President

0001398344-15-007658.txt : 20151113 0001398344-15-007658.hdr.sgml : 20151113 20151113160019 ACCESSION NUMBER: 0001398344-15-007658 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151113 DATE AS OF CHANGE: 20151113 EFFECTIVENESS DATE: 20151113 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: 151229084 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 09-30-2015 09-30-2015 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 11-13-2015 0 325 230280 INFORMATION TABLE 2 fp0016786_13fhr-table.xml 13F INFORMATION TABLE 3M Company common stock 88579Y101 36 253 SH SOLE 253 0 0 Abbott Laboratories common stock 002824100 37 925 SH SOLE 925 0 0 Abengoa Yield PLC common stock G00349103 18 1071 SH SOLE 1071 0 0 Aberdeen Asia-Pacific Income Fund, Inc. common stock 003009107 1042 231502 SH SOLE 231502 0 0 Aberdeen Chile Fund Inc. common stock 00301W105 29 4800 SH SOLE 4800 0 0 Aberdeen Emerging Markets Smaller Company Opportunities Fund, Inc. common stock 00301T102 53 4964 SH SOLE 4964 0 0 Aberdeen Indonesia Fund, Inc. common stock 00305P106 125 23835 SH SOLE 23835 0 0 Aberdeen Israel Fund, Inc. common stock 00301L109 39 2322 SH SOLE 2322 0 0 Aberdeen Japan Equity Fund, Inc. common stock 00306J109 2023 294864 SH SOLE 294864 0 0 Aberdeen Singapore Fund, Inc. common stock 003244100 205 23767 SH SOLE 23767 0 0 ACE Limited common stock H0023R105 34 331 SH SOLE 331 0 0 Adams Diversified Equity Fund, Inc. common stock 006212104 6022 472297 SH SOLE 472297 0 0 Adams Natural Resources Fund, Inc. common stock 00548F105 3738 205851 SH SOLE 205851 0 0 Advent/Claymore Enhanced Growth & Income Fund common stock 00765E104 511 62278 SH SOLE 62278 0 0 Alexion Pharmaceuticals, Inc. common stock 015351109 22 138 SH SOLE 138 0 0 Alliance California Municipal Income Fund, Inc. common stock 018546101 354 25859 SH SOLE 25859 0 0 AllianceBernstein Global High Income Fund, Inc. common stock 01879R106 339 30663 SH SOLE 30663 0 0 AllianceBernstein National Municipal Income Fund common stock 01864U106 223 16789 SH SOLE 16789 0 0 AllianzGI Equity & Convertible Income Fund common stock 018829101 34 2000 SH SOLE 2000 0 0 Alnylam Pharmaceuticals, Inc. common stock 02043Q107 4 50 SH SOLE 50 0 0 Alpine Global Dynamic Dividend Fund common stock 02082E205 2685 314089 SH SOLE 314089 0 0 Alpine Total Dynamic Dividend Fund common stock 021060207 5282 704323 SH SOLE 704323 0 0 Altria Group Inc. common stock 02209S103 33 615 SH SOLE 615 0 0 Ambev S.A. common stock 02319V103 24 4939 SH SOLE 4939 0 0 America Movil S.A.B. de C.V. common stock 02364W105 740 44690 SH SOLE 44690 0 0 American Electric Power Co., Inc. common stock 025537101 27 481 SH SOLE 481 0 0 Ametek Inc. common stock 031100100 12 230 SH SOLE 230 0 0 Amgen Inc. common stock 031162100 97 700 SH SOLE 700 0 0 Anheuser-Busch InBev common stock 03524A108 26 241 SH SOLE 241 0 0 Apollo Tactical Income Fund Inc common stock 037638103 1253 86448 SH SOLE 86448 0 0 Archer Daniels Midland Company common stock 039483102 207 5000 SH SOLE 5000 0 0 Ares Dynamic Credit Allocation Fund, Inc. common stock 04014F102 22 1596 SH SOLE 1596 0 0 ASA Gold and Precious Metals Limited common stock G3156P103 23 3000 SH SOLE 3000 0 0 Asia Pacific Fund common stock 044901106 53 5150 SH SOLE 5150 0 0 ASML Holding NV common stock N07059210 31 358 SH SOLE 358 0 0 AstraZeneca PLC common stock 046353108 63 1973 SH SOLE 1973 0 0 Atlantic Tele Network, Inc. common stock 049079205 886 11988 SH SOLE 11988 0 0 Avenue Income Credit Strategies Fund common stock 05358E106 110 8552 SH SOLE 8552 0 0 Avianca Holdings S.A. common stock 05367G100 748 157794 SH SOLE 157794 0 0 Baidu, Inc. common stock 056752108 25 185 SH SOLE 185 0 0 Bancolombia S.A. common stock 05968L102 637 19780 SH SOLE 19780 0 0 Bancroft Fund Ltd. common stock 059695106 546 29201 SH SOLE 29201 0 0 Barclays PLC common stock 06738E204 35 2384 SH SOLE 2384 0 0 Biogen Inc. common stock 09062X103 29 100 SH SOLE 100 0 0 BioMarin Pharmaceutical Inc. common stock 09061G101 42 400 SH SOLE 400 0 0 BlackRock Core Bond Trust common stock 09249E101 3 200 SH SOLE 200 0 0 BlackRock Credit Allocation Income Trust common stock 092508100 1332 109443 SH SOLE 109443 0 0 BlackRock Enhanced Equity Dividend Trust common stock 09251A104 9 1208 SH SOLE 1208 0 0 BlackRock Limited Duration Income Trust common stock 09249W101 4 250 SH SOLE 250 0 0 BlackRock Multi-Sector Income Trust common stock 09258A107 401 25510 SH SOLE 25510 0 0 BlackRock Resources & Commodities Strategy Trust common stock 09257A108 119 16756 SH SOLE 16756 0 0 BlackRock Science and Technology Trust common stock 09258G104 7477 471704 SH SOLE 471704 0 0 BlackRock Utility & Infrastructure Trust common stock 09248D104 77 4746 SH SOLE 4746 0 0 Blackstone/GSO Strategic Credit Fund common stock 09257R101 644 45350 SH SOLE 45350 0 0 Boulder Growth and Income Fund, Inc. common stock 101507101 11615 1559113 SH SOLE 1559113 0 0 BRF SA common stock 10552T107 18 999 SH SOLE 999 0 0 British America Tobacco PLC common stock 110448107 24 220 SH SOLE 220 0 0 Brookfield Global Listed Infrastructure Income Fund common stock 11273Q109 265 21131 SH SOLE 21131 0 0 Brookfield Mortgage Opportunity Income Fund common stock 112792106 74 5001 SH SOLE 5001 0 0 Brookfield Total Return Fund common stock 11283U108 399 18693 SH SOLE 18693 0 0 Canadian Natural Resrouces Limited common stock 136385101 26 1341 SH SOLE 1341 0 0 Canadian Pacific Railway Limited common stock 13645T100 36 253 SH SOLE 253 0 0 Carnival Corp. common stock 143658300 1342 27000 SH SOLE 27000 0 0 Celgene Corporation common stock 151020104 87 800 SH SOLE 800 0 0 Cemex, S.A.B. de C.V. common stock 151290889 1023 146372 SH SOLE 146372 0 0 Central Europe Russia and Turkey Fund common stock 153436100 44 2460 SH SOLE 2460 0 0 Central Fund of Canada Limited (USA) common stock 153501101 85 8000 SH SOLE 8000 0 0 Central Securities Corp. common stock 155123102 832 42117 SH SOLE 42117 0 0 China Fund, Inc. common stock 169373107 80 5000 SH SOLE 5000 0 0 China Petroleum & Chemical Corp. common stock 16941R108 30 489 SH SOLE 489 0 0 China Unicom (Hong Kong) Limited common stock 16945R104 19 1481 SH SOLE 1481 0 0 ClearBridge Energy MLP Opportunity Fund Inc. common stock 18469P100 91 6306 SH SOLE 6306 0 0 ClearBridge Energy MLP Total Return Fund Inc. common stock 18469Q108 315 22892 SH SOLE 22892 0 0 Clough Global Opportunities Fund common stock 18914E106 663 61990 SH SOLE 61990 0 0 CME Group Inc. common stock 12572Q105 464 5000 SH SOLE 5000 0 0 Coca Cola Femsa S.A.B. de C.V. common stock 191241108 610 8799 SH SOLE 8799 0 0 Cohen & Steers Closed-End Opportunity Fund, Inc. common stock 19248P106 89 8197 SH SOLE 8197 0 0 Cohen & Steers Global Income Builder, Inc. common stock 19248M103 49 5103 SH SOLE 5103 0 0 Cohen & Steers Infrastructure Fund, Inc. common stock 19248A109 1817 95289 SH SOLE 95289 0 0 Cohen & Steers Limited Duration Preferres and Income Fund common stock 19248C105 128 5800 SH SOLE 5800 0 0 Cohen & Steers MLP Income and Energy Opportunity Fund common stock 19249B106 78 6526 SH SOLE 6526 0 0 Cohen & Steers Total Return Realty Fund common stock 19247R103 669 56274 SH SOLE 56274 0 0 Conocophillips common stock 20825C104 23 489 SH SOLE 489 0 0 Consolidated Water Co. Ltd. common stock G23773107 1503 129538 SH SOLE 129538 0 0 Consumer Discret Select Sector SPDR ETF common stock 81369Y407 5 65 SH SOLE 65 0 0 Copa Holdings SA common stock P31076105 2036 48550 SH SOLE 48550 0 0 Cornerstone Strategic Value Fund Inc. common stock 21924B302 330 20974 SH SOLE 20974 0 0 Credicorp Ltd. common stock G2519Y108 24 223 SH SOLE 223 0 0 Cushing MLP Total Return Fund common stock 231631201 576 48951 SH SOLE 48951 0 0 Cushing Renaissance Fund common stock 231647108 209 14387 SH SOLE 14387 0 0 CVS Health Corporation common stock 126650100 27 285 SH SOLE 285 0 0 Cyberonics, Inc. common stock 23251P102 506 8330 SH SOLE 8330 0 0 Delaware Enhanced Global Dividend & Income Fund common stock 246060107 399 43107 SH SOLE 43107 0 0 Delaware Investments Dividend & Income Fund, Inc. common stock 245915103 39 4703 SH SOLE 4703 0 0 Delphi Automotive PLC common stock G27823106 31 413 SH SOLE 413 0 0 Deutsche Multi-Market Income Trust common stock 25160E102 90 12133 SH SOLE 12133 0 0 Deutsche Strategic Income Trust common stock 25160F109 19 1850 SH SOLE 1850 0 0 Diversified Real Asset Income Fund common stock 25533B108 1673 104029 SH SOLE 104029 0 0 Dominion Resources, Inc. common stock 25746U109 28 396 SH SOLE 396 0 0 DoubleLine Income Solutions Fund common stock 258622109 2577 149041 SH SOLE 149041 0 0 Duff & Phelps Global Utility Income Fund, Inc. common stock 26433C105 21 1410 SH SOLE 1410 0 0 Eaton Vance California Municipal Income Trust common stock 27826F101 160 12200 SH SOLE 12200 0 0 Eaton Vance Floating-Rate Income Plus Fund common stock 278284104 22 1471 SH SOLE 1471 0 0 Eaton Vance Limited Duration Income Fund common stock 27828H105 63 4940 SH SOLE 4940 0 0 Eaton Vance Risk-Managed Diversified Equity Income Fund common stock 27829G106 120 12500 SH SOLE 12500 0 0 Eaton Vance Tax-Advantaged Dividend Income Fund common stock 27828G107 773 42074 SH SOLE 42074 0 0 Equus Total Return, Inc. common stock 294766100 138 78821 SH SOLE 78821 0 0 Era Group Inc. common stock 26885G109 322 21515 SH SOLE 21515 0 0 European Equity Fund, Inc. common stock 298768102 128 16464 SH SOLE 16464 0 0 Evertec Inc. common stock 30040P103 409 22643 SH SOLE 22643 0 0 Exxon Mobil Corporation common stock 30231G102 28 378 SH SOLE 378 0 0 FedEx Corporation common stock 31428X106 58 400 SH SOLE 400 0 0 Fibria Celulose SA common stock 31573A109 31 2263 SH SOLE 2263 0 0 First Trust Energy Infrastructure Fund common stock 33738C103 1478 92455 SH SOLE 92455 0 0 First Trust High Income Long/Short Fund common stock 33738E109 1766 125314 SH SOLE 125314 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 744 52108 SH SOLE 52108 0 0 First Trust New Opportunities MLP & Energy Fund common stock 33739M100 694 55853 SH SOLE 55853 0 0 Five Prime Therapeutics, Inc. common stock 33830X104 1 50 SH SOLE 50 0 0 Fomento Economico Mexicano, S.A.B. de C.V. common stock 344419106 1071 12000 SH SOLE 12000 0 0 Fort Dearborn Income Securities, Inc common stock 347200107 76 5400 SH SOLE 5400 0 0 Freeport McMoran Copper & Gold common stock 35671D857 310 32000 SH SOLE 32000 0 0 Fresh Del Monte Produce Inc. common stock G36738105 198 5000 SH SOLE 5000 0 0 Gabelli Dividend & Income Trust common stock 36242H104 2146 122229 SH SOLE 122229 0 0 Gabelli Equity Trust Preferred Series D preferred stock 362397705 22 848 SH SOLE 848 0 0 Gabelli Equity Trust, Inc. common stock 362397101 19 3551 SH SOLE 3551 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 24 1463 SH SOLE 1463 0 0 Gabelli Healthcare & Wellness (Rx) Trust common stock 36246K103 2916 300934 SH SOLE 300934 0 0 Gabelli Multimedia Trust Inc. common stock 36239Q109 722 95873 SH SOLE 95873 0 0 GAMCO Global Gold, Natural Resources & Income Trust by Gabelli Preferred Series B preferred stock 36465A307 11 500 SH SOLE 500 0 0 GDL Fund common stock 361570104 98 9961 SH SOLE 9961 0 0 GDL Fund Preferred Series B preferred stock 361570302 642 12800 SH SOLE 12800 0 0 General American Investors Company, Inc. common stock 368802104 3458 111624 SH SOLE 111624 0 0 General Electric Company common stock 369604103 39 1527 SH SOLE 1527 0 0 Gilead Sciences Inc. common stock 375558103 147 1500 SH SOLE 1500 0 0 Grupo Televisa, S.A.B. common stock 40049J206 757 29093 SH SOLE 29093 0 0 Guggenheim Enhanced Equity Income Fund common stock 40167B100 586 81412 SH SOLE 81412 0 0 Guggenheim Enhanced Equity Strategy Fund common stock 40167K100 1057 70973 SH SOLE 70973 0 0 GW Pharmaceuticals PLC common stock 36197T103 18 198 SH SOLE 198 0 0 HDFC Bank Ltd. common stock 40415F101 35 570 SH SOLE 570 0 0 Health Care Select Sector SPDR ETF common stock 81369Y209 7 111 SH SOLE 111 0 0 Hewlett-Packard Company common stock 40434L105 24 951 SH SOLE 951 0 0 ICIC Bank Ltd. common stock 45104G104 33 3985 SH SOLE 3985 0 0 Incyte Corporation common stock 45337C102 27 242 SH SOLE 242 0 0 ING Groep N.V. common stock 456837103 21 1469 SH SOLE 1469 0 0 Ingersoll-Rand PLC common stock G47791101 31 615 SH SOLE 615 0 0 Inovio Pharmaceuticals, Inc. common stock 45773H201 87 15000 SH SOLE 15000 0 0 Intel Corporation common stock 458140100 27 896 SH SOLE 896 0 0 iShares MSCI Mexico Capped common stock 464286822 505 9800 SH SOLE 9800 0 0 iShares Nasdaq Biotechnology common stock 464287556 11 36 SH SOLE 36 0 0 iShares TIPS Bond common stock 464287176 45 410 SH SOLE 410 0 0 Japan Smaller Capitalization Fund Inc. common stock 47109U104 1325 130294 SH SOLE 130294 0 0 John Hancock Premium Dividend Fund common stock 41013T105 19 1509 SH SOLE 1509 0 0 John Hancock Tax-Advantaged Dividend Income Fund common stock 41013V100 13 655 SH SOLE 655 0 0 Johnson & Johnson common stock 478160104 27 284 SH SOLE 284 0 0 JPMorgan Alerian MLP Index ETN common stock 46625H365 30 1000 SH SOLE 1000 0 0 JPMorgan Chase & Co. common stock 46625H100 39 639 SH SOLE 639 0 0 JPMorgan China Region Fund, Inc. common stock 48126T104 158 11067 SH SOLE 11067 0 0 Karyopharm Therapeutics Inc. common stock 48576U106 51 4868 SH SOLE 4868 0 0 Kayne Anderson Midstream/Energy Fund common stock 48661E108 728 38547 SH SOLE 38547 0 0 Ladenburg Thalman Financial Services Inc. common stock 50575Q102 21 10000 SH SOLE 10000 0 0 Latin American Discovery Fund Inc. common stock 51828C106 6 800 SH SOLE 800 0 0 Legg Mason BW Global Income Opportunities Fund common stock 52469B100 164 14083 SH SOLE 14083 0 0 Lennar Corp. common stock 526057104 2382 49500 SH SOLE 49500 0 0 Liberty All-Star Equity Fund common stock 530158104 4255 837690 SH SOLE 837690 0 0 Liberty All-Star Growth Fund, Inc. common stock 529900102 669 147296 SH SOLE 147296 0 0 Liberty Global PLC common stock G5480U104 30 702 SH SOLE 702 0 0 Liberty LiLAC Group common stock G5480U138 1 41 SH SOLE 41 0 0 Lloyds Banking Group PLC common stock 539439109 23 5072 SH SOLE 5072 0 0 LMP Capital and Income Fund, Inc. common stock 50208A102 411 33771 SH SOLE 33771 0 0 LMP Corporate Loan Fund Inc. common stock 50208B100 31 3000 SH SOLE 3000 0 0 LyondellBasell Industries N.V. common stock N53745100 18 210 SH SOLE 210 0 0 Macquarie Global Infrastructure Total Return Fund Inc. common stock 55608D101 428 22222 SH SOLE 22222 0 0 Magna International Inc. common stock 559222401 15 312 SH SOLE 312 0 0 Mallinckrodt Public Limitied Company common stock G5785G107 18 282 SH SOLE 282 0 0 Mankind Corporation common stock 56400P201 3 1000 SH SOLE 1000 0 0 Market Vectors Gold Miners ETF common stock 57060U100 41 3000 SH SOLE 3000 0 0 Marriott Vacations Worldwide Corp. common stock 57164Y107 204 3000 SH SOLE 3000 0 0 Martin Marietta Materials Inc. common stock 573284106 456 3000 SH SOLE 3000 0 0 MasTec, Inc. common stock 576323109 2136 134927 SH SOLE 134927 0 0 Mattel, Inc. common stock 577081102 24 1151 SH SOLE 1151 0 0 McDonald's Corp. common stock 580135101 43 434 SH SOLE 434 0 0 Merck & Co. Inc. common stock 58933Y105 49 1000 SH SOLE 1000 0 0 Mexico Equity and Income Fund, Inc. common stock 592834105 174 15791 SH SOLE 15791 0 0 MFS High Income Muicipal Trust common stock 59318D104 112 23533 SH SOLE 23533 0 0 MFS High Yield Municipal Trust common stock 59318E102 159 36291 SH SOLE 36291 0 0 MFS Municipal Income Trust common stock 552738106 150 23435 SH SOLE 23435 0 0 Mitsubishi UFJ Financial Group, Inc. common stock 606822104 39 6383 SH SOLE 6383 0 0 Momenta Pharmaceuticals Inc. common stock 60877T100 2 100 SH SOLE 100 0 0 Morgan Stanley Asia Pacific Fund common stock 61744U106 194 14987 SH SOLE 14987 0 0 Morgan Stanley China A Share Fund common stock 617468103 3060 136343 SH SOLE 136343 0 0 Morgan Stanley Emerging Market Debt Fund, Inc. common stock 61744H105 166 19899 SH SOLE 19899 0 0 Morgan Stanley Emerging Markets Domestic Debt Fund common stock 617477104 44 6400 SH SOLE 6400 0 0 Morgan Stanley Emerging Markets Fund, Inc. common stock 61744G107 9 716 SH SOLE 716 0 0 Morgan Stanley Income Securities Inc. common stock 61745P874 67 3843 SH SOLE 3843 0 0 Morgan Stanley India Investment Fund common stock 61745C105 131 4967 SH SOLE 4967 0 0 MVC Capital 7.25% Preferred preferred stock 553829201 3475 147289 SH SOLE 147289 0 0 MVC Capital, Inc. common stock 553829102 21 2618 SH SOLE 2618 0 0 Nasdaq Premium Income & Growth Fund common stock 670699107 446 25887 SH SOLE 25887 0 0 Neuberger Berman High Yield Strategies Fund common stock 64128C106 7 700 SH SOLE 700 0 0 Neuberger Berman Real Estate Securities Income Fund common stock 64190A103 33 7217 SH SOLE 7217 0 0 New Germany Fund, Inc. common stock 644465106 1422 98685 SH SOLE 98685 0 0 New Ireland Fund, Inc. common stock 645673104 131 9732 SH SOLE 9732 0 0 NexPoint Credit Strategies Fund common stock 65340G205 2901 507103 SH SOLE 507103 0 0 NexPoint Residential Trust, Inc. common stock 65341D102 11 833 SH SOLE 833 0 0 NextEra Energy, Inc. common stock 65339F101 1298 13307 SH SOLE 13307 0 0 Nike, Inc. common stock 654106103 34 280 SH SOLE 280 0 0 Norfolk Southern Corp. common stock 655844108 439 5750 SH SOLE 5750 0 0 Norwegian Cruise Line Holdings Ltd. common stock G66721104 2088 36443 SH SOLE 36443 0 0 Nuveen Core Equity Alpha Fund common stock 67090X107 82 5967 SH SOLE 5967 0 0 Nuveen Credit Strategies Income Fund common stock 67073D102 2933 367524 SH SOLE 367524 0 0 Nuveen Diversified Dividend and Income Fund common stock 6706EP105 79 7586 SH SOLE 7586 0 0 Nuveen Dividend Advantage Municipal Fund 2 common stock 67070F100 109 8000 SH SOLE 8000 0 0 Nuveen Dividend Advantage Municipal Fund 3 common stock 67070X101 86 6352 SH SOLE 6352 0 0 Nuveen Dividend Advantage Municipal Income Fund common stock 67071L106 167 12000 SH SOLE 12000 0 0 Nuveen Flexible Investment Income Fund common stock 67075B104 132 8881 SH SOLE 8881 0 0 Nuveen Global Equity Income Fund common stock 6706EH103 10 1000 SH SOLE 1000 0 0 Nuveen Global High Income Fund common stock 67075G103 348 24149 SH SOLE 24149 0 0 Nuveen Multi-Market Income Fund, Inc. common stock 67075J107 865 124459 SH SOLE 124459 0 0 Nuveen Preferred & Income Term Fund common stock 67075A106 30 1350 SH SOLE 1350 0 0 Nuveen Quality Municipal Fund, Inc. common stock 67062N103 117 9000 SH SOLE 9000 0 0 Nuveen Quality Preferred Income Fund 3 common stock 67072W101 618 77064 SH SOLE 77064 0 0 Nuveen S&P 500 Buy-Write Income Fund common stock 6706ER101 291 24065 SH SOLE 24065 0 0 Nuveen S&P 500 Dynamic Overwrite Fund common stock 6706EW100 82 6501 SH SOLE 6501 0 0 Nuveen Select Quality Municipal Fund, Inc. common stock 670973106 103 7690 SH SOLE 7690 0 0 NXP Semiconductors NV common stock N6596X109 35 407 SH SOLE 407 0 0 Occidental Petroleum Corporation common stock 674599105 28 429 SH SOLE 429 0 0 Oxford Lane Capital, 7.50% Pfd Series 2023 preferred stock 691543300 18752 777784 SH SOLE 777784 0 0 Oxford Lane Capital, 8.125% Pfd Series 2024 preferred stock 691543409 11655 462849 SH SOLE 462849 0 0 Pacholder High Yield Fund Inc. common stock 693742108 140 22075 SH SOLE 22075 0 0 PCM Fund Inc. common stock 69323T101 65 6839 SH SOLE 6839 0 0 Pfizer Inc. common stock 717081103 40 1288 SH SOLE 1288 0 0 Philip Morris International, Inc. common stock 718172109 32 402 SH SOLE 402 0 0 PIMCO Corporate & Income Strategy Fund common stock 72200U100 325 24748 SH SOLE 24748 0 0 PIMCO Dynamic Credit Income Fund common stock 72202D106 6695 366429 SH SOLE 366429 0 0 PIMCO Dynamic Income Fund common stock 72201Y101 4646 161319 SH SOLE 161319 0 0 PIMCO Enchanced Short Maturity Active ETF common stock 72201R833 3963 39336 SH SOLE 39336 0 0 PIMCO Income Strategy Fund common stock 72201H108 754 77919 SH SOLE 77919 0 0 PIMCO Income Strategy Fund II common stock 72201J104 325 36740 SH SOLE 36740 0 0 Pioneer Diversified High Income Trust common stock 723653101 3 200 SH SOLE 200 0 0 Pioneer Municipal High Income Trust common stock 723763108 194 15310 SH SOLE 15310 0 0 Popular, Inc. common stock 733174700 877 29000 SH SOLE 29000 0 0 PriceSmart Inc. common stock 741511109 77 1000 SH SOLE 1000 0 0 Prudential PLC common stock 74435K204 25 605 SH SOLE 605 0 0 Prudential Short Duration High Yield Fund, Inc. common stock 74442F107 87 5931 SH SOLE 5931 0 0 Putnam High Income Securities Fund common stock 746779107 1235 175234 SH SOLE 175234 0 0 Putnam Premier Income Trust common stock 746853100 861 176047 SH SOLE 176047 0 0 Quantum Fuel Systems Technologies Worldwide Inc. common stock 74765E307 1 1000 SH SOLE 1000 0 0 Rand Capital Corp. common stock 752185108 8 2000 SH SOLE 2000 0 0 RENN Global Entrepreneurs Fund, Inc. common stock 759720105 112 106588 SH SOLE 106588 0 0 RMR Real Estate Income Fund common stock 76970B101 2498 138294 SH SOLE 138294 0 0 Royal Caribbean Cruises Ltd. common stock V7780T103 2701 30313 SH SOLE 30313 0 0 Royce Global Value Trust, Inc. common stock 78081T104 109 15573 SH SOLE 15573 0 0 Royce Micro-Cap Trust, Inc. common stock 780915104 40 5162 SH SOLE 5162 0 0 Royce Value Trust Inc. common stock 780910105 1808 157186 SH SOLE 157186 0 0 Salient Midstream & MLP Fund common stock 79471V105 3086 220595 SH SOLE 220595 0 0 Schlumberger Limited common stock 806857108 24 353 SH SOLE 353 0 0 Seaboard Corp. common stock 811543107 1786 580 SH SOLE 580 0 0 Seacor Holdings, Inc. common stock 811904101 120 2000 SH SOLE 2000 0 0 Sensata Technologies Holding NV common stock N7902X106 24 539 SH SOLE 539 0 0 Shire PLC common stock 82481R106 28 134 SH SOLE 134 0 0 Silver Wheaton Corp. common stock 828336107 13 1067 SH SOLE 1067 0 0 Simon Property Group Inc. common stock 828806109 42 230 SH SOLE 230 0 0 SK Telecom Co. Ltd. common stock 78440P108 56 2284 SH SOLE 2284 0 0 Source Capital Corp. common stock 836144105 164 2420 SH SOLE 2420 0 0 Spanish Broadcasting System Inc. common stock 846425833 53 10030 SH SOLE 10030 0 0 Spirit Airlines, Inc. common stock 848577102 851 18000 SH SOLE 18000 0 0 Sprott Focus Trust, Inc. common stock 85208J109 302 51112 SH SOLE 51112 0 0 State Street Corporation common stock 857477103 36 536 SH SOLE 536 0 0 Swiss Helvetia Fund Inc. common stock 870875101 25 2316 SH SOLE 2316 0 0 Syngenta AG common stock 87160A100 11 179 SH SOLE 179 0 0 Tahoe Resources Inc. common stock 873868103 247 31900 SH SOLE 31900 0 0 Taiwan Fund, Inc. common stock 874036106 500 34571 SH SOLE 34571 0 0 Taiwan Semiconductor Manufacturing Company Limited common stock 874039100 14 698 SH SOLE 698 0 0 TCW Strategic Income Fund, Inc. common stock 872340104 225 43230 SH SOLE 43230 0 0 Teco Energy, Inc. common stock 872375100 1064 40500 SH SOLE 40500 0 0 Teekay LNG Partners LP common stock Y8564M105 229 9589 SH SOLE 9589 0 0 Tekla Healthcare Investors common stock 87911J103 1818 65883 SH SOLE 65883 0 0 Tekla Healthcare Opportunities Fund common stock 879105104 10015 614424 SH SOLE 614424 0 0 Tekla Life Sciences Investors common stock 87911K100 1 60 SH SOLE 60 0 0 Tekla World Healthcare Fund common stock 87911L108 1455 101183 SH SOLE 101183 0 0 Templeton Dragon Fund, Inc. common stock 88018T101 119 6357 SH SOLE 6357 0 0 Templeton Russia and East European Fund, Inc. common stock 88022F105 29 3000 SH SOLE 3000 0 0 Teva Parmaceutical Industries Limited common stock 881624209 51 899 SH SOLE 899 0 0 Thai Fund, Inc. common stock 882904105 154 21764 SH SOLE 21764 0 0 The Bank of Nova Soctia common stock 064149107 264 6000 SH SOLE 6000 0 0 The Boeing Company common stock 097023105 29 219 SH SOLE 219 0 0 The Coca-Cola Company common stock 191216100 31 763 SH SOLE 763 0 0 The Estee Lauder Companies Inc. common stock 518439104 22 270 SH SOLE 270 0 0 The Herzfeld Caribbean Basin Fund, Inc. common stock 42804T106 2945 420107 SH DFND 318005 102102 0 The Home Depot, Inc. common stock 437076102 35 300 SH SOLE 300 0 0 The Korea Fund, Inc. common stock 500634209 1099 30935 SH SOLE 30935 0 0 The Kraft Heinz Company common stock 500754106 39 555 SH SOLE 555 0 0 The Mexico Fund, Inc. common stock 592835102 87 5000 SH SOLE 5000 0 0 The Procter & Gamble Company common stock 742718109 28 395 SH SOLE 395 0 0 The Western Union Company common stock 959802109 257 14000 SH SOLE 14000 0 0 Thermo Fisher Scientific, Inc. common stock 883556102 39 316 SH SOLE 316 0 0 Tortoise Energy Infrastructure common stock 89147L100 54 2000 SH SOLE 2000 0 0 Tortoise Energy Infrastructure, 3.75% Preferred Series B preferred stock 89147L704 28 2800 SH SOLE 2800 0 0 Tortoise MLP Fund, Inc. common stock 89148B101 388 21178 SH SOLE 21178 0 0 Tortoise Pipeline & Energy Fund common stock 89148H108 3842 214256 SH SOLE 214256 0 0 Tortoise Power and Energy Infrastructure Fund, Inc. common stock 89147X104 165 8802 SH SOLE 8802 0 0 Toyota Motor Corporation common stock 892331307 36 303 SH SOLE 303 0 0 Tri-Continental Corp. common stock 895436103 4981 255411 SH SOLE 255411 0 0 Tri-Continental Corp., $2.50 Cumulative Preferred Stock preferred stock 895436202 25 500 SH SOLE 500 0 0 TripAdvisor Inc. common stock 896945201 12 183 SH SOLE 183 0 0 Turkish Investment Fund, Inc. common stock 900145103 37 4630 SH SOLE 4630 0 0 Ultrapetrol (Bahamas) Ltd. common stock P94398107 15 36000 SH SOLE 36000 0 0 United States Oil ETF common stock 91232N108 15 1000 SH SOLE 1000 0 0 Vanguard Information Technology ETF common stock 92204A702 10 100 SH SOLE 100 0 0 Verizon Communications Inc. common stock 92343V104 29 662 SH SOLE 662 0 0 Vipshop Holdings Limited common stock 92763W103 26 1542 SH SOLE 1542 0 0 Virtus Total Return Fund common stock 92829A103 3065 810751 SH SOLE 810751 0 0 Vodafone Group PLC common stock 92857W308 46 1453 SH SOLE 1453 0 0 Vulcan Materials Company common stock 929160109 357 4000 SH SOLE 4000 0 0 Wal-Mart Stores Inc. common stock 931142103 27 417 SH SOLE 417 0 0 Watsco Inc. common stock 942622200 1197 10100 SH SOLE 10100 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 239 17103 SH SOLE 17103 0 0 Western Asset/Claymore Inflation-Linked Opportunities & Income Fund common stock 95766R104 52 5000 SH SOLE 5000 0 0 Western Asset/Claymore Inflation-Linked Securities & Income Fund common stock 95766Q106 56 5340 SH SOLE 5340 0 0 WisdomTree Japan Hedged Equity common stock 97717W851 7 143 SH SOLE 143 0 0 Zweig Fund, Inc. common stock 989834205 223 17345 SH SOLE 17345 0 0 Zweig Total Return Fund Inc. common stock 989837208 1561 136670 SH SOLE 136670 0 0