Managing Director

0001085146-20-002667.txt : 20201027 0001085146-20-002667.hdr.sgml : 20201027 20201027171039 ACCESSION NUMBER: 0001085146-20-002667 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201027 DATE AS OF CHANGE: 20201027 EFFECTIVENESS DATE: 20201027 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SHUFRO ROSE & CO LLC CENTRAL INDEX KEY: 0000908195 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: 201264944 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 13F-HR LIVE false false false 0000908195 XXXXXXXX 09-30-2020 09-30-2020 false SHUFRO ROSE & CO LLC

600 LEXINGTON AVENUE 15TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-04541 N Steven J. Glass Managing Director 212-754-5100 /s/ Steven J. Glass New York NY 10-27-2020 0 282 1038807 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 180 DEGREE CAP CORP COM 68235B109 142 75006 SH SOLE 0 0 75006 3M CO COM 88579Y101 5004 31242 SH SOLE 0 0 31242 ABB LTD SPONSORED ADR 000375204 5598 219963 SH SOLE 0 0 219963 ABBOTT LABS COM 002824100 363 3335 SH SOLE 0 0 3335 ABBVIE INC COM 00287Y109 7511 85754 SH SOLE 0 0 85754 ABERDEEN GLOBAL INCOME FD IN COM 003013109 218 31900 SH SOLE 0 0 31900 ABERDEEN JAPAN EQUITY FD INC COM 00306J109 144 17375 SH SOLE 0 0 17375 ACACIA RESH CORP ACACIA TCH COM 003881307 63 18015 SH SOLE 0 0 18015 ADOBE SYSTEMS INCORPORATED COM 00724F101 495 1009 SH SOLE 0 0 1009 AIR LEASE CORP CL A 00912X302 1041 35375 SH SOLE 0 0 35375 ALASKA AIR GROUP INC COM 011659109 892 24360 SH SOLE 0 0 24360 ALLEGHANY CORP DEL COM 017175100 12902 24791 SH SOLE 0 0 24791 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 602 57300 SH SOLE 0 0 57300 ALPHABET INC CAP STK CL A 02079K305 598 408 SH SOLE 0 0 408 ALPHABET INC CAP STK CL C 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26614N102 2724 49106 SH SOLE 0 0 49106 EATON VANCE FLTING RATE INC COM 278279104 334 28100 SH SOLE 0 0 28100 EATON VANCE MUNI INCOME TRUS SH BEN INT 27826U108 128 10000 SH SOLE 0 0 10000 EATON VANCE SR FLTNG RTE TR COM 27828Q105 337 29000 SH SOLE 0 0 29000 EMERSON ELEC CO COM 291011104 2411 36776 SH SOLE 0 0 36776 ENBRIDGE INC COM 29250N105 511 17493 SH SOLE 0 0 17493 ENTERPRISE PRODS PARTNERS L COM 293792107 193 12250 SH SOLE 0 0 12250 EQUINIX INC COM 29444U700 2758 3628 SH SOLE 0 0 3628 EQUUS TOTAL RETURN INC COM 294766100 21 17735 SH SOLE 0 0 17735 EXPEDIA GROUP INC COM NEW 30212P303 233 2542 SH SOLE 0 0 2542 EXXON MOBIL CORP COM 30231G102 4589 133665 SH SOLE 0 0 133665 FACEBOOK INC CL A 30303M102 643 2455 SH SOLE 0 0 2455 FEDEX CORP COM 31428X106 503 2000 SH SOLE 0 0 2000 FIDELITY MERRIMACK STR TR LOW DURTIN ETF 316188408 603 11800 SH SOLE 0 0 11800 FIRST TR SR FLG RTE INCM FD COM 33733U108 313 28500 SH SOLE 0 0 28500 FORD MTR CO DEL COM 345370860 73 10908 SH SOLE 0 0 10908 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HOWMET AEROSPACE INC COM 443201108 1549 92632 SH SOLE 0 0 92632 HURCO COMPANIES INC COM 447324104 329 11600 SH SOLE 0 0 11600 II-VI INC COM 902104108 11605 286125 SH SOLE 0 0 286125 ILLINOIS TOOL WKS INC COM 452308109 8478 43879 SH SOLE 0 0 43879 IMMUCELL CORP COM PAR 452525306 275 50670 SH SOLE 0 0 50670 INGREDION INC COM 457187102 372 4915 SH SOLE 0 0 4915 INTEL CORP COM 458140100 35452 684661 SH SOLE 0 0 684661 INTERCONTINENTAL EXCHANGE IN COM 45866F104 550 5500 SH SOLE 0 0 5500 INTERNATIONAL BUSINESS MACHS COM 459200101 1862 15306 SH SOLE 0 0 15306 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 CB 46138J882 12206 558866 SH SOLE 0 0 558866 INVESCO EXCH TRD SLF IDX FD BULSHS 2024 CB 46138J841 759 34229 SH SOLE 0 0 34229 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 CB 46138J700 2502 117344 SH SOLE 0 0 117344 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 HY 46138J809 448 19533 SH SOLE 0 0 19533 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 CB 46138J866 2344 107595 SH SOLE 0 0 107595 INVESCO EXCH TRD SLF IDX 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0 0 539420 ISHARES TR ULTR SH TRM BD 46434V878 1311 25915 SH SOLE 0 0 25915 ISHARES TR RUSSELL 2000 ETF 464287655 890 5941 SH SOLE 0 0 5941 ISHARES TR 0-5YR INVT GR CP 46434V100 12491 239663 SH SOLE 0 0 239663 ISHARES TR CORE MSCI EAFE 46432F842 2040 33844 SH SOLE 0 0 33844 ISHARES TR PFD AND INCM SEC 464288687 687 18835 SH SOLE 0 0 18835 ISHARES TR MSCI USA QLT FCT 46432F339 14430 139100 SH SOLE 0 0 139100 ISHARES TR CALIF MUN BD ETF 464288356 450 7216 SH SOLE 0 0 7216 ISHARES TR RUS 1000 GRW ETF 464287614 642 2961 SH SOLE 0 0 2961 ISHARES U S ETF TR SHT MAT BD ETF 46431W507 61330 1223901 SH SOLE 0 0 1223901 J & J SNACK FOODS CORP COM 466032109 2343 17973 SH SOLE 0 0 17973 JACOBS ENGR GROUP INC COM 469814107 2336 25180 SH SOLE 0 0 25180 JETBLUE AWYS CORP COM 477143101 448 39500 SH SOLE 0 0 39500 JOHNSON & JOHNSON COM 478160104 4024 27029 SH SOLE 0 0 27029 JOHNSON CTLS INTL PLC SHS G51502105 18457 451818 SH SOLE 0 0 451818 JPMORGAN CHASE & CO COM 46625H100 19613 203726 SH SOLE 0 0 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17835 SH SOLE 0 0 17835 MANHATTAN BRDG CAP INC COM 562803106 506 116125 SH SOLE 0 0 116125 MANITEX INTL INC COM 563420108 753 180500 SH SOLE 0 0 180500 MARATHON PETE CORP COM 56585A102 462 15762 SH SOLE 0 0 15762 MASTERCARD INCORPORATED CL A 57636Q104 210 620 SH SOLE 0 0 620 MCKESSON CORP COM 58155Q103 402 2700 SH SOLE 0 0 2700 MEDICAL PPTYS TRUST INC COM 58463J304 950 53900 SH SOLE 0 0 53900 MEDTRONIC PLC SHS G5960L103 931 8957 SH SOLE 0 0 8957 MERCER INTL INC COM 588056101 1220 184900 SH SOLE 0 0 184900 MERCK & CO. 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105150 UNILEVER PLC SPON ADR NEW 904767704 3139 50888 SH SOLE 0 0 50888 UNION PAC CORP COM 907818108 1324 6725 SH SOLE 0 0 6725 UNITED PARCEL SERVICE INC CL B 911312106 621 3725 SH SOLE 0 0 3725 UNITEDHEALTH GROUP INC COM 91324P102 20722 66466 SH SOLE 0 0 66466 UNIVERSAL STAINLESS & ALLOY COM 913837100 78 14197 SH SOLE 0 0 14197 VALERO ENERGY CORP COM 91913Y100 225 5200 SH SOLE 0 0 5200 VALLEY NATL BANCORP COM 919794107 212 31000 SH SOLE 0 0 31000 VANECK MERK GOLD TR GOLD TRUST 921078101 315 17110 SH SOLE 0 0 17110 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 2126 25600 SH SOLE 0 0 25600 VANGUARD BD INDEX FDS INTERMED TERM 921937819 476 5088 SH SOLE 0 0 5088 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 2204 26600 SH SOLE 0 0 26600 VANGUARD WORLD FD ESG US STK ETF 921910733 358 5800 SH SOLE 0 0 5800 VERIZON COMMUNICATIONS INC COM 92343V104 672 11289 SH SOLE 0 0 11289 VIACOMCBS INC CL B 92556H206 508 18152 SH SOLE 0 0 18152 VILLAGE SUPER MKT INC CL A NEW 927107409 714 29000 SH 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