0001398344-21-003396.txt : 20210216
0001398344-21-003396.hdr.sgml : 20210216
20210216105843
ACCESSION NUMBER: 0001398344-21-003396
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20201231
FILED AS OF DATE: 20210216
DATE AS OF CHANGE: 20210216
EFFECTIVENESS DATE: 20210216
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: 21634219
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
12-31-2020
12-31-2020
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
02-12-2021
0
298
214260
INFORMATION TABLE
2
fp0062310_13fhr-table.xml
13F INFORMATION TABLE
Abbott Laboratories
COM
002824100
8
73
SH
SOLE
73
0
0
AbbVie, Inc.
COM
00287Y109
11
99
SH
SOLE
99
0
0
Aberdeen Asia Pacific In Com
COM
003009107
5278
1186090
SH
SOLE
1186090
0
0
Aberdeen Emerging Markets Equity Inc.
COM
00301W105
6
768
SH
SOLE
768
0
0
Aberdeen Global Dynamic Dividend Fund
COM
00302M106
1271
121706
SH
SOLE
121706
0
0
Aberdeen Global Premier Properties Fund
COM SH BEN INT
00302L108
1839
349655
SH
SOLE
349655
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
3457
390635
SH
SOLE
390635
0
0
Activision Blizzard, Inc.
COM
00507V109
3
27
SH
SOLE
27
0
0
Adams Diversified Equity Fund Inc
COM
006212104
3169
183285
SH
SOLE
183285
0
0
Adams Natural Resources Fund Inc
COM
00548F105
78
6882
SH
SOLE
6882
0
0
Adobe Systems, Inc.
COM
00724F101
4
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
7
100
SH
SOLE
100
0
0
AllianceBernstein National Municipal Income Fund Inc
COM
01864U106
182
12615
SH
SOLE
12615
0
0
AllianceBernstern Global High Income Fund
COM
01879R106
783
66490
SH
SOLE
66490
0
0
AllianzGI Artificial Intelligence Opp Fund
COM
01883M101
2935
111312
SH
SOLE
111312
0
0
Alphabet, Inc. Cl C
CL C
02079K107
12
7
SH
SOLE
7
0
0
Amazon Com Inc
COM
023135106
16
5
SH
SOLE
5
0
0
America Movil SAB de CV
SPON ADR L SHS
02364W105
159
10948
SH
SOLE
10948
0
0
American Tower Corporation
COM
03027X100
4
20
SH
SOLE
20
0
0
Amgen Inc
COM
031162100
165
717
SH
SOLE
717
0
0
Anheuser-Busch Inbev SA/NV ADR
SPONSORED ADR
03524A108
3
36
SH
SOLE
36
0
0
Apex Technology Acquisition
COM CL A
03768F102
23
1500
SH
SOLE
1500
0
0
Apollo Tactical Income Fund Inc
COM
037638103
4254
293759
SH
SOLE
293759
0
0
Apple Inc
COM
037833100
2
17
SH
SOLE
17
0
0
ASA Gold and Precious Metals Ltd
SHS
G3156P103
110
5031
SH
SOLE
5031
0
0
ASML Holding N V
N Y REGISTRY SHS
N07059210
14
28
SH
SOLE
28
0
0
AstraZeneca Group plc ADR
SPONSORED ADR
046353108
5
99
SH
SOLE
99
0
0
Autodesk, Inc.
COM
052769106
2
7
SH
SOLE
7
0
0
Automatic Data Processing, Inc.
COM
053015103
9
51
SH
SOLE
51
0
0
Bancolombia SA
SPON ADR PREF
05968L102
935
23280
SH
SOLE
23280
0
0
BeiGene, Ltd.
SPONSORED ADR
07725L102
3
11
SH
SOLE
11
0
0
BlackRock Calif Mun Income
COM SH BEN INT
09248E102
756
53112
SH
SOLE
53112
0
0
BlackRock Debt Strategies Fund
COM NEW
09255R202
82
7820
SH
SOLE
7820
0
0
BlackRock Enhanced Equity Dividend Trust
COM
09251A104
15
1747
SH
SOLE
1747
0
0
BlackRock Enhanced International Dividend Trust
COM BENE INTER
092524107
2185
372212
SH
SOLE
372212
0
0
BlackRock Health Sciences Trust II
COM SHS
09260E105
966
33722
SH
SOLE
33722
0
0
BlackRock Muni Intermediate Duration Fund Inc
COM
09253X102
198
13284
SH
SOLE
13284
0
0
BlackRock Munihldngs Cali QL
COM
09254L107
174
11572
SH
SOLE
11572
0
0
BlackRock Science and Technology Trust II
SHS BEN INT
09260K101
3275
90012
SH
SOLE
90012
0
0
BlackRock, Inc.
COM
09247X101
17
24
SH
SOLE
24
0
0
Blackstone / GSO Long-Short Credit Income Fund
COM SHS BN INT
09257D102
64
4748
SH
SOLE
4748
0
0
Boston Scientific Corp.
COM
101137107
5
129
SH
SOLE
129
0
0
Boulder Growth & Income Fund Inc
COM
101507101
4850
435346
SH
SOLE
435346
0
0
BrandywineGLOBAL - Global Income Opportunities Fund Inc.
COM
10537L104
1598
127976
SH
SOLE
127976
0
0
Bristol-Myers Squibb Co
COM
110122108
105
1700
SH
SOLE
1700
0
0
Bristow Group, Inc.
COM
11040G103
118
4491
SH
SOLE
4491
0
0
British American Tobacco PLC
SPONSORED ADR
110448107
5
141
SH
SOLE
141
0
0
Broadcom, Inc.
COM
11135F101
19
44
SH
SOLE
44
0
0
Cadence Design Systems, Inc.
COM
127387108
42
307
SH
SOLE
307
0
0
Canadian National Railway Company
COM
136375102
54
489
SH
SOLE
489
0
0
Carnival Corp
UNIT 99/99/9999
143658300
554
25559
SH
SOLE
25559
0
0
Cemex SAB de CV
SPON ADR NEW
151290889
1141
220645
SH
SOLE
220645
0
0
Center Coast Brkfld MLP Enrg
SHS BEN INT
151461209
97
10259
SH
SOLE
10259
0
0
Central and Eastern European Fund Inc
COM
153436100
5
222
SH
SOLE
222
0
0
Central Securities Corp
COM
155123102
5455
167113
SH
SOLE
167113
0
0
Chevron Corp.
COM
166764100
7
77
SH
SOLE
77
0
0
Chubb Ltd
COM
H1467J104
5
35
SH
SOLE
35
0
0
Cisco Systems, Inc.
COM
17275R102
10
219
SH
SOLE
219
0
0
Clearbridge ML And Midstrm
COM
184692200
395
23517
SH
SOLE
23517
0
0
Coca-Cola Co. (The)
COM
191216100
4
68
SH
SOLE
68
0
0
Comcast Corp. Cl A Common Stock
CL A
20030N101
6
114
SH
SOLE
114
0
0
Consolidated Water Co Ltd
ORD
G23773107
709
58877
SH
SOLE
58877
0
0
Copa Holdings SA
CL A
P31076105
1564
20250
SH
SOLE
20250
0
0
Cornerstone Strategic Value Fund Inc
COM
21924B302
3032
258526
SH
SOLE
258526
0
0
Cornerstone Total Rtrn Fd In
COM
21924U300
1511
132550
SH
SOLE
132550
0
0
Costco Wholesale Corp.
COM
22160K105
4
11
SH
SOLE
11
0
0
CRISPR Therapeutics AG
NAMEN AKT
H17182108
3
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
147
11218
SH
SOLE
11218
0
0
Deutsche Municipal Income Trust
COM
233368109
275
23630
SH
SOLE
23630
0
0
DTF Tax-Free Income Inc
COM
23334J107
105
7072
SH
SOLE
7072
0
0
DWS Strategic Municipal Income Trust
COM
23342Q101
57
5000
SH
SOLE
5000
0
0
Eaton Corp. plc (Ireland)
SHS
G29183103
4
35
SH
SOLE
35
0
0
Eaton Vance Fltg Rate Incom
COM SHS BEN INT
278284104
892
57344
SH
SOLE
57344
0
0
Eaton Vance Flting Rate Inc
COM
278279104
1189
90316
SH
SOLE
90316
0
0
Eaton Vance Limited Duration Income Fund
COM
27828H105
8943
713715
SH
SOLE
713715
0
0
Eaton Vance Muni Income Trust
SH BEN INT
27826U108
107
8034
SH
SOLE
8034
0
0
Eaton Vance New York Mun Bd
COM
27827Y109
257
20893
SH
SOLE
20893
0
0
Eaton Vance New York Mun Inc
SH BEN INT
27826W104
302
21575
SH
SOLE
21575
0
0
Eaton Vance Short Duration Diversified Income Fund
COM
27828V104
1149
93001
SH
SOLE
93001
0
0
Eli Lilly & Co
COM
532457108
108
642
SH
SOLE
642
0
0
Empire State Realty Trust Inc
CL A
292104106
689
73894
SH
SOLE
73894
0
0
Equifax, Inc.
COM
294429105
2
11
SH
SOLE
11
0
0
Equinix Inc
COM PAR $0.001
29444U700
4
5
SH
SOLE
5
0
0
Eversource Energy
COM
30040W108
2
18
SH
SOLE
18
0
0
EVERTEC Inc
COM
30040P103
667
16956
SH
SOLE
16956
0
0
Facebook, Inc.
CL A
30303M102
15
54
SH
SOLE
54
0
0
Fiduciary Claymore Engry Inf
COM
31647Q205
75
12995
SH
SOLE
12995
0
0
Finserv Acquisition Corp
CL A
318085107
18
1408
SH
SOLE
1408
0
0
First BanCorp/Puerto Rico
COM NEW
318672706
2669
289477
SH
SOLE
289477
0
0
First Tr Inter Dur Pfd & In
COM
33718W103
668
27785
SH
SOLE
27785
0
0
First Trust Aberdeen Global Opportunity Income Fund
COM SHS
337319107
67
6387
SH
SOLE
6387
0
0
First Trust High Income Long/Short Fund
COM
33738E109
1568
106139
SH
SOLE
106139
0
0
Firsthand Technology Value Fund, Inc.
COM
33766Y100
85
19078
SH
SOLE
19078
0
0
Fisker Inc
CL A COM STK
33813J106
15
1000
SH
SOLE
1000
0
0
Fisker Inc
W EXP 12/01/202
33813J114
15
3000
SH
SOLE
3000
0
0
Fomento Economico Mexicano SAB de CV
SPON ADR UNITS
344419106
1107
14610
SH
SOLE
14610
0
0
Gabelli Equity Trust Inc
COM
362397101
39
6254
SH
SOLE
6254
0
0
Gabelli Global Small & Mid C
COM
36249W104
2
133
SH
SOLE
133
0
0
General American Investors Co Inc
COM
368802104
2773
74560
SH
SOLE
74560
0
0
GoDaddy, Inc.
CL A
380237107
3
32
SH
SOLE
32
0
0
Golden Nugget Online Gamin
W EXP 05/09/202
38113L115
14
1500
SH
SOLE
1500
0
0
Goldman Sachs Group, Inc. (The)
COM
38141G104
2
7
SH
SOLE
7
0
0
Grupo Aeroportuario del Sureste SAB de CV
SPON ADR SER B
40051E202
1089
6600
SH
SOLE
6600
0
0
Grupo Televisa SAB
SPON ADR REP ORD
40049J206
155
18854
SH
SOLE
18854
0
0
Highland Floating Rate Opportunities Fund
SHS BEN INT
43010E404
21925
2132827
SH
SOLE
2132827
0
0
Hilton, Inc
COM
43300A203
3
26
SH
SOLE
26
0
0
Honeywell Intl, Inc.
COM
438516106
14
64
SH
SOLE
64
0
0
ICICI Bank Ltd
ADR
45104G104
3
210
SH
SOLE
210
0
0
IDEX Corp.
COM
45167R104
4
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
44
5000
SH
SOLE
5000
0
0
Insulet Corp.
COM
45784P101
3
11
SH
SOLE
11
0
0
Intercontinental Exchange Group, Inc.
COM
45866F104
3
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
9
11
SH
SOLE
11
0
0
Invesco Dynamic Credit Opportunities Fund
COM
46132R104
1861
173232
SH
SOLE
173232
0
0
Invesco Exch Traded Fd Tr II
CEF INM COMPSI
46138E404
816
36377
SH
SOLE
36377
0
0
Invesco QQQ Tr
UNIT SER 1
46090E103
85
270
SH
SOLE
270
0
0
iShares Nasdaq Biotechnology ETF
NASDAQ BIOTECH
464287556
841
5550
SH
SOLE
5550
0
0
Ishares Tr 13 Yr
1 3 YR TREAS BD
464287457
646
7481
SH
SOLE
7481
0
0
iShares U.S. Medical Devices ETF
U.S. MED DVC ETF
464288810
1006
3075
SH
SOLE
3075
0
0
Japan Smaller Capitalization Fund Inc
COM
47109U104
3
321
SH
SOLE
321
0
0
Johnson & Johnson
COM
478160104
2
15
SH
SOLE
15
0
0
JPMorgan Chase & Co
COM
46625H100
24
188
SH
SOLE
188
0
0
Karyopharm Therapeutics Inc
COM
48576U106
23
1500
SH
SOLE
1500
0
0
Kayne Anderson Energy Infrst
COM
486606106
1801
313222
SH
SOLE
313222
0
0
Kayne Anderson NextGen Enrgy
COM
48661E108
564
98109
SH
SOLE
98109
0
0
Lennar Corp
CL A
526057104
1029
13500
SH
SOLE
13500
0
0
Liberty All Star Equity Fund
SH BEN INT
530158104
34
4880
SH
SOLE
4880
0
0
Liberty All Star Growth Fund Inc
COM
529900102
46
5649
SH
SOLE
5649
0
0
Linde plc
SHS
G5494J103
3
10
SH
SOLE
10
0
0
LivaNova PLC
SHS
G5509L101
552
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
15
SH
SOLE
0
0
0
Marriott Vacations Worldwide Corp
COM
57164Y107
926
6745
SH
SOLE
6745
0
0
Marsh & McLennan Companies, Inc.
COM
571748102
8
68
SH
SOLE
68
0
0
Martin Marietta Materials Inc
COM
573284106
852
3000
SH
SOLE
3000
0
0
Marvell Technology Group Ltd
ORD SHS
G5876H105
22
471
SH
SOLE
471
0
0
MasTec Inc
COM
576323109
6068
89007
SH
SOLE
89007
0
0
MasterCard, Inc.
CL A
57636Q104
51
142
SH
SOLE
142
0
0
McDonald's Corp
COM
580135101
9
42
SH
SOLE
42
0
0
Medtronic plc
SHS
G5960L103
9
73
SH
SOLE
73
0
0
MercadoLibre, Inc.
COM
58733R102
7
4
SH
SOLE
4
0
0
Merck & Co Inc
COM
58933Y105
230
2807
SH
SOLE
2807
0
0
MFS Inter Income Tr
SH BEN INT
55273C107
791
207600
SH
SOLE
207600
0
0
MFS Investment Grade Municipal Trust
SH BEN INT
59318B108
583
59454
SH
SOLE
59454
0
0
MFS Multimarket Income Tr
SH BEN INT
552737108
1363
223008
SH
SOLE
223008
0
0
MFS Municipal Income Trust
SH BEN INT
552738106
122
18322
SH
SOLE
18322
0
0
Microsoft Corp
COM
594918104
30
135
SH
SOLE
135
0
0
Mondelez International, Inc.
CL A
609207105
39
670
SH
SOLE
670
0
0
Moody's Corp.
COM
615369105
4
15
SH
SOLE
15
0
0
Morgan Stanley China A Sh Fd
COM
617468103
2
99
SH
SOLE
99
0
0
Morgan Stanley India Investment Fund Inc
COM
61745C105
3
163
SH
SOLE
163
0
0
Netflix, Inc.
COM
64110L106
8
15
SH
SOLE
15
0
0
Neuberger Berman MLP Income Fund Inc
COM
64129H104
934
277187
SH
SOLE
277187
0
0
New Fortress Energy Inc
CL A
644393100
1497
27943
SH
SOLE
27943
0
0
NexPoint Credit Strategies Fund
COM NEW
65340G205
21234
2018397
SH
SOLE
2018397
0
0
NextEra Energy Inc
COM
65339F101
1870
24236
SH
SOLE
24236
0
0
Nike, Inc.
CL B
654106103
6
43
SH
SOLE
43
0
0
Norwegian Cruise Line Holdings Ltd
SHS
G66721104
2205
86717
SH
SOLE
86717
0
0
Novartis AG
SPONSORED ADR
66987V109
116
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
82
5000
SH
SOLE
5000
0
0
Nuveen AMT-Free Quality Municipal Income Fund
COM
670657105
99
6528
SH
SOLE
6528
0
0
Nuveen Core Equity Alpha Fund
COM
67090X107
40
2869
SH
SOLE
2869
0
0
Nuveen Credit Strategies Income Fund
COM SHS
67073D102
5639
890783
SH
SOLE
890783
0
0
Nuveen Fltng Rte Incm Opp Fd
COM SHS
6706EN100
582
67181
SH
SOLE
67181
0
0
Nuveen Mortgage and Income Fund
COM
670735109
1530
77384
SH
SOLE
77384
0
0
Nuveen Multi-Market Income Fund Inc
COM
67075J107
49
6800
SH
SOLE
6800
0
0
Nuveen NASDAQ 100 Dynamic Overwrite Fund
COM SHS
670699107
49
1878
SH
SOLE
1878
0
0
Nuveen New Jersey Quality Municipal Income Fund
COM
67069Y102
93
6456
SH
SOLE
6456
0
0
Nuveen Ohio Qlty Mun Income
COM
670980101
254
16206
SH
SOLE
16206
0
0
Nuveen Pfd & Income Opportun
COM
67073B106
27
2790
SH
SOLE
2790
0
0
Nuveen Quality Municipal Income Fund
COM
67066V101
186
12102
SH
SOLE
12102
0
0
Nuveen Real Asset Income and Growth Fund
COM
67074Y105
2508
186323
SH
SOLE
186323
0
0
Nuveen Tax-Advanteaged Divid
COM
67073G105
846
59524
SH
SOLE
59524
0
0
OFS Credit Company Inc
COM
67111Q107
767
61519
SH
SOLE
61519
0
0
Otis Worldwide Corp
COM
68902V107
35
518
SH
SOLE
518
0
0
Paychex, Inc
COM
704326107
10
102
SH
SOLE
102
0
0
PayPal Holdings, Inc.
COM
70450Y103
58
246
SH
SOLE
246
0
0
PepsiCo, Inc.
COM
713448108
13
89
SH
SOLE
89
0
0
PGIM Global Short Duration High Yield Fund, Inc.
COM
69346J106
7272
500482
SH
SOLE
500482
0
0
PGIM Short Duration High Yield Fund, Inc.
COM
69346H100
6590
439329
SH
SOLE
439329
0
0
PGT Innovations Inc
COM
69336V101
1569
77117
SH
SOLE
77117
0
0
Phillips 66
COM
718546104
3
38
SH
SOLE
38
0
0
PIMCO California Municipal Income Fund III
COM
72201C109
62
6088
SH
SOLE
6088
0
0
PIMCO Dynamic Credit and Mortgage Income Fund
COM SHS
72202D106
3859
182024
SH
SOLE
182024
0
0
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
ENHAN SHRT MA AC
72201R833
551
5400
SH
SOLE
5400
0
0
PIMCO Enrgy Tactical Cr Opp
COM SHS BEN INT
69346N107
2570
318096
SH
SOLE
318096
0
0
PIMCO Global StocksPLS Inc.
COM
722011103
133
13211
SH
SOLE
13211
0
0
PIMCO High Income Fund
COM SHS
722014107
1679
277513
SH
SOLE
277513
0
0
Pimco New York Municipal Income Fund II
COM
72200Y102
283
26007
SH
SOLE
26007
0
0
PIMCO Strategic Income Fd
COM
72200X104
216
31181
SH
SOLE
31181
0
0
Pioneer Municipal High Income Advantage Trust
COM
723762100
767
65830
SH
SOLE
65830
0
0
Pioneer Municipal High Income Trust
COM SHS
723763108
288
23122
SH
SOLE
23122
0
0
Popular Inc
COM NEW
733174700
3111
55230
SH
SOLE
55230
0
0
Procter & Gamble Co. (The)
COM
742718109
6
43
SH
SOLE
43
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
5
110
SH
SOLE
110
0
0
ProShares UltraShort S&P50
ULTRASHRT S&P500
74347B383
879
70930
SH
SOLE
70930
0
0
Qualcomm Inc
COM
747525103
11
70
SH
SOLE
70
0
0
Ranpak Hldgs Corp
COM CL A
75321W103
13
1000
SH
SOLE
1000
0
0
Realty Income Corp.
COM
756109104
3
55
SH
SOLE
55
0
0
Redball Acquisition Corp
UNIT 99/99/9999
G7417R121
12
1000
SH
SOLE
1000
0
0
Regeneron Pharmaceuticals, Inc.
COM
75886F107
3
7
SH
SOLE
7
0
0
Restaurant Brands International Inc
COM
76131D103
3
57
SH
SOLE
57
0
0
Rice Acquisition Corp
W EXP 10/26/202
762594117
7
3000
SH
SOLE
3000
0
0
Rice Acquisition Corp
COM CL A
762594109
22
2000
SH
SOLE
2000
0
0
Rivernorth Doubleline Strate
COM
76882G107
136
9511
SH
SOLE
9511
0
0
Rivernorth Flexible Mun Income
COM
76883H104
126
5750
SH
SOLE
5750
0
0
Rivernorth Managed Duration Municipal Income Fund Inc.
COM
76882H105
206
11599
SH
SOLE
11599
0
0
Rivernorth Opportunistic Mun
COM
76883F108
766
35693
SH
SOLE
35693
0
0
RMR Real Estate Income Fund
COM
76970B101
1573
148939
SH
SOLE
148939
0
0
Roth CH Acquisition I Co
W EXP 01/28/202
778675116
32
7272
SH
SOLE
7272
0
0
Royal Caribbean Cruises Ltd
COM
V7780T103
2623
35120
SH
SOLE
35120
0
0
ROYAL DUTCH SHELL PLC
Spon ADR B
780259107
4
109
SH
SOLE
109
0
0
Royce Value Trust Inc
COM
780910105
47
2919
SH
SOLE
2919
0
0
Ryanair Holdings plc ADR
SPONSORED ADS
783513203
37
339
SH
SOLE
339
0
0
Salient Midstream & MLP Fd
SH BEN INT
79471V105
711
166513
SH
SOLE
166513
0
0
Schlumberger Ltd
COM
806857108
3
142
SH
SOLE
142
0
0
Sea Limited
ADR
81141R100
27
138
SH
SOLE
138
0
0
Seaboard Corp
COM
811543107
415
137
SH
SOLE
137
0
0
Seattle Genetics, In
COM
81181C104
3
18
SH
SOLE
18
0
0
Sempra Energy
COM
816851109
7
55
SH
SOLE
55
0
0
ServiceNow, Inc.
COM
81762P102
4
7
SH
SOLE
7
0
0
Sherwin-Williams Co. (The)
COM
824348106
4
5
SH
SOLE
5
0
0
Shopify, Inc.
CL A
82509L107
6
5
SH
SOLE
5
0
0
Skillz Inc
COM
83067L109
18
902
SH
SOLE
902
0
0
Smartsheet, Inc. Cl A
SHS CL A
83200N103
2
34
SH
SOLE
34
0
0
Sony Corp
SPONSORED ADR
835699307
85
842
SH
SOLE
842
0
0
SPDR Gold Tr
GOLD SHS
78463V107
249
1398
SH
SOLE
1398
0
0
SPDR S&P 500 ETF Tr
TR UNIT
78462F103
82
220
SH
SOLE
220
0
0
SPDR S&P MidCap 400 ETF Tr
UTSER1 S&PDCRP
78467Y107
63
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
155
8000
SH
SOLE
8000
0
0
Starbucks Corp.
COM
855244109
12
110
SH
SOLE
110
0
0
Sutter Rock Cap Corp
COM
86887Q109
367
28000
SH
SOLE
28000
0
0
Taiwan Semiconductor Manufacturing Company Limited
SPONSORED ADR
874039100
20
187
SH
SOLE
187
0
0
Takeda Pharmaceutical Co Ltd
SPONSORED ADR
874060205
73
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
35
50
SH
SOLE
50
0
0
Teva Pharmaceutical Inds Ltd
SPONSORED ADR
881624209
2
166
SH
SOLE
166
0
0
Texas Instruments, Inc
COM
882508104
16
100
SH
SOLE
100
0
0
The European Equity Fund Inc
COM
298768102
6
617
SH
SOLE
617
0
0
The Gabelli Dividend & Income Trust
COM
36242H104
28
1303
SH
SOLE
1303
0
0
The GDL Fund
COM SH BEN IT
361570104
41
4660
SH
SOLE
4660
0
0
The Herzfeld Caribbean Basin Fund Inc
COM
42804T106
2425
474494
SH
SOLE
474494
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
4
309
SH
SOLE
309
0
0
The New Germany Fund Inc
COM
644465106
11
586
SH
SOLE
586
0
0
The New Ireland Fund Inc
COM
645673104
6
605
SH
SOLE
605
0
0
The PNC Financial Services Group Inc
COM
693475105
7
50
SH
SOLE
50
0
0
The Taiwan Fund Inc
COM
874036106
2
88
SH
SOLE
88
0
0
The Wendy's Co
COM
95058W100
1
42
SH
SOLE
42
0
0
Thermo Fisher Scientific, Inc.
COM
883556102
7
15
SH
SOLE
15
0
0
Tortoise Energy Infra Corp
COM
89147L886
701
34866
SH
SOLE
34866
0
0
Total Se
SPONSORED ADS
89151E109
3
76
SH
SOLE
76
0
0
Tri-Continental Corp
COM
895436103
118
4014
SH
SOLE
4014
0
0
Trident Acquisitions Corp
W EXP 05/09/202
89615T114
21
9291
SH
SOLE
9291
0
0
Trimble, Inc.
COM
896239100
3
40
SH
SOLE
40
0
0
Trip.com Group Ltd ADR
ADS
89677Q107
2
48
SH
SOLE
48
0
0
Truist Financial Corp
COM
89832Q109
11
221
SH
SOLE
221
0
0
U.S. Bancorp
COM
902973304
5
112
SH
SOLE
112
0
0
Ultragenyx Pharmaceutical In
COM
90400D108
3
21
SH
SOLE
21
0
0
Unilever PLC
SPON ADR NEW
904767704
45
738
SH
SOLE
738
0
0
United Parcel Service Inc
CL B
911312106
2
11
SH
SOLE
11
0
0
United States Oil Fund LP
UNITS
91232N207
41
1250
SH
SOLE
1250
0
0
UnitedHealth Group Inc
COM
91324P102
79
225
SH
SOLE
225
0
0
Vale SA
ADR
91912E105
6
378
SH
SOLE
378
0
0
Vaneck Vectors ETF Tr
CEF MUN INCOME E
92189F460
851
29864
SH
SOLE
29864
0
0
Velodyne Lidar Inc.
W EXP 09/29/202
92259F119
43
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
2810
285596
SH
SOLE
285596
0
0
Virgin Galactic Holdings, Inc.
COM
92766K106
24
1000
SH
SOLE
1000
0
0
Virtus Total Return Fund Inc.
COM
92835W107
14
1540
SH
SOLE
1540
0
0
Visa Inc
COM CL A
92826C839
7
30
SH
SOLE
30
0
0
Vodafone Group plc ADR
SPONSORED ADR
92857W308
48
2884
SH
SOLE
2884
0
0
Vulcan Materials Co
COM
929160109
742
5000
SH
SOLE
5000
0
0
WEC Energy Group, Inc.
COM
92939U106
7
80
SH
SOLE
80
0
0
Western Assest Intm Muni Fd
COM
958435109
338
36762
SH
SOLE
36762
0
0
Western Asset Mortgage Opp Fund Inc.
COM
95790B109
1685
118816
SH
SOLE
118816
0
0
Western Asset Mun Hi Incm Fd
COM
95766N103
196
26131
SH
SOLE
26131
0
0
Western Asset Municipal Partners Fund
COM
95766P108
68
4522
SH
SOLE
4522
0
0
Western Asset/Claymore Inflation-Linked Opportunities & Income Fund
COM
95766R104
2272
183095
SH
SOLE
183095
0
0
Western Asset/Claymore Inflation-Linked Securities & Income Fund
COM SH BEN INT
95766Q106
348
25486
SH
SOLE
25486
0
0
Whole Earth Brands Inc.
*W EXP 06/25/202
96684W126
9
6250
SH
SOLE
6250
0
0
Whole Earth Brands, Inc.
COM CL A
96684W100
11
1000
SH
SOLE
1000
0
0
Zoetis Inc.
CL A
98978V103
4
25
SH
SOLE
25
0
0