0001085146-21-001339.txt : 20210428 0001085146-21-001339.hdr.sgml : 20210428 20210428082334 ACCESSION NUMBER: 0001085146-21-001339 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210428 DATE AS OF CHANGE: 20210428 EFFECTIVENESS DATE: 20210428 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: 21861457 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 03-31-2021 03-31-2021 false SHUFRO ROSE & CO LLC

600 LEXINGTON AVENUE 15TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-04541 N Steven J. Glass 212-754-5100 /s/ Steven J. Glass New York NY 04-27-2021 0 306 1260697 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 180 DEGREE CAP CORP COM NEW 68235B208 200 27001 SH SOLE 0 0 27001 3M CO COM 88579Y101 5409 28071 SH SOLE 0 0 28071 ABB LTD SPONSORED ADR 000375204 6695 219729 SH SOLE 0 0 219729 ABBOTT LABS COM 002824100 332 2772 SH SOLE 0 0 2772 ABBVIE INC COM 00287Y109 8361 77256 SH SOLE 0 0 77256 ABERDEEN GLOBAL INCOME FD IN COM 003013109 266 31900 SH SOLE 0 0 31900 ABERDEEN JAPAN EQUITY FD INC COM 00306J109 150 16625 SH SOLE 0 0 16625 ACACIA RESH CORP ACACIA TCH COM 003881307 120 18015 SH SOLE 0 0 18015 AFLAC INC COM 001055102 247 4818 SH SOLE 0 0 4818 AIR LEASE CORP CL A 00912X302 1724 35175 SH SOLE 0 0 35175 ALASKA AIR GROUP INC COM 011659109 1094 15800 SH SOLE 0 0 15800 ALLEGHANY CORP DEL COM 017175100 9039 14432 SH SOLE 0 0 14432 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 679 57300 SH SOLE 0 0 57300 ALLSTATE CORP COM 020002101 257 2235 SH SOLE 0 0 2235 ALPHABET INC CAP STK CL A 02079K305 1068 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SOLE 0 0 16500 CHARTER COMMUNICATIONS INC N CL A 16119P108 1498 2428 SH SOLE 0 0 2428 CHEESECAKE FACTORY INC COM 163072101 310 5300 SH SOLE 0 0 5300 CHENIERE ENERGY INC COM NEW 16411R208 2380 33050 SH SOLE 0 0 33050 CHEVRON CORP NEW COM 166764100 2021 19282 SH SOLE 0 0 19282 CISCO SYS INC COM 17275R102 23454 453573 SH SOLE 0 0 453573 CITIGROUP INC COM NEW 172967424 1080 14844 SH SOLE 0 0 14844 COCA COLA CO COM 191216100 533 10113 SH SOLE 0 0 10113 COHEN & STEERS INFRASTRUCTUR COM 19248A109 237 8500 SH SOLE 0 0 8500 COHEN & STEERS QUALITY INCOM COM 19247L106 206 14800 SH SOLE 0 0 14800 COHEN & STEERS TOTAL RETURN COM 19247R103 183 12500 SH SOLE 0 0 12500 COMCAST CORP NEW CL A 20030N101 453 8381 SH SOLE 0 0 8381 CONOCOPHILLIPS COM 20825C104 1159 21875 SH SOLE 0 0 21875 CONSOLIDATED EDISON INC COM 209115104 324 4336 SH SOLE 0 0 4336 CORNING INC COM 219350105 61643 1416744 SH SOLE 0 0 1416744 COVETRUS INC COM 22304C100 363 12100 SH SOLE 0 0 12100 CSX CORP COM 126408103 295 3057 SH SOLE 0 0 3057 CVS HEALTH CORP COM 126650100 1107 14721 SH SOLE 0 0 14721 CVS HEALTH CORP COM 126650100 75 1000 SH Call SOLE 0 0 1000 CVS HEALTH CORP COM 126650100 75 1000 SH Put SOLE 0 0 1000 DANA INC COM 235825205 1109 45600 SH SOLE 0 0 45600 DIAGEO PLC SPON ADR NEW 25243Q205 213 1300 SH SOLE 0 0 1300 DISNEY WALT CO COM 254687106 9399 50939 SH SOLE 0 0 50939 DOLLAR GEN CORP NEW COM 256677105 203 1000 SH SOLE 0 0 1000 DOMINION ENERGY INC COM 25746U109 2428 31969 SH SOLE 0 0 31969 EATON VANCE FLTING RATE INC COM 278279104 396 28100 SH SOLE 0 0 28100 EATON VANCE MUNI INCOME TRUS SH BEN INT 27826U108 138 10000 SH SOLE 0 0 10000 EATON VANCE SR FLTNG RTE TR COM 27828Q105 400 29000 SH SOLE 0 0 29000 EMERSON ELEC CO COM 291011104 2842 31499 SH SOLE 0 0 31499 ENBRIDGE INC COM 29250N105 862 23693 SH SOLE 0 0 23693 ENCORE CAP GROUP INC COM 292554102 121 3000 SH SOLE 0 0 3000 ENCORE CAP GROUP INC COM 292554102 80 2000 SH Call SOLE 0 0 2000 ENTERPRISE PRODS PARTNERS L COM 293792107 263 11950 SH SOLE 0 0 11950 EQUINIX INC COM 29444U700 2069 3044 SH SOLE 0 0 3044 EQUUS TOTAL RETURN INC COM 294766100 35 17735 SH SOLE 0 0 17735 EXPEDIA GROUP INC COM NEW 30212P303 283 1645 SH SOLE 0 0 1645 EXXON MOBIL CORP COM 30231G102 4756 85187 SH SOLE 0 0 85187 FACEBOOK INC CL A 30303M102 698 2369 SH SOLE 0 0 2369 FIDELITY COVINGTON TRUST LOW DURTIN ETF 316188408 446 8800 SH SOLE 0 0 8800 FIRST TR SR FLG RTE INCM FD COM 33733U108 266 21700 SH SOLE 0 0 21700 FORD MTR CO DEL COM 345370860 140 11408 SH SOLE 0 0 11408 FREQUENCY ELECTRS INC COM 358010106 386 34161 SH SOLE 0 0 34161 FRIEDMAN INDS INC COM 358435105 866 106991 SH SOLE 0 0 106991 GATX CORP COM 361448103 390 4200 SH SOLE 0 0 4200 GENCOR INDS INC COM 368678108 317 23608 SH SOLE 0 0 23608 GENERAL ELECTRIC CO COM 369604103 936 71280 SH SOLE 0 0 71280 GENERAL MLS INC COM 370334104 2598 42366 SH SOLE 0 0 42366 GENERAL MTRS CO COM 37045V100 3896 67801 SH SOLE 0 0 67801 GILEAD SCIENCES INC COM 375558103 377 5839 SH SOLE 0 0 5839 GLADSTONE LD CORP COM 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SH SOLE 0 0 34826 IMMUCELL CORP COM PAR 452525306 173 17909 SH SOLE 0 0 17909 INTEL CORP COM 458140100 41913 654894 SH SOLE 0 0 654894 INTERCONTINENTAL EXCHANGE IN COM 45866F104 402 3600 SH SOLE 0 0 3600 INTERNATIONAL BUSINESS MACHS COM 459200101 1784 13385 SH SOLE 0 0 13385 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 2784 19944 SH SOLE 0 0 19944 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 349 23255 SH SOLE 0 0 23255 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 CB 46138J700 1379 65269 SH SOLE 0 0 65269 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 CB 46138J882 11241 519456 SH SOLE 0 0 519456 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 HY 46138J874 727 31135 SH SOLE 0 0 31135 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 CB 46138J866 2056 94440 SH SOLE 0 0 94440 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 HY 46138J858 827 32700 SH SOLE 0 0 32700 INVESCO EXCH TRD SLF IDX FD BULSHS 2024 CB 46138J841 722 32589 SH SOLE 0 0 32589 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 57912 408811 SH SOLE 0 0 408811 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TR MSCI USA QLT FCT 46432F339 16444 135027 SH SOLE 0 0 135027 ISHARES TR PFD AND INCM SEC 464288687 940 24485 SH SOLE 0 0 24485 ISHARES TR RESIDENTIAL MULT 464288562 303 4100 SH SOLE 0 0 4100 ISHARES TR RUS 1000 GRW ETF 464287614 592 2436 SH SOLE 0 0 2436 ISHARES TR RUSSELL 2000 ETF 464287655 1370 6203 SH SOLE 0 0 6203 ISHARES U S ETF TR BLACKROCK ST MAT 46431W507 65333 1301708 SH SOLE 0 0 1301708 J & J SNACK FOODS CORP COM 466032109 2811 17900 SH SOLE 0 0 17900 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 76301 1503319 SH SOLE 0 0 1503319 JACOBS ENGR GROUP INC COM 469814107 3145 24330 SH SOLE 0 0 24330 JETBLUE AWYS CORP COM 477143101 544 26750 SH SOLE 0 0 26750 JOHNSON & JOHNSON COM 478160104 3576 21761 SH SOLE 0 0 21761 JOHNSON CTLS INTL PLC SHS G51502105 26089 437228 SH SOLE 0 0 437228 JPMORGAN CHASE & CO COM 46625H100 30559 200745 SH SOLE 0 0 200745 KAR AUCTION SVCS INC COM 48238T109 255 17000 SH SOLE 0 0 17000 KELLY SVCS INC CL A 488152208 1286 57744 SH SOLE 0 0 57744 KENNAMETAL INC COM 489170100 11641 291251 SH SOLE 0 0 291251 KIMBERLY-CLARK CORP COM 494368103 351 2521 SH SOLE 0 0 2521 KIRBY CORP COM 497266106 434 7200 SH SOLE 0 0 7200 KLA CORP COM NEW 482480100 1040 3148 SH SOLE 0 0 3148 L3HARRIS TECHNOLOGIES INC COM 502431109 612 3020 SH SOLE 0 0 3020 LAUDER ESTEE COS INC CL A 518439104 4131 14205 SH SOLE 0 0 14205 LENNAR CORP CL A 526057104 23117 228364 SH SOLE 0 0 228364 LIBERTY BROADBAND CORP COM SER C 530307305 2293 15274 SH SOLE 0 0 15274 LIBERTY MEDIA CORP DEL COM A SIRIUSXM 531229409 1454 32982 SH SOLE 0 0 32982 LIBERTY MEDIA CORP DEL COM C SIRIUSXM 531229607 7655 173545 SH SOLE 0 0 173545 LILLY ELI & CO COM 532457108 8622 46153 SH SOLE 0 0 46153 LINCOLN NATL CORP IND COM 534187109 715 11480 SH SOLE 0 0 11480 M & T BK CORP COM 55261F104 422 2786 SH SOLE 0 0 2786 MAGAL SECURITY SYS LTD ORD M6786D104 58 12835 SH SOLE 0 0 12835 MANHATTAN BRDG CAP INC COM 562803106 708 116125 SH SOLE 0 0 116125 MANITEX INTL INC COM 563420108 1542 195500 SH 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INC COM 58933Y105 1773 23002 SH SOLE 0 0 23002 METLIFE INC COM 59156R108 5519 90781 SH SOLE 0 0 90781 MICROSOFT CORP COM 594918104 29597 125535 SH SOLE 0 0 125535 MONMOUTH REAL ESTATE INVT CO CL A 609720107 1081 61100 SH SOLE 0 0 61100 MORGAN STANLEY COM NEW 617446448 638 8220 SH SOLE 0 0 8220 NATIONAL WESTN LIFE GROUP IN CL A 638517102 1265 5079 SH SOLE 0 0 5079 NEW YORK CMNTY BANCORP INC COM 649445103 726 57550 SH SOLE 0 0 57550 NEXTERA ENERGY INC COM 65339F101 259 3426 SH SOLE 0 0 3426 NIO INC SPON ADS 62914V106 178 4561 SH SOLE 0 0 4561 NIO INC SPON ADS 62914V106 78 2000 SH Call SOLE 0 0 2000 NIO INC SPON ADS 62914V106 39 1000 SH Put SOLE 0 0 1000 NORTONLIFELOCK INC COM 668771108 1090 51257 SH SOLE 0 0 51257 NORWEGIAN CRUISE LINE HLDG L SHS G66721104 251 9100 SH SOLE 0 0 9100 NOVARTIS AG SPONSORED ADR 66987V109 397 4640 SH SOLE 0 0 4640 NOVOCURE LTD ORD SHS G6674U108 172 1300 SH SOLE 0 0 1300 NOVOCURE LTD ORD SHS G6674U108 132 1000 SH Put SOLE 0 0 1000 NUTRIEN LTD COM 67077M108 6610 122659 SH SOLE 0 0 122659 NUVEEN ARIZONA QLTY MUN INC COM 67061W104 152 10000 SH SOLE 0 0 10000 NUVEEN MUN VALUE FD INC COM 670928100 149 13400 SH SOLE 0 0 13400 NUVEEN NEW YORK QLT MUN INC COM 67066X107 185 13000 SH SOLE 0 0 13000 NUVEEN PFD & INCM SECURTIES COM 67072C105 168 17259 SH SOLE 0 0 17259 NUVEEN PFD & INCOME OPPORTUN COM 67073B106 95 10000 SH SOLE 0 0 10000 NVIDIA CORPORATION COM 67066G104 246 460 SH SOLE 0 0 460 OPKO HEALTH INC COM 68375N103 97 22500 SH SOLE 0 0 22500 PDC ENERGY INC COM 69327R101 2501 72700 SH SOLE 0 0 72700 PEDEVCO CORP COM PAR 70532Y303 104 71095 SH SOLE 0 0 71095 PERMA-PIPE INTL HLDGS INC COM 714167103 715 117591 SH SOLE 0 0 117591 PFIZER INC COM 717081103 3131 86407 SH SOLE 0 0 86407 PHILLIPS 66 COM 718546104 208 2549 SH SOLE 0 0 2549 PIMCO INCOME STRATEGY FD COM 72201H108 446 37100 SH SOLE 0 0 37100 PIMCO INCOME STRATEGY FD II COM 72201J104 366 35650 SH SOLE 0 0 35650 PROCTER AND GAMBLE CO COM 742718109 352 2597 SH SOLE 0 0 2597 PROSPECT CAP CORP 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SOLE 0 0 10000 S&P GLOBAL INC COM 78409V104 235 667 SH SOLE 0 0 667 S&W SEED CO COM 785135104 277 76000 SH SOLE 0 0 76000 SAFEGUARD SCIENTIFICS INC COM NEW 786449207 83 12100 SH SOLE 0 0 12100 SALESFORCE COM INC COM 79466L302 10287 48552 SH SOLE 0 0 48552 SANDERSON FARMS INC COM 800013104 4989 32023 SH SOLE 0 0 32023 SANOFI SPONSORED ADR 80105N105 296 5980 SH SOLE 0 0 5980 SCORE MEDIA & GAMING INC CL A SUB VTG SHS 80919D202 200 7432 SH SOLE 0 0 7432 SEABOARD CORP DEL COM 811543107 841 228 SH SOLE 0 0 228 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 327 2460 SH SOLE 0 0 2460 SENECA FOODS CORP NEW CL A 817070501 1201 25500 SH SOLE 0 0 25500 SMUCKER J M CO COM NEW 832696405 364 2877 SH SOLE 0 0 2877 SONOCO PRODS CO COM 835495102 21525 340055 SH SOLE 0 0 340055 SPDR GOLD TR GOLD SHS 78463V107 334 2087 SH SOLE 0 0 2087 SPDR GOLD TR GOLD SHS 78463V107 160 1000 SH Call SOLE 0 0 1000 SPDR S&P 500 ETF TR TR UNIT 78462F103 594 1499 SH SOLE 0 0 1499 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1018 2139 SH SOLE 0 0 2139 SPDR SER TR PORTFOLIO SHORT 78464A474 1681 53673 SH SOLE 0 0 53673 SPDR SER TR S&P BIOTECH 78464A870 1105 8144 SH SOLE 0 0 8144 SPDR SER TR SPDR BLOOMBERG 78468R663 290 3170 SH SOLE 0 0 3170 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 32410 1865845 SH SOLE 0 0 1865845 STARBUCKS CORP COM 855244109 14518 132863 SH SOLE 0 0 132863 STRYKER CORPORATION COM 863667101 1011 4152 SH SOLE 0 0 4152 SYNCHRONY FINANCIAL COM 87165B103 1854 45600 SH SOLE 0 0 45600 TEMPLETON DRAGON FD INC COM 88018T101 271 11500 SH SOLE 0 0 11500 TEMPLETON GLOBAL INCOME FD COM 880198106 321 60500 SH SOLE 0 0 60500 TERADYNE INC COM 880770102 1731 14227 SH SOLE 0 0 14227 TEXAS INSTRS INC COM 882508104 37392 197854 SH SOLE 0 0 197854 THERMO FISHER SCIENTIFIC INC COM 883556102 36727 80475 SH SOLE 0 0 80475 TOWNSQUARE MEDIA INC CL A 892231101 225 21000 SH SOLE 0 0 21000 TRINITY INDS INC COM 896522109 285 10000 SH SOLE 0 0 10000 UMH PPTYS INC COM 903002103 1628 84900 SH SOLE 0 0 84900 UNILEVER PLC SPON ADR NEW 904767704 6226 111522 SH SOLE 0 0 111522 UNION PAC CORP COM 907818108 1153 5231 SH SOLE 0 0 5231 UNITED PARCEL SERVICE INC CL B 911312106 446 2625 SH SOLE 0 0 2625 UNITEDHEALTH GROUP INC COM 91324P102 21954 59005 SH SOLE 0 0 59005 UNITY SOFTWARE INC COM 91332U101 479 4777 SH SOLE 0 0 4777 UNIVERSAL STAINLESS & ALLOY COM 913837100 144 14197 SH SOLE 0 0 14197 VALERO ENERGY CORP COM 91913Y100 373 5203 SH SOLE 0 0 5203 VALLEY NATL BANCORP COM 919794107 374 27200 SH SOLE 0 0 27200 VALMONT INDS INC COM 920253101 285 1200 SH SOLE 0 0 1200 VANECK MERK GOLD TR GOLD TRUST 921078101 317 19060 SH SOLE 0 0 19060 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 406 12486 SH SOLE 0 0 12486 VANGUARD BD INDEX FDS INTERMED TERM 921937819 230 2588 SH SOLE 0 0 2588 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 13723 166964 SH SOLE 0 0 166964 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 2151 25387 SH SOLE 0 0 25387 VANGUARD INDEX FDS SM CP VAL ETF 922908611 368 2220 SH SOLE 0 0 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101021 WESTERN ASSET GLOBAL CP DEFI COM 95790C107 299 17000 SH SOLE 0 0 17000 WESTERN ASSET GLOBAL HIGH IN COM 95766B109 112 10685 SH SOLE 0 0 10685 WESTERN ASSET MUN PARTNERS F COM 95766P108 183 11941 SH SOLE 0 0 11941 WIRELESS TELECOM GROUP INC COM 976524108 39 22726 SH SOLE 0 0 22726 XYLEM INC COM 98419M100 1310 12459 SH SOLE 0 0 12459