Principal and Senior Financial Advisor

0000908195-24-000003.txt : 20240508 0000908195-24-000003.hdr.sgml : 20240508 20240508120441 ACCESSION NUMBER: 0000908195-24-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20240331 FILED AS OF DATE: 20240508 DATE AS OF CHANGE: 20240508 EFFECTIVENESS DATE: 20240508 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SHUFRO ROSE & CO LLC CENTRAL INDEX KEY: 0000908195 ORGANIZATION NAME: IRS NUMBER: 135390713 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04541 FILM NUMBER: 24924934 BUSINESS ADDRESS: STREET 1: 600 LEXINGTON AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-754-5111 MAIL ADDRESS: STREET 1: 600 LEXINGTON AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: SHUFRO ROSE EHRMAN DATE OF NAME CHANGE: 19930624 13F-HR 1 primary_doc.xml X0202 13F-HR LIVE false false false 0000908195 XXXXXXXX 03-31-2024 03-31-2024 SHUFRO ROSE & CO LLC

600 LEXINGTON AVENUE 15TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-04541 000003403 801-977 N Steven Glass Principal and Senior Financial Advisor 212-754-5100 Steven Glass New York NY 05-08-2024 0 314 1211323332 false INFORMATION TABLE 2 ShufroRose.Q12024.xml ISHARES TR IBONDS 27 ETF 46435UAA9 121933581 5123260 SH SOLE 0 0 5123260 ETF SER SOLUTIONS DISTILLATE US 26922A321 49296541 914423 SH SOLE 0 0 914423 MICROSOFT CORP COM 594918104 48417674 115083 SH SOLE 0 0 115083 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 41910272 247448 SH SOLE 0 0 247448 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 35656644 1753031 SH SOLE 0 0 1753031 ELI LILLY & CO COM 532457108 35462529 45584 SH SOLE 0 0 45584 THERMO FISHER SCIENTIFIC INC COM 883556102 35230190 60615 SH SOLE 0 0 60615 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 33756098 464768 SH SOLE 0 0 464768 APPLE INC COM 037833100 33083213 192928 SH SOLE 0 0 192928 CORNING INC COM 219350105 32363624 981906 SH SOLE 0 0 981906 ISHARES TR IBONDS DEC2026 46435GAA0 32017206 1342440 SH SOLE 0 0 1342440 AVERY DENNISON CORP COM 053611109 31577670 141445 SH SOLE 0 0 141445 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 27075867 64387 SH SOLE 0 0 64387 QUALCOMM INC COM 747525103 25850851 152693 SH SOLE 0 0 152693 JPMORGAN CHASE & CO COM 46625H100 24992032 124773 SH SOLE 0 0 124773 JOHNSON CTLS INTL PLC SHS G51502105 23544719 360441 SH SOLE 0 0 360441 FS KKR CAP CORP COM 302635206 23278375 1220586 SH SOLE 0 0 1220586 TEXAS INSTRS INC COM 882508104 23016982 132122 SH SOLE 0 0 132122 INVESCO EXCH TRD SLF IDX FD BULSHS 2026 CB 46138J791 21476879 1118005 SH SOLE 0 0 1118005 STARBUCKS CORP COM 855244109 17477982 191246 SH SOLE 0 0 191246 MODERNA INC COM 60770K107 15619992 146584 SH SOLE 0 0 146584 AMAZON COM INC COM 023135106 14919591 82712 SH SOLE 0 0 82712 OPENLANE INC COM 48238T109 13375730 773164 SH SOLE 0 0 773164 INTEL CORP COM 458140100 13083967 296218 SH SOLE 0 0 296218 SPDR GOLD TR GOLD SHS 78463V107 12916131 62785 SH SOLE 0 0 62785 BORGWARNER INC COM 099724106 12677628 364929 SH SOLE 0 0 364929 SPDR SER TR BLOOMBERG 1-3 MO 78468R663 12346510 134494 SH SOLE 0 0 134494 AMGEN INC COM 031162100 11980046 42136 SH SOLE 0 0 42136 ISHARES TR CORE S&P500 ETF 464287200 11963542 22756 SH SOLE 0 0 22756 INTERNATIONAL BUSINESS MACHS COM 459200101 11808394 61837 SH SOLE 0 0 61837 LENNAR CORP CL A 526057104 11475559 66726 SH SOLE 0 0 66726 INVESCO EXCH TRD SLF IDX FD BULSHS 2025 CB 46138J825 10507723 514328 SH SOLE 0 0 514328 ISHARES TR MSCI USA QLT FCT 46432F339 10251917 62379 SH SOLE 0 0 62379 ISHARES TR ISHS 1-5YR INVS 464288646 9837761 191844 SH SOLE 0 0 191844 COHERENT CORP COM 19247G107 9331177 153929 SH SOLE 0 0 153929 SALESFORCE INC COM 79466L302 9252727 30722 SH SOLE 0 0 30722 WALKER & DUNLOP INC COM 93148P102 8469260 83804 SH SOLE 0 0 83804 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 7833552 101326 SH SOLE 0 0 101326 AUTOZONE INC COM 053332102 7636448 2423 SH SOLE 0 0 2423 EXXON MOBIL CORP COM 30231G102 7238730 62274 SH SOLE 0 0 62274 VANGUARD INDEX FDS SM CP VAL ETF 922908611 7223199 37644 SH SOLE 0 0 37644 ISHARES U S ETF TR BLACKROCK SH DUR 46431W507 6917978 137098 SH SOLE 0 0 137098 ILLINOIS TOOL WKS INC COM 452308109 6289747 23440 SH SOLE 0 0 23440 VANGUARD INDEX FDS MID CAP ETF 922908629 6259666 25053 SH SOLE 0 0 25053 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 5917238 77178 SH SOLE 0 0 77178 CHEVRON CORP NEW COM 166764100 5832163 36973 SH SOLE 0 0 36973 UNILEVER PLC SPON ADR NEW 904767704 5622171 112018 SH SOLE 0 0 112018 INVESCO EXCH TRD SLF IDX FD INVSCO BLSH 28 46138J643 5414746 269793 SH SOLE 0 0 269793 DISNEY WALT CO COM 254687106 5335749 43607 SH SOLE 0 0 43607 METLIFE INC COM 59156R108 5143966 69410 SH SOLE 0 0 69410 PEPSICO INC COM 713448108 4539935 25941 SH SOLE 0 0 25941 JOHNSON & JOHNSON COM 478160104 4429693 28002 SH SOLE 0 0 28002 ISHARES TR MSCI USA MMENTM 46432F396 4342543 23179 SH SOLE 0 0 23179 NUTRIEN LTD COM 67077M108 4092748 75359 SH SOLE 0 0 75359 ECOLAB INC COM 278865100 4085545 17694 SH SOLE 0 0 17694 UNITEDHEALTH GROUP INC COM 91324P102 4044546 8176 SH SOLE 0 0 8176 PURE STORAGE INC CL A 74624M102 3790071 72900 SH SOLE 0 0 72900 KLA CORP COM NEW 482480100 3738866 5352 SH SOLE 0 0 5352 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 3621846 115566 SH SOLE 0 0 115566 ISHARES TR CORE MSCI EAFE 46432F842 3272303 44089 SH SOLE 0 0 44089 VANGUARD INDEX FDS TOTAL STK MKT 922908769 3210611 12353 SH SOLE 0 0 12353 MERCK & CO INC COM 58933Y105 3034720 22999 SH SOLE 0 0 22999 JACOBS SOLUTIONS INC COM 46982L108 2885693 18771 SH SOLE 0 0 18771 ISHARES TR MSCI INTL MOMENT 46434V449 2598872 66247 SH SOLE 0 0 66247 VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 921943858 2550246 50832 SH SOLE 0 0 50832 NVIDIA CORPORATION COM 67066G104 2521955 2791 SH SOLE 0 0 2791 ISHARES TR EAFE VALUE ETF 464288877 2377839 43710 SH SOLE 0 0 43710 ISHARES TR CORE S&P SCP ETF 464287804 2305558 20861 SH SOLE 0 0 20861 ENBRIDGE INC COM 29250N105 2250660 62207 SH SOLE 0 0 62207 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 2235191 38491 SH SOLE 0 0 38491 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 2178034 20985 SH SOLE 0 0 20985 J & J SNACK FOODS CORP COM 466032109 2168400 15000 SH SOLE 0 0 15000 GENERAL MLS INC COM 370334104 2023670 28922 SH SOLE 0 0 28922 BANK AMERICA CORP COM 060505104 1966494 51859 SH SOLE 0 0 51859 BUILDERS FIRSTSOURCE INC COM 12008R107 1939515 9300 SH SOLE 0 0 9300 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 1931358 16530 SH SOLE 0 0 16530 ALPHABET INC CAP STK CL C 02079K107 1894572 12443 SH SOLE 0 0 12443 ISHARES TR MSCI USA MIN VOL 46429B697 1807846 21630 SH SOLE 0 0 21630 MEDTRONIC PLC SHS G5960L103 1793286 20577 SH SOLE 0 0 20577 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 1792297 30611 SH SOLE 0 0 30611 ISHARES INC MSCI EQUAL WEITE 464286681 1767026 19420 SH SOLE 0 0 19420 AIR LEASE CORP CL A 00912X302 1764392 34300 SH SOLE 0 0 34300 REALTY INCOME CORP COM 756109104 1733960 32051 SH SOLE 0 0 32051 PFIZER INC COM 717081103 1732642 62438 SH SOLE 0 0 62438 CONOCOPHILLIPS COM 20825C104 1698043 13341 SH SOLE 0 0 13341 ALPHABET INC CAP STK CL A 02079K305 1692680 11215 SH SOLE 0 0 11215 CHENIERE ENERGY INC COM NEW 16411R208 1681344 10425 SH SOLE 0 0 10425 AON PLC CALL G0403H108 1668600 5000 PRN Call SOLE 0 0 5000 ISHARES TR PFD AND INCM SEC 464288687 1648404 51145 SH SOLE 0 0 51145 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1627134 38955 SH SOLE 0 0 38955 NEW YORK TIMES CO CL A 650111107 1606272 37165 SH SOLE 0 0 37165 IAC INC COM NEW 44891N208 1597533 29950 SH SOLE 0 0 29950 YUM BRANDS INC COM 988498101 1590039 11468 SH SOLE 0 0 11468 EQUINIX INC COM 29444U700 1545844 1873 SH SOLE 0 0 1873 WENDYS CO COM 95058W100 1502567 79754 SH SOLE 0 0 79754 MERCER INTL INC COM 588056101 1501455 150900 SH SOLE 0 0 150900 AMERICAN CENTY ETF TR INTL SMCP VLU 025072802 1492871 22667 SH SOLE 0 0 22667 AUTOMATIC DATA PROCESSING IN COM 053015103 1490948 5970 SH SOLE 0 0 5970 MARATHON PETE CORP COM 56585A102 1479543 7343 SH SOLE 0 0 7343 UMH PPTYS INC COM 903002103 1473780 90750 SH SOLE 0 0 90750 CISCO SYS INC COM 17275R102 1447416 29001 SH SOLE 0 0 29001 SHELL PLC SPON ADS 780259305 1370968 20450 SH SOLE 0 0 20450 ISHARES TR MSCI INTL QUALTY 46434V456 1308712 32998 SH SOLE 0 0 32998 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 1257003 15613 SH SOLE 0 0 15613 VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 92203J407 1205451 24506 SH SOLE 0 0 24506 SYNCHRONY FINANCIAL COM 87165B103 1185800 27500 SH SOLE 0 0 27500 VANGUARD INDEX FDS VALUE ETF 922908744 1107442 6800 SH SOLE 0 0 6800 MANHATTAN BRDG CAP INC COM 562803106 1092379 215885 SH SOLE 0 0 215885 GRAINGER W W INC COM 384802104 1068165 1050 SH SOLE 0 0 1050 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 1057974 89055 SH SOLE 0 0 89055 MASTERCARD INCORPORATED CL A 57636Q104 979016 2033 SH SOLE 0 0 2033 XYLEM INC COM 98419M100 977701 7565 SH SOLE 0 0 7565 INVESCO EXCH TRD SLF IDX FD BULSHS 2027 CB 46138J783 972544 50417 SH SOLE 0 0 50417 ISHARES TR MSCI EAFE MIN VL 46429B689 958867 13528 SH SOLE 0 0 13528 INVESCO EXCH TRD SLF IDX FD BULETSHS 2029 46138J577 916870 50102 SH SOLE 0 0 50102 DEERE & CO COM 244199105 899521 2190 SH SOLE 0 0 2190 COHEN & STEERS REIT & PFD & COM 19247X100 895878 42600 SH SOLE 0 0 42600 RTX CORPORATION COM 75513E101 882549 9049 SH SOLE 0 0 9049 CBRE GROUP INC CL A 12504L109 881481 9065 SH SOLE 0 0 9065 HOME DEPOT INC COM 437076102 881130 2297 SH SOLE 0 0 2297 ISHARES TR IBONDS 27 TRM TS 46436E841 867232 39135 SH SOLE 0 0 39135 INVESCO QQQ TR UNIT SER 1 46090E103 856496 1929 SH SOLE 0 0 1929 COHEN & STEERS QUALITY INCOM COM 19247L106 834728 69100 SH SOLE 0 0 69100 ISHARES TR BLACKROCK ULTRA 46434V878 819540 16209 SH SOLE 0 0 16209 GLOBAL MED REIT INC COM NEW 37954A204 781813 89350 SH SOLE 0 0 89350 SENECA FOODS CORP NEW CL A 817070501 776685 13650 SH SOLE 0 0 13650 AFLAC INC COM 001055102 757130 8818 SH SOLE 0 0 8818 HEALTHPEAK PROPERTIES INC COM 42250P103 754369 40233 SH SOLE 0 0 40233 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 748105 5064 SH SOLE 0 0 5064 APOLLO SR FLOATING RATE FD I COM 037636107 743850 52200 SH SOLE 0 0 52200 UNION PAC CORP COM 907818108 732700 2979 SH SOLE 0 0 2979 ISHARES TR IBONDS 26 TRM TS 46436E858 713435 31415 SH SOLE 0 0 31415 KIRBY CORP COM 497266106 686304 7200 SH SOLE 0 0 7200 LAM RESEARCH CORP COM 512807108 680099 700 SH SOLE 0 0 700 LOCKHEED MARTIN CORP COM 539830109 671452 1476 SH SOLE 0 0 1476 CVS HEALTH CORP COM 126650100 670862 8411 SH SOLE 0 0 8411 WK KELLOGG CO COM SHS 92942W107 668228 35544 SH SOLE 0 0 35544 GLOBAL X FDS LITHIUM BTRY ETF 37954Y855 668028 14750 SH SOLE 0 0 14750 BROADCOM INC COM 11135F101 662705 500 SH SOLE 0 0 500 ELEVANCE HEALTH INC COM 036752103 661139 1275 SH SOLE 0 0 1275 INVESCO EXCH TRD SLF IDX FD BULSHS 2025 HY 46138J817 649283 28291 SH SOLE 0 0 28291 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 646227 60850 SH SOLE 0 0 60850 PROCTER AND GAMBLE CO COM 742718109 643159 3964 SH SOLE 0 0 3964 BLACKROCK FLOATING RATE INCO COM 09255X100 633791 49055 SH SOLE 0 0 49055 ISHARES INC CORE MSCI EMKT 46434G103 621485 12044 SH SOLE 0 0 12044 ABBVIE INC COM 00287Y109 618230 3395 SH SOLE 0 0 3395 VANGUARD SCOTTSDALE FDS MTG-BKD SECS ETF 92206C771 612269 13424 SH SOLE 0 0 13424 MORGAN STANLEY COM NEW 617446448 604508 6420 SH SOLE 0 0 6420 WALMART INC COM 931142103 595476 9897 SH SOLE 0 0 9897 RAND CAP CORP COM NEW 752185207 578275 41394 SH SOLE 0 0 41394 BLACKSTONE SECD LENDING FD COMMON STOCK 09261X102 577272 18532 SH SOLE 0 0 18532 AMERICAN EXPRESS CO COM 025816109 576739 2533 SH SOLE 0 0 2533 BLACKROCK MUNIYIELD N Y QUAL COM 09255E102 574392 54600 SH SOLE 0 0 54600 WESTERN ASSET GLOBAL CORP DE COM 95790C107 574080 46000 SH SOLE 0 0 46000 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 573240 8584 SH SOLE 0 0 8584 VANGUARD ADMIRAL FDS INC MIDCP 400 VAL 921932844 568408 6260 SH SOLE 0 0 6260 HOWMET AEROSPACE INC COM 443201108 558731 8165 SH SOLE 0 0 8165 AT&T INC COM 00206R102 557287 31664 SH SOLE 0 0 31664 TERADYNE INC COM 880770102 556817 4935 SH SOLE 0 0 4935 HENRY SCHEIN INC COM 806407102 553184 7325 SH SOLE 0 0 7325 PERMA-PIPE INTL HLDGS INC COM 714167103 553000 70000 SH SOLE 0 0 70000 ISHARES TR GL CLEAN ENE ETF 464288224 550729 39394 SH SOLE 0 0 39394 QUEST DIAGNOSTICS INC COM 74834L100 539096 4050 SH SOLE 0 0 4050 VERIZON COMMUNICATIONS INC COM 92343V104 537676 12814 SH SOLE 0 0 12814 VANECK MERK GOLD TR GOLD TRUST 921078101 531330 24736 SH SOLE 0 0 24736 STRYKER CORPORATION COM 863667101 519270 1451 SH SOLE 0 0 1451 ALLSTATE CORP COM 020002101 519031 3000 SH SOLE 0 0 3000 CHARTER COMMUNICATIONS INC N CL A 16119P108 517031 1779 SH SOLE 0 0 1779 NORFOLK SOUTHN CORP COM 655844108 516367 2026 SH SOLE 0 0 2026 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 512150 2500 SH SOLE 0 0 2500 FIRST TR SR FLTG RATE INCOME COM 33733U108 508185 49100 SH SOLE 0 0 49100 ADOBE INC COM 00724F101 504600 1000 SH SOLE 0 0 1000 INVESCO EXCH TRD SLF IDX FD BULSHS 2024 CB 46138J841 504560 24061 SH SOLE 0 0 24061 EXPEDIA GROUP INC COM NEW 30212P303 502099 3645 SH SOLE 0 0 3645 BOEING CO COM 097023105 501774 2600 SH SOLE 0 0 2600 AMETEK INC COM 031100100 493830 2700 SH SOLE 0 0 2700 WARNER BROS DISCOVERY INC COM SER A 934423104 491971 56354 SH SOLE 0 0 56354 ISHARES TR CORE S&P MCP ETF 464287507 482883 7950 SH SOLE 0 0 7950 WILLSCOT MOBIL MINI HLDNG CO COM CL A 971378104 478067 10281 SH SOLE 0 0 10281 BRISTOL-MYERS SQUIBB CO COM 110122108 475055 8760 SH SOLE 0 0 8760 SONOCO PRODS CO COM 835495102 473952 8194 SH SOLE 0 0 8194 SPDR SER TR S&P BIOTECH 78464A870 473691 4992 SH SOLE 0 0 4992 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 463584 131700 SH SOLE 0 0 131700 SPDR S&P 500 ETF TR TR UNIT 78462F103 462576 884 SH SOLE 0 0 884 CSX CORP COM 126408103 459668 12400 SH SOLE 0 0 12400 ENTERPRISE PRODS PARTNERS L COM 293792107 459585 15750 SH SOLE 0 0 15750 YUM CHINA HLDGS INC COM 98850P109 456312 11468 SH SOLE 0 0 11468 GENERAL ELECTRIC CO COM NEW 369604301 454974 2592 SH SOLE 0 0 2592 VANECK ETF TRUST GOLD MINERS ETF 92189F106 454407 14371 SH SOLE 0 0 14371 ANSYS INC COM 03662Q105 451308 1300 SH SOLE 0 0 1300 VISA INC COM CL A 92826C839 441644 1582 SH SOLE 0 0 1582 ISHARES TR U.S. MED DVC ETF 464288810 439425 7500 SH SOLE 0 0 7500 EATON VANCE SR FLTNG RTE TR COM 27828Q105 439111 33700 SH SOLE 0 0 33700 FERRARI N V COM N3167Y103 435940 1000 SH SOLE 0 0 1000 MARTIN MARIETTA MATLS INC COM 573284106 429758 700 SH SOLE 0 0 700 US FOODS HLDG CORP COM 912008109 424205 7860 SH SOLE 0 0 7860 ASML HOLDING N V N Y REGISTRY SHS N07059210 412450 425 SH SOLE 0 0 425 GENERAC HLDGS INC COM 368736104 403648 3200 SH SOLE 0 0 3200 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 397796 1910 SH SOLE 0 0 1910 VILLAGE SUPER MKT INC CL A NEW 927107409 394818 13800 SH SOLE 0 0 13800 ISHARES TR SHRT NAT MUN ETF 464288158 391743 3741 SH SOLE 0 0 3741 MICRON TECHNOLOGY INC COM 595112103 389037 3300 SH SOLE 0 0 3300 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 388291 5085 SH SOLE 0 0 5085 NOVARTIS AG SPONSORED ADR 66987V109 386920 4000 SH SOLE 0 0 4000 REDWOOD TRUST INC COM 758075402 386022 60600 SH SOLE 0 0 60600 COCA COLA CO COM 191216100 385496 6301 SH SOLE 0 0 6301 GARTNER INC COM 366651107 381336 800 SH SOLE 0 0 800 ABBOTT LABS COM 002824100 377238 3319 SH SOLE 0 0 3319 ISHARES TR RUS MDCP VAL ETF 464287473 373806 2983 SH SOLE 0 0 2983 CATERPILLAR INC COM 149123101 368263 1005 SH SOLE 0 0 1005 UNITED PARCEL SERVICE INC CL B 911312106 366373 2465 SH SOLE 0 0 2465 TRANE TECHNOLOGIES PLC SHS G8994E103 360240 1200 SH SOLE 0 0 1200 PHILLIPS 66 COM 718546104 359185 2199 SH SOLE 0 0 2199 MONTROSE ENVIRONMENTAL GROUP COM 615111101 353745 9031 SH SOLE 0 0 9031 GALLAGHER ARTHUR J & CO COM 363576109 350056 1400 SH SOLE 0 0 1400 AZEK CO INC CL A 05478C105 346518 6900 SH SOLE 0 0 6900 SEABOARD CORP DEL COM 811543107 344960 107 SH SOLE 0 0 107 META PLATFORMS INC CL A 30303M102 341363 703 SH SOLE 0 0 703 3M CO COM 88579Y101 341016 3215 SH SOLE 0 0 3215 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 339961 611 SH SOLE 0 0 611 IMMUCELL CORP COM PAR 452525306 330763 62408 SH SOLE 0 0 62408 ORACLE CORP COM 68389X105 326586 2600 SH SOLE 0 0 2600 PRUDENTIAL FINL INC COM 744320102 324377 2763 SH SOLE 0 0 2763 CNH INDL N V SHS N20944109 324000 25000 SH SOLE 0 0 25000 MOBILEYE GLOBAL INC COMMON CLASS A 60741F104 321500 10000 SH SOLE 0 0 10000 ISHARES TR RUS 1000 GRW ETF 464287614 316490 939 SH SOLE 0 0 939 FIRST TR EXCH TRADED FD III PFD SECS INC ETF 33739E108 315224 18200 SH SOLE 0 0 18200 AMERICOLD REALTY TRUST INC COM 03064D108 311500 12500 SH SOLE 0 0 12500 HONEYWELL INTL INC COM 438516106 306439 1493 SH SOLE 0 0 1493 CANADIAN IMPERIAL BK COMM TO COM 136069101 304320 6000 SH SOLE 0 0 6000 NEW YORK CMNTY BANCORP INC COM 649445103 303646 94300 SH SOLE 0 0 94300 SPDR SER TR PORTFOLIO SHORT 78464A474 297700 10000 SH SOLE 0 0 10000 DOW INC COM 260557103 295849 5107 SH SOLE 0 0 5107 NUVEEN NEW YORK QLT MUN INC COM 67066X107 295650 27000 SH SOLE 0 0 27000 180 DEGREE CAP CORP COM NEW 68235B208 290288 67666 SH SOLE 0 0 67666 ADVANCED MICRO DEVICES INC COM 007903107 288784 1600 SH SOLE 0 0 1600 MCDONALDS CORP COM 580135101 287589 1020 SH SOLE 0 0 1020 S&P GLOBAL INC COM 78409V104 283776 667 SH SOLE 0 0 667 BLACKSTONE SENI FLTN RAT 202 COM 09256U105 283734 19800 SH SOLE 0 0 19800 REGENERON PHARMACEUTICALS COM 75886F107 282010 293 SH SOLE 0 0 293 PATTERSON COS INC COM 703395103 276200 10000 SH SOLE 0 0 10000 WATERS CORP COM 941848103 275384 800 SH SOLE 0 0 800 NUVEEN ARIZONA QLTY MUN INC COM 67061W104 274500 25000 SH SOLE 0 0 25000 VALMONT INDS INC COM 920253101 273936 1200 SH SOLE 0 0 1200 BLACKROCK MUNIHLDGS NY QLTY COM 09255C106 266868 25200 SH SOLE 0 0 25200 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 257099 5081 SH SOLE 0 0 5081 IMPINJ INC COM 453204109 256820 2000 SH SOLE 0 0 2000 BLACKROCK ENHANCED EQUITY DI COM 09251A104 254612 30862 SH SOLE 0 0 30862 ISHARES TR CORE MSCI TOTAL 46432F834 253118 3730 SH SOLE 0 0 3730 DIMENSIONAL ETF TRUST INTERNATNAL VAL 25434V807 251297 6838 SH SOLE 0 0 6838 AXON ENTERPRISE INC COM 05464C101 250304 800 SH SOLE 0 0 800 BLACKSTONE INC COM 09260D107 249603 1900 SH SOLE 0 0 1900 INVESCO EXCH TRD SLF IDX FD INVSCO BLSH 26 46138J635 243390 10500 SH SOLE 0 0 10500 GLADSTONE LD CORP COM 376549101 238786 17900 SH SOLE 0 0 17900 M & T BK CORP COM 55261F104 237795 1635 SH SOLE 0 0 1635 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 235872 5600 SH SOLE 0 0 5600 HURCO CO COM 447324104 234864 11650 SH SOLE 0 0 11650 CONSOLIDATED EDISON INC COM 209115104 234472 2582 SH SOLE 0 0 2582 DIREXION SHS ETF TR DLY SCOND 3XBU 25459W458 232650 5000 SH SOLE 0 0 5000 ISHARES INC MSCI EMERG MRKT 464286533 230321 4070 SH SOLE 0 0 4070 SABA CAPITAL INCOME & OPRNT SHS NEW 78518H202 227339 31185 SH SOLE 0 0 31185 GENERAL DYNAMICS CORP COM 369550108 225992 800 SH SOLE 0 0 800 NEXTERA ENERGY INC COM 65339F101 225475 3528 SH SOLE 0 0 3528 EL PASO ENERGY CAP TR I PFD CV TR SEC 28 283678209 225412 4700 SH SOLE 0 0 4700 DICKS SPORTING GOODS INC COM 253393102 224860 1000 SH SOLE 0 0 1000 NUVEEN PFD & INCOME OPPORTUN COM 67073B106 221977 30873 SH SOLE 0 0 30873 GSK PLC SPONSORED ADR 37733W204 221381 5164 SH SOLE 0 0 5164 FIDELITY MERRIMACK STR TR LOW DURTIN ETF 316188408 219868 4400 SH SOLE 0 0 4400 INVESCO EXCH TRD SLF IDX FD INVSCO 28 HYCORP 46138J452 216600 10000 SH SOLE 0 0 10000 ISHARES TR RESIDENTIAL MULT 464288562 216210 3000 SH SOLE 0 0 3000 NUVEEN AMT FREE QLTY MUN INC COM 670657105 215865 19500 SH SOLE 0 0 19500 INVESCO TR INVT GRADE NEW YO COM 46131T101 215000 20000 SH SOLE 0 0 20000 COMCAST CORP NEW CL A 20030N101 214626 4951 SH SOLE 0 0 4951 VALERO ENERGY CORP COM 91913Y100 213363 1250 SH SOLE 0 0 1250 MICROSOFT CORP PUT 594918104 210360 500 PRN Put SOLE 0 0 500 SOUTHERN CO COM 842587107 206540 2879 SH SOLE 0 0 2879 INVESCO EXCH TRD SLF IDX FD BULSHS 2024 HY 46138J833 204570 9000 SH SOLE 0 0 9000 PIMCO INCOME STRATEGY FD II COM 72201J104 204404 27400 SH SOLE 0 0 27400 NU HLDGS LTD ORD SHS CL A G6683N103 203347 17045 SH SOLE 0 0 17045 EATON VANCE FLTING RATE INC COM 278279104 202046 15180 SH SOLE 0 0 15180 CHARGEPOINT HOLDINGS INC COM CL A 15961R105 201400 106000 SH SOLE 0 0 106000 SMUCKER J M CO COM NEW 832696405 200763 1595 SH SOLE 0 0 1595 PIMCO INCOME STRATEGY FD COM 72201H108 191648 22600 SH SOLE 0 0 22600 COHEN & STEERS TOTAL RETURN COM 19247R103 190240 16000 SH SOLE 0 0 16000 ENERGY TRANSFER L P COM UT LTD PTN 29273V100 180707 11488 SH SOLE 0 0 11488 INVESCO MUN OPPORTUNITY TR COM 46132C107 180005 18500 SH SOLE 0 0 18500 VALLEY NATL BANCORP COM 919794107 179100 22500 SH SOLE 0 0 22500 MEDICAL PPTYS TRUST INC COM 58463J304 178600 38000 SH SOLE 0 0 38000 RESEARCH FRONTIERS INC COM 760911107 178100 137000 SH SOLE 0 0 137000 FREQUENCY ELECTRS INC COM 358010106 163350 15000 SH SOLE 0 0 15000 INVESCO SR INCOME TR COM 46131H107 162640 38000 SH SOLE 0 0 38000 SABA CAPITAL INCOME & OPPORT COM 880198106 160440 42000 SH SOLE 0 0 42000 BLACKROCK MUNIYILD QULT FD I COM 09254F100 159250 13000 SH SOLE 0 0 13000 EATON VANCE NEW YORK MUN BD COM 27827Y109 155360 16000 SH SOLE 0 0 16000 BLACKROCK MUNIYIELD MICH QU COM 09254V105 143875 12500 SH SOLE 0 0 12500 ABRDN GLOBAL INCOME FUND INC COM 003013109 116202 21400 SH SOLE 0 0 21400 BLACKROCK N Y MUN INCOME TRU SH BEN INT 09248L106 106000 10000 SH SOLE 0 0 10000 WESTERN ASSET GBL HIGH INC F COM 95766B109 104496 14928 SH SOLE 0 0 14928 EQUUS TOTAL RETURN INC COM 294766100 87600 60000 SH SOLE 0 0 60000 NUVEEN MUN VALUE FD INC COM 670928100 87100 10000 SH SOLE 0 0 10000 ARCADIUM LITHIUM PLC COM SHS G0508H110 82046 19036 SH SOLE 0 0 19036 CERUS CORP COM 157085101 72765 38500 SH SOLE 0 0 38500 S&W SEED CO COM 785135104 72072 149000 SH SOLE 0 0 149000 PROSPECT CAP CORP COM 74348T102 70104 12700 SH SOLE 0 0 12700 BEAM GLOBAL COM 07373B109 68000 10000 SH SOLE 0 0 10000 CHARGEPOINT HOLDINGS INC CALL 15961R105 60800 32000 PRN Call SOLE 0 0 32000 COEUR MNG INC COM NEW 192108504 56550 15000 SH SOLE 0 0 15000 FUNDAMENTAL GLOBAL INC COM 30329Y106 55200 40000 SH SOLE 0 0 40000 RENN FD INC COM 759720105 47400 30000 SH SOLE 0 0 30000 MEDICAL PPTYS TRUST INC CALL 58463J304 47000 10000 PRN Call SOLE 0 0 10000 ARTS WAY MFG INC COM 043168103 45896 21855 SH SOLE 0 0 21855 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 35200 11000 SH SOLE 0 0 11000 GSI TECHNOLOGY INC COM 36241U106 34000 10000 SH SOLE 0 0 10000 OPKO HEALTH INC COM 68375N103 20400 17000 SH SOLE 0 0 17000