President

0001398344-19-002838.txt : 20190214 0001398344-19-002838.hdr.sgml : 20190214 20190214121538 ACCESSION NUMBER: 0001398344-19-002838 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190214 DATE AS OF CHANGE: 20190214 EFFECTIVENESS DATE: 20190214 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: 19603386 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 12-31-2018 12-31-2018 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 02-13-2019 1 294 250701 1 028-00085 Virtus Investment Advisers, Inc. INFORMATION TABLE 2 fp0039664_13fhr-table.xml 13F INFORMATION TABLE Apple Inc COM 037833100 9 58 SH SOLE 58 0 0 ABB Ltd SPONSORED ADR 000375204 4 226 SH SOLE 226 0 0 Accenture PLC Ireland SHS CLASS A G1151C101 6 43 SH SOLE 43 0 0 Automatic Data Processing, Inc. COM 053015103 6 44 SH SOLE 44 0 0 Adams Diversified Equity Fund Inc COM 006212104 2930 232208 SH SOLE 232208 0 0 Aberdeen Emerging Markets Equity Inc. COM 00301W105 93 14684 SH SOLE 14684 0 0 American Electric Power Co Inc COM 025537101 6 83 SH SOLE 83 0 0 AllianceBernstein National Municipal Income Fund Inc COM 01864U106 126 10411 SH SOLE 10411 0 0 Aberdeen Global Dynamic Dividend Fund COM 00302M106 2059 241930 SH OTR 1 133435 108495 0 Apollo Tactical Income Fund Inc COM 037638103 5181 376278 SH OTR 1 250588 125690 0 Allegion PLC ORD SHS G0176J109 6 75 SH SOLE 75 0 0 Amgen Inc COM 031162100 136 700 SH SOLE 700 0 0 America Movil SAB de CV SPON ADR L SHS 02364W105 637 44690 SH SOLE 44690 0 0 Amazon Com Inc COM 023135106 9 6 SH SOLE 6 0 0 Aberdeen Total Dynamic Dividend Fund COM SH BEN INT 00326L100 4197 582116 SH OTR 1 331684 250432 0 The Asia Pacific Fund Inc COM 044901106 47 4150 SH SOLE 4150 0 0 Morgan Stanley Asia-Pacific Fund Inc COM 61744U106 25 1502 SH SOLE 1502 0 0 Ares Dynamic Credit Allocation Fund, Inc. COM 04014F102 1130 81870 SH SOLE 81870 0 0 ASA Gold and Precious Metals Ltd SHS G3156P903 47 5015 SH SOLE 5015 0 0 Liberty All Star Growth Fund Inc COM 529900102 21 4813 SH SOLE 4813 0 0 ASML Holding N V N Y REGISTRY SHS N07059210 16 100 SH SOLE 100 0 0 Grupo Aeroportuario del Sureste SAB de CV SPON ADR SER B 40051E202 994 6600 SH SOLE 6600 0 0 Avianca Holdings SA SPON ADR REP PFD 05367G100 1100 270869 SH SOLE 270869 0 0 Advent Claymore Convertible Securities and Income Fund COM 00764C109 375 29867 SH SOLE 29867 0 0 American Express Co COM 025816109 7 69 SH SOLE 69 0 0 Alibaba Group Holding Limited SPONSORED ADS 01609W102 7 49 SH SOLE 49 0 0 Banco Bradesco S.A. SP ADR PFD 059460303 5 536 SH SOLE 536 0 0 Banco Bilbao Vizcaya Argentaria SA SPONSORED ADR 05946K101 27 5143 SH SOLE 5143 0 0 BlackRock Enhanced Equity Dividend Trust COM 09251A104 12 1500 SH SOLE 1500 0 0 Becton Dickinson & Co COM 075887109 5 24 SH SOLE 24 0 0 BlackRock Calif Mun Income COM SH BEN INT 09248E102 96 8000 SH SOLE 8000 0 0 Blackstone / GSO Strategic Credit Fund COM SHS BEN IN 09257R101 172 12771 SH SOLE 12771 0 0 BHP Billiton Ltd SPONSORED ADR 088606108 6 140 SH SOLE 140 0 0 Baidu Inc SPON ADR REP A 056752108 28 175 SH SOLE 175 0 0 Boulder Growth & Income Fund Inc COM 101507101 11206 1074440 SH OTR 1 761817 312623 0 SPDR Ser Tr SPDR BLOOMBERG 78468R663 999 10919 SH SOLE 10919 0 0 BioMarin Pharmaceutical Inc COM 09061G101 21 251 SH SOLE 251 0 0 Bristol-Myers Squibb Co COM 110122108 88 1700 SH SOLE 1700 0 0 Popular Inc COM NEW 733174700 2608 55230 SH SOLE 55230 0 0 BlackRock Long-Term Municipal Advantage Trust COM 09250B103 160 14998 SH SOLE 14998 0 0 BlackRock Municipal 2030 Target Term Trust COM SHS BEN IN 09257P105 322 15686 SH SOLE 15686 0 0 BrandywineGLOBAL - Global Income Opportunities Fund Inc. COM 10537L104 22 2159 SH SOLE 2159 0 0 BlackRock Maryland Municipal Bond Trust COM 09249L105 185 14151 SH SOLE 14151 0 0 Chubb Ltd COM H1467J104 8 63 SH SOLE 63 0 0 AllianzGI Convertible & Income 2024 Target Term Fund COM 01883H102 558 69865 SH SOLE 69865 0 0 Carnival Corp UNIT 99/99/9999 143658300 962 19518 SH SOLE 19518 0 0 Central and Eastern European Fund Inc COM 153436100 39 1783 SH SOLE 1783 0 0 Sprott Physical Gold and Silver Trust TR UNIT 85208R101 100 8000 SH SOLE 8000 0 0 Celgene Corp COM 151020104 19 300 SH SOLE 300 0 0 Clearbridge MLP and Midstrm COM 184692101 850 81639 SH SOLE 81639 0 0 Central Securities Corp COM 155123102 11356 457367 SH OTR 1 296922 160445 0 Eaton Vance California Municipal Income Trust SH BEN INT 27826F101 121 10947 SH SOLE 10947 0 0 The China Fund Inc COM 169373107 38 2260 SH SOLE 2260 0 0 Bancolombia SA SPON ADR PREF 05968L102 754 19780 SH SOLE 19780 0 0 Credit Suisse Asset Management Income Fund Inc COM 224916106 564 203676 SH SOLE 203676 0 0 Cornerstone Strategic Value Fund Inc COM 21924B302 9576 856541 SH OTR 1 669651 186890 0 MFS High Yield Municipal Trust SH BEN INT 59318E102 106 25367 SH SOLE 25367 0 0 Canadian Natural Resources Ltd COM 136385101 5 211 SH SOLE 211 0 0 Copa Holdings SA CL A P31076105 1915 24329 SH SOLE 24329 0 0 Cornerstone Total Rtrn Fd In COM 21924U300 2794 251518 SH OTR 1 240963 10555 0 Credit Suisse Group AG SPONSORED ADR 225401108 4 353 SH SOLE 353 0 0 The Herzfeld Caribbean Basin Fund Inc COM 42804T106 5720 1167360 SH OTR 667290 500070 0 Consolidated Water Co Ltd ORD G23773107 1418 121638 SH SOLE 121638 0 0 Cemex SAB de CV SPON ADR NEW 151290889 1501 311397 SH SOLE 311397 0 0 MFS High Income Municipal Trust SH BEN INT 59318D104 266 57470 SH SOLE 57470 0 0 MFS Investment Grade Municipal Trust SH BEN INT 59318B108 936 106600 SH SOLE 106600 0 0 Doubleline Opportunitic Cr COM 258623107 547 28863 SH SOLE 28863 0 0 Diageo PLC SPON ADR NEW 25243Q205 18 129 SH SOLE 129 0 0 Flaherty & Crumrine Dynamic Preferred and Income Fund SHS 33848W106 144 7062 SH SOLE 7062 0 0 The Walt Disney Co COM DISNEY 254687106 8 75 SH SOLE 75 0 0 Dreyfus Mun Income Inc COM 26201R102 38 5000 SH SOLE 5000 0 0 Doubleline Income Solutions COM 258622109 3222 185900 SH SOLE 185900 0 0 BlackRock Debt Strategies Fund COM NEW 09255R202 138 14095 SH SOLE 14095 0 0 DowDuPont Inc COM 26078J100 4 75 SH SOLE 75 0 0 Eagle Point Credit Co Inc COM 269808101 921 64818 SH SOLE 64818 0 0 Morgan Stanley Em Mkts Dm De COM 617477104 707 116681 SH SOLE 116681 0 0 New Oriental Education & Technology Group Inc SPON ADR 647581107 4 66 SH SOLE 66 0 0 The European Equity Fund Inc COM 298768102 219 28388 SH SOLE 28388 0 0 Eaton Vance Mun Bd Fd COM 27827X101 221 19593 SH SOLE 19593 0 0 Eaton Vance Mun Bd Fd II COM 27827K109 44 4020 SH SOLE 4020 0 0 Western Asset Emrg Mkt Debt COM 95766A101 47 3811 SH SOLE 3811 0 0 Clearbridge Energy Midstrm O COM 18469P100 28 3542 SH SOLE 3542 0 0 Enzo Biochem Inc COM 294100102 33 11882 SH SOLE 11882 0 0 Equinix Inc COM PAR $0.001 29444U700 30 86 SH SOLE 86 0 0 Equus Total Return Inc COM 294766100 2 1174 SH SOLE 1174 0 0 Era Group Inc COM 26885G109 118 13474 SH SOLE 13474 0 0 Wells Fargo Advantage Multi-Sector Income Fund COM 94987D101 112 10142 SH SOLE 10142 0 0 Embraer S A SP ADR REP 4 COM 29082A107 5 234 SH SOLE 234 0 0 Empire State Realty Trust Inc CL A 292104106 909 63894 SH SOLE 63894 0 0 Eaton Vance Short Duration Diversified Income Fund COM 27828V104 730 58646 SH SOLE 58646 0 0 Eaton Vance Calif Mun Bd Fd COM 27828A100 90 9120 SH SOLE 9120 0 0 Eaton Vance Ohio Municipal Income Trust SH BEN INT 27826G109 122 10074 SH SOLE 10074 0 0 EVERTEC Inc COM 30040P103 613 21356 SH SOLE 21356 0 0 Eaton Vance Limited Duration Income Fund COM 27828H105 1440 120823 SH SOLE 120823 0 0 Eaton Vance Tax Adv Bd Opt S COM SH BEN INT 27829M103 180 21152 SH SOLE 21152 0 0 First Trust Aberdeen Global Opportunity Income Fund COM SHS 337319107 27 2915 SH SOLE 2915 0 0 Aberdeen Asia Pacific In Com COM 003009107 40 10349 SH SOLE 10349 0 0 Fortress Biotech Inc COM 34960Q109 2 2587 SH SOLE 2587 0 0 First BanCorp/Puerto Rico COM NEW 318672706 2318 269477 SH SOLE 269477 0 0 Fresh Del Monte Produce Inc ORD G36738105 1201 42500 SH SOLE 42500 0 0 Flaherty & Crmn Pfd Sec Inc COM 338478100 144 8585 SH SOLE 8585 0 0 First Trust Energy Infrastructure Fund COM 33738C103 702 54190 SH SOLE 54190 0 0 Fiduciary/Claymore MLP Opportunity Fund COM 31647Q106 359 40396 SH SOLE 40396 0 0 Fomento Economico Mexicano SAB de CV SPON ADR UNITS 344419106 1287 14962 SH SOLE 14962 0 0 First Trust Mortgage Income Fund COM SHS 33734E103 300 22901 SH SOLE 22901 0 0 Cohen & Steers Closed-End Opportunity Fund, Inc. COM 19248P106 1857 167481 SH SOLE 167481 0 0 First Tr Inter Dur Pfd & In COM 33718W103 174 8781 SH SOLE 8781 0 0 First Trust High Income Long/Short Fund COM 33738E109 1877 141307 SH SOLE 141307 0 0 Sprott Focus Trust Inc COM 85208J109 170 29407 SH SOLE 29407 0 0 Gabelli Equity Trust Inc COM 362397101 26 5066 SH SOLE 5066 0 0 General American Investors Co Inc COM 368802104 4648 163424 SH OTR 1 117453 45971 0 The GDL Fund COM SH BEN IT 361570104 39 4219 SH SOLE 4219 0 0 The Gabelli Dividend & Income Trust COM 36242H104 54 2930 SH SOLE 2930 0 0 VanEck Vectors Gold Miners ETF GOLD MINERS ETF 92189F106 64 3039 SH SOLE 3039 0 0 The New Germany Fund Inc COM 644465106 1609 137543 SH OTR 1 53327 84216 0 Western Asset Variable Rate COM 957667108 20 1308 SH SOLE 1308 0 0 PGIM Global Short Duration High Yield Fund, Inc. COM 69346J106 3627 280738 SH SOLE 280738 0 0 Goldman Sachs MLP Income Opportunities Fund COM SHS 38147W103 10 1451 SH SOLE 1451 0 0 The Gabelli Healthcare & WellnessRx Trust SHS 36246K103 2239 242102 SH OTR 1 149709 92393 0 GW Pharmaceuticals PLC ADS 36197T103 4 41 SH SOLE 41 0 0 The Home Depot Inc COM 437076102 10 56 SH SOLE 56 0 0 Highland Floating Rate Opportunities Fund SHS BEN INT 43010E404 10613 829179 SH OTR 629642 199537 0 Pioneer Diversified High Income Trust COM 723653101 385 29649 SH SOLE 29649 0 0 Tekla Healthcare Investors SH BEN INT 87911J103 522 29108 SH SOLE 29108 0 0 Tekla Life Science Investors SH BEN INT 87911K100 598 39546 SH SOLE 39546 0 0 HSBC Holdings plc SPON ADR 404280406 5 124 SH SOLE 124 0 0 iShares Nasdaq Biotechnology ETF NASDAQ BIOTECH 464287556 492 5100 SH SOLE 5100 0 0 ICICI Bank Ltd ADR 45104G104 33 3212 SH SOLE 3212 0 0 The India Fund Inc COM 454089103 1494 73790 SH OTR 1 48003 25787 0 iShares U.S. Medical Devices ETF U.S. MED DVC ETF 464288810 569 2850 SH SOLE 2850 0 0 Morgan Stanley India Investment Fund Inc COM 61745C105 1096 54645 SH OTR 1 4645 50000 0 Incyte Corp COM 45337C102 15 242 SH SOLE 242 0 0 HIS Markit Ltd SHS G47567105 5 98 SH SOLE 98 0 0 ING Groep NV SPONSORED ADR 456837103 4 405 SH SOLE 405 0 0 Inovio Pharmaceuticals Inc COM NEW 45773H201 20 5000 SH SOLE 5000 0 0 Intuit COM 461202103 5 26 SH SOLE 26 0 0 The New Ireland Fund Inc COM 645673104 9 1084 SH SOLE 1084 0 0 PGIM Short Duration High Yield Fund, Inc. COM 69346H100 5757 441862 SH OTR 1 345806 96056 0 Itau Unibanco Holding S.A. SPON ADR REP PFD 465562106 12 1300 SH SOLE 1300 0 0 Ivy High Income Opportunities Fund COM 465893105 345 28424 SH SOLE 28424 0 0 IShares Tr RUSSELL 3000 ETF 464287689 169 1150 SH SOLE 1150 0 0 Nuveen Core Equity Alpha Fund COM 67090X107 30 2462 SH SOLE 2462 0 0 Aberdeen Japan Equity Fund Inc COM 00306J109 1741 268226 SH OTR 1 175308 92918 0 Nuveen Floating Rate Income Fund COM 67072T108 709 76857 SH SOLE 76857 0 0 Nuveen Global High Income Fund SHS 67075G103 121 8839 SH SOLE 8839 0 0 Nuveen Multi-Market Income Fund Inc COM 67075J107 714 104289 SH SOLE 104289 0 0 Johnson & Johnson COM 478160104 11 82 SH SOLE 82 0 0 Japan Smaller Capitalization Fund Inc COM 47109U104 702 84390 SH OTR 1 52180 32210 0 Jupai Holdings Limited COM 67073B106 71 8521 SH SOLE 8521 0 0 JPMorgan Chase & Co COM 46625H100 10 106 SH SOLE 106 0 0 Nuveen Credit Strategies Income Fund COM SHS 67073D102 8568 1157860 SH OTR 1 826917 330943 0 Nuveen Real Asset Income and Growth Fund COM 67074Y105 91 6686 SH SOLE 6686 0 0 Nuveen Floating Rate Income Opportunity Fund COM SHS 6706EN100 2521 279465 SH OTR 1 148865 130600 0 The Korea Fund Inc COM NEW 500634209 77 2745 SH SOLE 2745 0 0 KKR Income Opportunities Fund COM 48249T106 605 42491 SH SOLE 42491 0 0 Kayne Anderson Midstream/Energy Fund Inc COM 48661E108 1538 159417 SH OTR 1 88108 71309 0 Karyopharm Therapeutics Inc COM 48576U106 14 1500 SH SOLE 1500 0 0 Kayne Anderson MLP Investment Company COM 486606106 1585 115173 SH OTR 1 57292 57881 0 Lennar Corp CL A 526057104 1938 49500 SH SOLE 49500 0 0 Dreyfus Strategic Municipals, Inc. COM 261932107 508 70800 SH SOLE 70800 0 0 LivaNova PLC SHS G5509L101 762 8330 SH SOLE 8330 0 0 Eli Lilly & Co COM 532457108 69 600 SH SOLE 600 0 0 Lululemon Athletica Inc COM 550021109 4 37 SH SOLE 37 0 0 Pioneer Municipal High Income Advantage Trust COM 723762100 1 105 SH SOLE 105 0 0 McDonald's Corp COM 580135101 9 50 SH SOLE 50 0 0 SPDR S&P MidCap 400 ETF Tr UTSER1 S&PDCRP 78467Y107 45 150 SH SOLE 150 0 0 MFS Municipal Income Trust SH BEN INT 552738106 333 54167 SH SOLE 54167 0 0 Macquarie Global Infrastructure Total Return Fund Inc COM 55608D101 96 5086 SH SOLE 5086 0 0 BlackRock Mass Tax- Exempt Tr COM SH BEN INT 09258E109 33 2987 SH SOLE 2987 0 0 Pioneer Municipal High Income Trust COM SHS 723763108 331 30188 SH SOLE 30188 0 0 Cohen & Steers MLP Income and Energy Opportunity Fund Inc COM SHS 19249B106 437 58313 SH SOLE 58313 0 0 PIMCO Enhanced Short Maturity Active Exchange-Traded Fund ENHAN SHRT MA AC 72201R833 1959 19402 SH SOLE 19402 0 0 Martin Marietta Materials Inc COM 573284106 516 3000 SH SOLE 3000 0 0 MainStay DefinedTerm Municipal Opportunities Fund COM 56064K100 75 3863 SH SOLE 3863 0 0 3M Co COM 88579Y101 6 29 SH SOLE 29 0 0 BlackRock Muni New York Intermediate Duration Fund Inc COM 09255F109 1 100 SH SOLE 100 0 0 Merck & Co Inc COM 58933Y105 153 2000 SH SOLE 2000 0 0 Microsoft Corp COM 594918104 12 121 SH SOLE 121 0 0 MasTec Inc COM 576323109 4758 117297 SH SOLE 117297 0 0 BlackRock Munihldngs Cali QL COM 09254L107 173 14050 SH SOLE 14050 0 0 Mitsubishi UFJ Financial Group Inc SPONSORED ADS 606822104 7 1477 SH SOLE 1477 0 0 BlackRock Munihldgs Fd II In COM 09253P109 107 8242 SH SOLE 8242 0 0 BlackRock Muni Intermediate Duration Fund Inc COM 09253X102 367 28991 SH SOLE 28991 0 0 MVC Capital Inc COM 553829102 11 1381 SH SOLE 1381 0 0 The Mexico Equity & Income Fund Inc COM 592834105 537 53361 SH OTR 1 26941 26420 0 Nuveen Taxable Municpl Incm COM 67074C103 742 38349 SH SOLE 38349 0 0 Norwegian Cruise Line Holdings Ltd SHS G66721104 2414 56944 SH SOLE 56944 0 0 Nuveen AMT-Free Quality Municipal Income Fund COM 670657105 82 6693 SH SOLE 6693 0 0 NextEra Energy Inc COM 65339F101 1051 6045 SH SOLE 6045 0 0 AllianzGI NFJ Dividend Interest & Premium Strategy Fund COM 01883A107 414 38787 SH OTR 1 80 38707 0 Nuveen Preferred Income Opportunities Fund SPONSORED ADR 636274409 8 159 SH SOLE 159 0 0 NexPoint Credit Strategies Fund COM NEW 65340G205 14509 728009 SH OTR 1 495250 232759 0 Nuveen California Amt Qlt Mu COM 670651108 127 10000 SH SOLE 10000 0 0 Neuberger Berman MLP Income Fund Inc COM 64129H104 1151 172034 SH SOLE 172034 0 0 Nuveen Massachusets Qlt Mun COM 67061E104 35 2983 SH SOLE 2983 0 0 Northrop Grumman Corporation COM 666807102 6 26 SH SOLE 26 0 0 NuStar Energy L.P. COM 67067Y104 8 1400 SH SOLE 1400 0 0 Tortoise MLP Fund, Inc COM 89148B101 14 1164 SH SOLE 1164 0 0 Novartis AG SPONSORED ADR 66987V109 50 586 SH SOLE 586 0 0 Nuveen New Jersey Quality Municipal Income Fund COM 67069Y102 82 6456 SH SOLE 6456 0 0 Nuveen Select Tax-Free Income Portfolio SH BEN INT 67062F100 109 7740 SH SOLE 7740 0 0 Nuveen Select Tax-Free Income 3 Portfolio SH BEN INT 67063X100 112 7810 SH SOLE 7810 0 0 OFS Credit Company Inc COM 67111Q107 4347 284836 SH OTR 1 252015 32821 0 Rivernorth Doubleline Strate COM 76882G107 356 21932 SH SOLE 21932 0 0 Orange S.A. SPONSORED ADR 684060106 8 464 SH SOLE 464 0 0 Invesco Exchng Traded Fd Tr CEF INM COMPSI 46138E404 7173 354550 SH SOLE 354550 0 0 PIMCO Dynamic Credit and Mortgage Income Fund COM SHS 72202D106 9609 456462 SH OTR 1 363273 93189 0 PIMCO California Municipal Income Fund II COM 72200M108 695 88805 SH SOLE 88805 0 0 Adams Natural Resources Fund Inc COM 00548F105 2407 165180 SH OTR 1 36560 128620 0 PepsiCo, Inc. 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COM 800677106 57 5000 SH SOLE 5000 0 0 SK Telecom Co Ltd SPONSORED ADR 78440P108 6 224 SH SOLE 224 0 0 Sumitomo Mitsui Finl Group I SPONSORED ADR 86562M209 4 653 SH SOLE 653 0 0 Salient Midstream & MLP Fund SH BEN INT 79471V105 1309 177085 SH OTR 1 57154 119931 0 Sony Corp SPONSORED ADR 835699307 33 690 SH SOLE 690 0 0 China Petroleum & Chemical Corp SPON ADR H SHS 16941R108 4 60 SH SOLE 60 0 0 Sanofi SPONSORED ADR 80105N105 8 173 SH SOLE 173 0 0 Source Capital Inc COM 836144105 1902 58440 SH OTR 1 37557 20883 0 Special Opportunities Fund Inc COM 84741T104 508 42866 SH SOLE 42866 0 0 Simon Property Group Inc COM 828806109 8 46 SH SOLE 46 0 0 SPDR S&P 500 ETF Tr TR UNIT 78462F103 55 220 SH SOLE 220 0 0 The Cushing MLP Total Return Fund COM NEW 231631201 59 6909 SH SOLE 6909 0 0 Suncor Energy Inc COM 867224107 29 1049 SH SOLE 1049 0 0 Firsthand Technology Value Fund, Inc. COM 33766Y100 424 37849 SH SOLE 37849 0 0 ProShares Short VIX Short-Term Futures ETF SHT VIX ST TRM 74347W130 8 194 SH SOLE 194 0 0 Stryker Corporation COM 863667101 7 43 SH SOLE 43 0 0 Takeda Pharmaceutical Co Ltd SPONSORED ADR 874060205 67 4000 SH SOLE 4000 0 0 The Toronto-Dominion Bank COM NEW 891160509 7 133 SH SOLE 133 0 0 Templeton Dragon Fund Inc COM 88018T101 356 20955 SH OTR 1 1300 19655 0 Tekla Healthcare Opportunities Fund SHS 879105104 7672 457233 SH OTR 1 310203 147030 0 Tekla World Healthcare Fund BEN INT SHS 87911L108 4250 366695 SH OTR 1 208042 158653 0 iShares TIPS Bond ETF TIPS BD ETF 464287176 45 410 SH SOLE 410 0 0 TJX Cos Inc COM 872540109 5 116 SH SOLE 116 0 0 Tortoise Power and Energy Infrastructure Fund Inc COM 89147X104 1813 113712 SH OTR 1 52453 61259 0 The Travelers Companies, Inc. COM 89417E109 3 29 SH SOLE 29 0 0 TCW Strategic Income Fund Inc COM 872340104 11 2000 SH SOLE 2000 0 0 Taiwan Semiconductor Manufacturing Company Limited SPONSORED ADR 874039100 8 205 SH SOLE 205 0 0 Tortoise Pipeline & Energy Fund Inc COM 89148H108 1570 126485 SH OTR 1 58817 67668 0 Grupo Televisa SAB SPON ADR REP ORD 40049J206 357 28400 SH SOLE 28400 0 0 The Taiwan Fund Inc COM 874036106 1813 119565 SH OTR 1 34210 85355 0 Tri-Continental Corp COM 895436103 85 3617 SH SOLE 3617 0 0 Tortoise Energy Infrastructure Corporation COM 89147L100 1732 87031 SH OTR 1 59269 27762 0 Unilever N.V. N Y SHS NEW 904784709 10 185 SH SOLE 185 0 0 UnitedHealth Group Inc COM 91324P102 11 43 SH SOLE 43 0 0 Liberty All Star Equity Fund SH BEN INT 530158104 77 14258 SH SOLE 14258 0 0 United States Oil Fund LP UNITS 91232N108 10 1000 SH SOLE 1000 0 0 United Technologies Corp COM 913017109 7 68 SH SOLE 68 0 0 Visa Inc COM CL A 92826C839 11 82 SH SOLE 82 0 0 Marriott Vacations Worldwide Corp COM 57164Y107 1181 16745 SH SOLE 16745 0 0 Vale SA ADR 91912E105 7 527 SH SOLE 527 0 0 Invesco Calif Value Mun Inc COM 46132H106 68 6000 SH SOLE 6000 0 0 Vulcan Materials Co COM 929160109 494 5000 SH SOLE 5000 0 0 Delaware Investments Minnesota Municipal Income Fund II Inc COM 24610V103 51 4272 SH SOLE 4272 0 0 Invesco Municipal Opportunity Trust COM 46132C107 259 23131 SH SOLE 23131 0 0 Invesco Dynamic Credit Opportunities Fund COM 46132R104 1371 133528 SH SOLE 133528 0 0 Invesco Senior Income Trust COM 46131H107 1742 445652 SH SOLE 445652 0 0 Vanguard Intl Equity Index F FTSE EMR MKT ETF 922042858 76 1986 SH SOLE 1986 0 0 Verizon Communications Inc COM 92343V104 5 96 SH SOLE 96 0 0 Western Asset/Claymore Inflation-Linked Securities & Income Fund COM SH BEN INT 95766Q106 266 25121 SH SOLE 25121 0 0 Western Asset/Claymore Inflation-Linked Opportunities & Income Fund COM 95766R104 52 5087 SH SOLE 5087 0 0 Waste Management, Inc. COM 94106L109 4 45 SH SOLE 45 0 0 Wal-Mart Stores Inc COM 931142103 8 86 SH SOLE 86 0 0 Watsco Inc COM 942622200 1113 8000 SH SOLE 8000 0 0 Vaneck Vectors ETF Tr CEF MUN INCOME E 92189F460 595 24900 SH SOLE 24900 0 0 Exxon Mobil Corp COM 30231G102 5 73 SH SOLE 73 0 0 Virtus Total Return Fund Inc COM 92837G100 24 2721 SH SOLE 2721 0 0 Zoetis Inc. CL A 98978V103 7 85 SH SOLE 85 0 0