOLE
142736
0
0
BlackRock Enhanced Equity Dividend Trust
COM
09251A104
12
1713
SH
SOLE
1713
0
0
BlackRock Enhanced International Dividend Trust
COM BENE INTER
092524107
2006
403527
SH
SOLE
403527
0
0
BlackRock Health Sciences Trust II
COM SHS
09260E105
2618
111991
SH
SOLE
111991
0
0
BlackRock Muni Intermediate Duration Fund Inc
COM
09253X102
186
13284
SH
SOLE
13284
0
0
BlackRock Munihldngs Cali QL
COM
09254L107
156
10937
SH
SOLE
10937
0
0
BlackRock Science and Technology Trust II
SHS BEN INT
09260K101
2502
95563
SH
SOLE
95563
0
0
BlackRock, Inc.
COM
09247X101
14
24
SH
SOLE
24
0
0
Blackstone / GSO Long-Short Credit Income Fund
COM SHS BN INT
09257D102
65
5194
SH
SOLE
5194
0
0
Boston Scientific Corp.
COM
101137107
4
129
SH
SOLE
129
0
0
Boulder Growth & Income Fund Inc
COM
101507101
4333
455145
SH
SOLE
455145
0
0
BrandywineGLOBAL - Global Income Opportunities Fund Inc.
COM
10537L104
1319
119828
SH
SOLE
119828
0
0
Bristol-Myers Squibb Co
COM
110122108
99
1700
SH
SOLE
1700
0
0
British American Tobacco PLC
SPONSORED ADR
110448107
3
90
SH
SOLE
90
0
0
Broadcom, Inc.
COM
11135F101
15
44
SH
SOLE
44
0
0
Cadence Design Systems, Inc.
COM
127387108
17
160
SH
SOLE
160
0
0
Canadian National Railway Company
COM
136375102
17
174
SH
SOLE
174
0
0
Central and Eastern European Fund Inc
COM
153436100
4
222
SH
SOLE
222
0
0
Central Securities Corp
COM
155123102
4833
171491
SH
SOLE
171491
0
0
Chevron Corp.
COM
166764100
5
77
SH
SOLE
77
0
0
Chubb Ltd
COM
H1467J104
5
35
SH
SOLE
35
0
0
Cisco Systems, Inc.
COM
17275R102
9
245
SH
SOLE
245
0
0
Coca-Cola Co. (The)
COM
191216100
3
68
SH
SOLE
68
0
0
Comcast Corp. Cl A Common Stock
CL A
20030N101
5
114
SH
SOLE
114
0
0
Cornerstone Strategic Value Fund Inc
COM
21924B302
7069
656381
SH
SOLE
656381
0
0
Cornerstone Total Rtrn Fd In
COM
21924U300
2377
223611
SH
SOLE
223611
0
0
Costco Wholesale Corp.
COM
22160K105
4
11
SH
SOLE
11
0
0
CRISPR Therapeutics AG
NAMEN AKT
H17182108
2
17
SH
SOLE
17
0
0
Crown Castle Intl Corp.
COM
22822V101
11
70
SH
SOLE
70
0
0
Delaware Investments Minnesota Municipal Income Fund II Inc
COM
24610V103
145
11218
SH
SOLE
11218
0
0
Deutsche Municipal Income Trust
COM
233368109
242
22238
SH
SOLE
22238
0
0
DTF Tax-Free Income Inc
COM
23334J107
116
8138
SH
SOLE
8138
0
0
DWS Strategic Municipal Income Trust
COM
23342Q101
53
5000
SH
SOLE
5000
0
0
Eaton Corp. plc (Ireland)
SHS
G29183103
4
35
SH
SOLE
35
0
0
Eaton Vance Limited Duration Income Fund
COM
27828H105
6832
583896
SH
SOLE
583896
0
0
Eaton Vance Muni Income Trust
SH BEN INT
27826U108
101
8034
SH
SOLE
8034
0
0
Eaton Vance Short Duration Diversified Income Fund
COM
27828V104
14
1195
SH
SOLE
1195
0
0
Eli Lilly & Co
COM
532457108
84
642
SH
SOLE
642
0
0
Empire State Realty Trust Inc
CL A
292104106
398
73894
SH
SOLE
73894
0
0
Equifax, Inc.
COM
294429105
2
11
SH
SOLE
11
0
0
Equinix Inc
COM PAR $0.001
29444U700
23
31
SH
SOLE
31
0
0
Eversource Energy
COM
30040W108
2
18
SH
SOLE
18
0
0
Facebook, Inc.
CL A
30303M102
14
54
SH
SOLE
54
0
0
First Tr Inter Dur Pfd & In
COM
33718W103
1704
79019
SH
SOLE
79019
0
0
First Trust Aberdeen Global Opportunity Income Fund
COM SHS
337319107
60
6328
SH
SOLE
6328
0
0
First Trust High Income Long/Short Fund
COM
33738E109
1174
87029
SH
SOLE
87029
0
0
Firsthand Technology Value Fund, Inc.
COM
33766Y100
109
35166
SH
SOLE
35166
0
0
Flying Eagle Acquistion Cor
COM
34407Y103
10
902
SH
SOLE
902
0
0
Gabelli Equity Trust Inc
COM
362397101
33
6109
SH
SOLE
6109
0
0
General American Investors Co Inc
COM
368802104
2377
72280
SH
SOLE
72280
0
0
GoDaddy, Inc.
CL A
380237107
2
32
SH
SOLE
32
0
0
Goldman Sachs Group, Inc. (The)
COM
38141G104
1
7
SH
SOLE
7
0
0
Highland Floating Rate Opportunities Fund
SHS BEN INT
43010E404
16882
2150544
SH
SOLE
2150544
0
0
Hilton, Inc
COM
43300A203
2
26
SH
SOLE
26
0
0
Honeywell Intl, Inc.
COM
438516106
14
84
SH
SOLE
84
0
0
ICICI Bank Ltd
ADR
45104G104
9
847
SH
SOLE
847
0
0
IDEX Corp.
COM
45167R104
3
18
SH
SOLE
18
0
0
IDEXX Labs Inc.
COM
45168D104
3
6
SH
SOLE
6
0
0
Illinois Tool Works, Inc.
COM
452308109
6
30
SH
SOLE
30
0
0
Incyte Corp
COM
45337C102
23
260
SH
SOLE
260
0
0
Inovio Pharmaceuticals Inc
COM NEW
45773H201
49
5000
SH
SOLE
5000
0
0
Insulet Corp.
COM
45784P101
2
11
SH
SOLE
11
0
0
Intercontinental Exchange Group, Inc.
COM
45866F104
2
22
SH
SOLE
22
0
0
InterContinental Hotels Group plc ADR
SPONSORED ADR
45857P806
2
33
SH
SOLE
33
0
0
Intuitive Surgical, Inc.
COM
46120E602
7
11
SH
SOLE
11
0
0
Invesco Dynamic Credit Opportunities Fund
COM
46132R104
1575
170279
SH
SOLE
170279
0
0
Invesco QQQ Tr
UNIT SER 1
46090E103
73
270
SH
SOLE
270
0
0
iShares Nasdaq Biotechnology ETF
NASDAQ BIOTECH
464287556
725
5550
SH
SOLE
5550
0
0
Ishares Tr 13 Yr
1 3 YR TREAS BD
464287457
647
7481
SH
SOLE
7481
0
0
iShares U.S. Medical Devices ETF
U.S. MED DVC ETF
464288810
917
3075
SH
SOLE
3075
0
0
Itau Unibanco Holding S.A.
SPON ADR REP PFD
465562106
5
1119
SH
SOLE
1119
0
0
Japan Smaller Capitalization Fund Inc
COM
47109U104
3
321
SH
SOLE
321
0
0
Johnson & Johnson
COM
478160104
6
43
SH
SOLE
43
0
0
JPMorgan Chase & Co
COM
46625H100
18
188
SH
SOLE
188
0
0
Karyopharm Therapeutics Inc
COM
48576U106
22
1500
SH
SOLE
1500
0
0
Kensington Cap Acquisition C
CALL
490073103
13
1100
SH
SOLE
1100
0
0
Kensington Cap Acquisition C
*W EXP 07/01/202
490073111
7
3000
SH
SOLE
3000
0
0
Landcadia Hldgs II Inc
*W EXP 05/09/202
51476X113
5
1500
SH
SOLE
1500
0
0
Liberty All Star Equity Fund
SH BEN INT
530158104
28
4880
SH
SOLE
4880
0
0
Liberty All Star Growth Fund Inc
COM
529900102
41
5649
SH
SOLE
5649
0
0
Linde plc
SHS
G5494J103
2
10
SH
SOLE
10
0
0
LivaNova PLC
SHS
G5509L101
419
8330
SH
SOLE
8330
0
0
Lockheed Martin Corp.
COM
539830109
11
31
SH
SOLE
31
0
0
LyondellBasell Industries N.V. Class A
SHS - A -
N53745100
1
18
SH
SOLE
18
0
0
Marsh & McLennan Companies, Inc.
COM
571748102
7
68
SH
SOLE
68
0
0
Marvell Technology Group Ltd
ORD SHS
G5876H105
11
305
SH
SOLE
305
0
0
MasterCard, Inc.
CL A
57636Q104
17
59
SH
SOLE
59
0
0
McDonald's Corp
COM
580135101
9
42
SH
SOLE
42
0
0
Medtronic plc
SHS
G5960L103
7
73
SH
SOLE
73
0
0
MercadoLibre, Inc.
COM
58733R102
5
4
SH
SOLE
4
0
0
Merck & Co Inc
COM
58933Y105
210
2794
SH
SOLE
2794
0
0
MFS Inter Income Tr
SH BEN INT
55273C107
1933
518132
SH
SOLE
518132
0
0
MFS Investment Grade Municipal Trust
SH BEN INT
59318B108
509
55877
SH
SOLE
55877
0
0
MFS Multimarket Income Tr
SH BEN INT
552737108
1127
198836
SH
SOLE
198836
0
0
MFS Municipal Income Trust
SH BEN INT
552738106
116
18322
SH
SOLE
18322
0
0
Microsoft Corp
COM
594918104
25
124
SH
SOLE
124
0
0
Mondelez International, Inc.
CL A
609207105
49
927
SH
SOLE
927
0
0
Moody's Corp.
COM
615369105
4
15
SH
SOLE
15
0
0
Morgan Stanley India Investment Fund Inc
COM
61745C105
3
163
SH
SOLE
163
0
0
MorphoSys AG
SPONSORED ADS
617760202
8
304
SH
SOLE
304
0
0
Netflix, Inc.
COM
64110L106
7
15
SH
SOLE
15
0
0
NexPoint Credit Strategies Fund
COM NEW
65340G205
15233
1668446
SH
SOLE
1668446
0
0
NextEra Energy Inc
COM
65339F101
444
6059
SH
SOLE
6059
0
0
Nike, Inc.
CL B
654106103
5
43
SH
SOLE
43
0
0
Novartis AG
SPONSORED ADR
66987V109
96
1232
SH
SOLE
1232
0
0
Novo Nordisk A/S ADR
ADR
670100205
3
44
SH
SOLE
44
0
0
Nuveen Amt- Free Mun Value Fd
COM
670695105
81
5000
SH
SOLE
5000
0
0
Nuveen AMT-Free Quality Municipal Income Fund
COM
670657105
94
6528
SH
SOLE
6528
0
0
Nuveen Core Equity Alpha Fund
COM
67090X107
34
2819
SH
SOLE
2819
0
0
Nuveen Credit Strategies Income Fund
COM SHS
67073D102
7588
1310608
SH
SOLE
1310608
0
0
Nuveen Mortgage and Income Fund
COM
670735109
889
47676
SH
SOLE
47676
0
0
Nuveen Multi-Market Income Fund Inc
COM
67075J107
47
6761
SH
SOLE
6761
0
0
Nuveen NASDAQ 100 Dynamic Overwrite Fund
COM SHS
670699107
42
1848
SH
SOLE
1848
0
0
Nuveen New Jersey Quality Municipal Income Fund
COM
67069Y102
88
6456
SH
SOLE
6456
0
0
Nuveen Ohio Qlty Mun Income
COM
670980101
233
15331
SH
SOLE
15331
0
0
Nuveen Pfd Securities Income Fund
COM
67072C105
60
6781
SH
SOLE
6781
0
0
Nuveen Quality Municipal Income Fund
COM
67066V101
164
11363
SH
SOLE
11363
0
0
OFS Credit Company Inc
COM
67111Q107
33
3324
SH
SOLE
3324
0
0
ON Semiconductor Corporation
COM
682189105
29
1149
SH
SOLE
1149
0
0
Otis Worldwide Corp
COM
68902V107
16
269
SH
SOLE
269
0
0
Paychex, Inc
COM
704326107
8
102
SH
SOLE
102
0
0
PayPal Holdings, Inc.
COM
70450Y103
66
354
SH
SOLE
354
0
0
PepsiCo, Inc.
COM
713448108
11
85
SH
SOLE
85
0
0
PGIM Global Short Duration High Yield Fund, Inc.
COM
69346J106
6535
513342
SH
SOLE
513342
0
0
PGIM Short Duration High Yield Fund, Inc.
COM
69346H100
6129
452966
SH
SOLE
452966
0
0
Phillips 66
COM
718546104
2
38
SH
SOLE
38
0
0
PIMCO California Municipal Income Fund III
COM
72201C109
51
5099
SH
SOLE
5099
0
0
PIMCO Dynamic Credit and Mortgage Income Fund
COM SHS
72202D106
3473
183974
SH
SOLE
183974
0
0
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
ENHAN SHRT MA AC
72201R833
551
5400
SH
SOLE
5400
0
0
PIMCO Global StocksPLS Inc.
COM
722011103
5
589
SH
SOLE
589
0
0
PIMCO High Income Fund
COM SHS
722014107
1005
190677
SH
SOLE
190677
0
0
Pimco New York Municipal Income Fund II
COM
72200Y102
250
24670
SH
SOLE
24670
0
0
PIMCO Strategic Income Fd
COM
72200X104
169
27497
SH
SOLE
27497
0
0
Pioneer Diversified High Income Trust
COM
723653101
14
1165
SH
SOLE
1165
0
0
Pioneer Municipal High Income Advantage Trust
COM
723762100
1316
120724
SH
SOLE
120724
0
0
Pioneer Municipal High Income Trust
COM SHS
723763108
252
22221
SH
SOLE
22221
0
0
Procter & Gamble Co. (The)
COM
742718109
4
31
SH
SOLE
31
0
0
ProLogis, Inc.
COM
74340W103
6
64
SH
SOLE
64
0
0
ProShares Short VIX Short-Term Futures ETF
SHT VIX ST TRM
74347W130
4
110
SH
SOLE
110
0
0
ProShares UltraShort S&P50
ULTRASHRT S&P500
74347B383
3173
191398
SH
SOLE
191398
0
0
PTC Inc.
COM
69370C100
9
113
SH
SOLE
113
0
0
Qualcomm Inc
COM
747525103
5
40
SH
SOLE
40
0
0
Ranpak Hldgs Corp
COM CL A
75321W103
11
1309
SH
SOLE
1309
0
0
Realty Income Corp.
COM
756109104
3
55
SH
SOLE
55
0
0
Regeneron Pharmaceuticals, Inc.
COM
75886F107
4
7
SH
SOLE
7
0
0
Restaurant Brands International Inc
COM
76131D103
3
57
SH
SOLE
57
0
0
Rivernorth Doubleline Strate
COM
76882G107
142
10563
SH
SOLE
10563
0
0
Rivernorth Flexible Mun Income
COM
76883H104
97
4828
SH
SOLE
4828
0
0
Rivernorth Managed Duration Municipal Income Fund Inc.
COM
76882H105
181
10947
SH
SOLE
10947
0
0
Rivernorth Opportunistic Mun
COM
76883F108
699
34703
SH
SOLE
34703
0
0
RMR Real Estate Income Fund
COM
76970B101
1042
148002
SH
SOLE
148002
0
0
Rogers Communications Inc
CL B
775109200
23
573
SH
SOLE
573
0
0
ROYAL DUTCH SHELL PLC
SPON ADR B
780259107
3
109
SH
SOLE
109
0
0
Royce Value Trust Inc
COM
780910105
36
2875
SH
SOLE
2875
0
0
Ryanair Holdings plc ADR
SPONSORED ADS
783513203
11
133
SH
SOLE
133
0
0
Schlumberger Ltd
COM
806857108
2
106
SH
SOLE
106
0
0
Sea Limited
ADR
81141R100
34
214
SH
SOLE
214
0
0
Seattle Genetics, In
COM
812578102
3
18
SH
SOLE
18
0
0
Sempra Energy
COM
816851109
7
55
SH
SOLE
55
0
0
ServiceNow, Inc.
COM
81762P102
3
7
SH
SOLE
7
0
0
Sherwin-Williams Co. (The)
COM
824348106
3
5
SH
SOLE
5
0
0
Shopify, Inc.
CL A
82509L107
5
5
SH
SOLE
5
0
0
Smartsheet, Inc. Cl A
COM CL A
83200N103
2
34
SH
SOLE
34
0
0
Social Capital Hedosophia Holdings Corp. lll
COM CL A
G8251K107
10
1000
SH
SOLE
1000
0
0
Sony Corp
SPONSORED ADR
835699307
64
763
SH
SOLE
763
0
0
SPDR S&P 500 ETF Tr
TR UNIT
78462F103
72
220
SH
SOLE
220
0
0
SPDR S&P MidCap 400 ETF Tr
UTSER1 S&PDCRP
78467Y107
52
150
SH
SOLE
150
0
0
SPDR Ser Tr
SPDR BLOOMBERG
78468R663
999
10919
SH
SOLE
10919
0
0
Sprott Physical Gold and Silver Trust
TR UNIT
85208R101
147
8000
SH
SOLE
8000
0
0
Starbucks Corp.
COM
855244109
10
110
SH
SOLE
110
0
0
Sutter Rock Cap Corp
COM
86887Q109
198
24000
SH
SOLE
24000
0
0
Taiwan Semiconductor Manufacturing Company Limited
SPONSORED ADR
874039100
16
187
SH
SOLE
187
0
0
Takeda Pharmaceutical Co Ltd
SPONSORED ADR
874060205
62
4000
SH
SOLE
4000
0
0
TCW Strategic Income Fund Inc
COM
872340104
11
2000
SH
SOLE
2000
0
0
Templeton Emerging Markets Fund
COM
880191101
4
238
SH
SOLE
238
0
0
Tesla Inc
COM
88160R101
27
70
SH
SOLE
70
0
0
Teva Pharmaceutical Inds Ltd
SPONSORED ADR
881624209
1
166
SH
SOLE
166
0
0
Texas Instruments, Inc
COM
882508104
16
111
SH
SOLE
111
0
0
The European Equity Fund Inc
COM
298768102
6
617
SH
SOLE
617
0
0
The Gabelli Dividend & Income Trust
COM
36242H104
23
1282
SH
SOLE
1282
0
0
The GDL Fund
COM SH BEN IT
361570104
39
4596
SH
SOLE
4596
0
0
The Herzfeld Caribbean Basin Fund Inc
COM
42804T106
1737
486477
SH
SOLE
486477
0
0
The Home Depot Inc
COM
437076102
16
61
SH
SOLE
61
0
0
The India Fund Inc
COM
454089103
4
215
SH
SOLE
215
0
0
The Korea Fund Inc
COM NEW
500634209
3
85
SH
SOLE
85
0
0
The Mexico Fund, Inc.
COM
592835102
3
309
SH
SOLE
309
0
0
The New Germany Fund Inc
COM
644465106
9
586
SH
SOLE
586
0
0
The New Ireland Fund Inc
COM
645673104
5
605
SH
SOLE
605
0
0
The PNC Financial Services Group Inc
COM
693475105
6
50
SH
SOLE
50
0
0
Thermo Fisher Scientific, Inc.
COM
883556102
7
15
SH
SOLE
15
0
0
Tri-Continental Corp
COM
895436103
100
3958
SH
SOLE
3958
0
0
Trimble, Inc.
COM
896239100
2
40
SH
SOLE
40
0
0
Trip.com Group Ltd ADR
ADS
89677Q107
1
48
SH
SOLE
48
0
0
Truist Financial Corp
COM
89832Q109
9
221
SH
SOLE
221
0
0
U.S. Bancorp
COM
902973304
4
112
SH
SOLE
112
0
0
Ultragenyx Pharmaceutical In
COM
90400D108
2
15
SH
SOLE
15
0
0
Unilever N.V.
N Y SHS NEW
904784709
46
806
SH
SOLE
806
0
0
United States Oil Fund LP
UNITS
91232N207
32
1250
SH
SOLE
1250
0
0
UnitedHealth Group Inc
COM
91324P102
69
225
SH
SOLE
225
0
0
Vale SA
ADR
91912E105
3
271
SH
SOLE
271
0
0
Velodyne Lidar Inc.
*W EXP 09/29/202
92259F119
13
5000
SH
SOLE
5000
0
0
Verizon Communications Inc
COM
92343V104
7
120
SH
SOLE
120
0
0
Vertex Pharmaceuticals, Inc.
COM
92532F100
3
14
SH
SOLE
14
0
0
Vertical Capital Income Fund
SHS BEN INT
92535C104
2647
266295
SH
SOLE
266295
0
0
Viacom Inc.
COM
925550105
10
829
SH
SOLE
829
0
0
Virgin Galactic Holdings, Inc.
COM
92766K106
17
1000
SH
SOLE
1000
0
0
Virtus Total Return Fund Inc.
COM
92835W107
11
1496
SH
SOLE
1496
0
0
Visa Inc
COM CL A
92826C839
5
30
SH
SOLE
30
0
0
Vodafone Group plc ADR
SPONSORED ADR
92857W308
16
1161
SH
SOLE
1161
0
0
WEC Energy Group, Inc.
COM
92939U106
8
80
SH
SOLE
80
0
0
Western Assest Intm Muni Fd
COM
958435109
324
37291
SH
SOLE
37291
0
0
Western Asset Mortgage Opp Fund Inc.
COM
95790B109
988
74829
SH
SOLE
74829
0
0
Western Asset Mun Hi Incm Fd
COM
95766N103
183
25481
SH
SOLE
25481
0
0
Western Asset Municipal Partners Fund
COM
95766P108
53
3793
SH
SOLE
3793
0
0
Western Asset/Claymore Inflation-Linked Opportunities & Income Fund
COM
95766R104
1943
170449
SH
SOLE
170449
0
0
Western Asset/Claymore Inflation-Linked Securities & Income Fund
COM SH BEN INT
95766Q106
313
25322
SH
SOLE
25322
0
0
Whole Earth Brands Inc.
*W EXP 06/25/202
96684W126
6
6250
SH
SOLE
6250
0
0
Whole Earth Brands, Inc.
COM CL A
96684W100
8
1000
SH
SOLE
1000
0
0
Zoetis Inc.
CL A
98978V103
4
25
SH
SOLE
25
0
0