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
Managing Director
212-754-5100
/s/ Steven J. Glass
New York
NY
04-27-2021
0
306
1260697
false
INFORMATION TABLE
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INFORMATION TABLE
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COM NEW
68235B208
200
27001
SH
SOLE
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0
27001
3M CO
COM
88579Y101
5409
28071
SH
SOLE
0
0
28071
ABB LTD
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6695
219729
SH
SOLE
0
0
219729
ABBOTT LABS
COM
002824100
332
2772
SH
SOLE
0
0
2772
ABBVIE INC
COM
00287Y109
8361
77256
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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
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CAP STK CL A
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518
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SOLE
0
0
518
ALPHABET INC
CAP STK CL C
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SOLE
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A-MARK PRECIOUS METALS INC
COM
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360
10000
SH
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10000
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COM
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2639
SH
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2639
AMERICAN EXPRESS CO
COM
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1583
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405
3550
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SOLE
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21600
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21600
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CL A
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87
5000
SH
Call
SOLE
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0
5000
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COM
031100100
444
3474
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SOLE
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3474
AMGEN INC
COM
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13134
52789
SH
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ANTHEM INC
COM
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503
1400
SH
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19500
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19500
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43500
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SOLE
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APPLE INC
COM
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APPLE INC
COM
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244
2000
SH
Put
SOLE
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ARCOSA INC
COM
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243
3733
SH
SOLE
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ARES CAPITAL CORP
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10730
573478
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573478
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COM
043168103
58
18784
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341
11279
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11279
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5059
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377
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COM
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5247
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COM
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CL A
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6300
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COM
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91
35000
SH
SOLE
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35000
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COM
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333
11304
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SOLE
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11304
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COM
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233
960
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SOLE
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COM NEW
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12941
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SOLE
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BERKSHIRE HATHAWAY INC DEL
CL A
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14
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CL B NEW
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99258
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COM
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9000
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SOLE
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COM
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51397
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SOLE
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COM
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29285
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BLACKROCK SCIENCE & TECH TR
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SOLE
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COM
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BUILDERS FIRSTSOURCE INC
COM
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SOLE
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SH
SOLE
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COM
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SH
SOLE
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CBRE GROUP INC
CL A
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SOLE
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CERUS CORP
COM
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16500
SH
SOLE
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CHARTER COMMUNICATIONS INC N
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CHEESECAKE FACTORY INC
COM
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5300
SH
SOLE
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COM NEW
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CHEVRON CORP NEW
COM
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SH
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CISCO SYS INC
COM
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SH
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453573
CITIGROUP INC
COM NEW
172967424
1080
14844
SH
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14844
COCA COLA CO
COM
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533
10113
SH
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14800
COHEN & STEERS TOTAL RETURN
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CL A
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CONOCOPHILLIPS
COM
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COM
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SH
SOLE
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CORNING INC
COM
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SH
SOLE
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COVETRUS INC
COM
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12100
SH
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CSX CORP
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COM
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DIAGEO PLC
SPON ADR NEW
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COM
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SOLE
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DOLLAR GEN CORP NEW
COM
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203
1000
SH
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1000
DOMINION ENERGY INC
COM
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SH
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EATON VANCE FLTING RATE INC
COM
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28100
EATON VANCE MUNI INCOME TRUS
SH BEN INT
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SH
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EATON VANCE SR FLTNG RTE TR
COM
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SH
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29000
EMERSON ELEC CO
COM
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SH
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ENBRIDGE INC
COM
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ENCORE CAP GROUP INC
COM
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ENCORE CAP GROUP INC
COM
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SH
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COM
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EQUINIX INC
COM
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EQUUS TOTAL RETURN INC
COM
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EXPEDIA GROUP INC
COM NEW
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283
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SH
SOLE
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0
1645
EXXON MOBIL CORP
COM
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SH
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FACEBOOK INC
CL A
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LOW DURTIN ETF
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446
8800
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FIRST TR SR FLG RTE INCM FD
COM
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SH
SOLE
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21700
FORD MTR CO DEL
COM
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140
11408
SH
SOLE
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FREQUENCY ELECTRS INC
COM
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FRIEDMAN INDS INC
COM
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GATX CORP
COM
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COM
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COM
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COM
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COM
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GILEAD SCIENCES INC
COM
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COM
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COM
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COM
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IMMUCELL CORP
COM PAR
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INTEL CORP
COM
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COM
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COM
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COM
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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
SOLE
0
0
195500
MARATHON PETE CORP
COM
56585A102
945
17662
SH
SOLE
0
0
17662
MASTERCARD INCORPORATED
CL A
57636Q104
228
639
SH
SOLE
0
0
639
MCKESSON CORP
COM
58155Q103
527
2700
SH
SOLE
0
0
2700
MEDICAL PPTYS TRUST INC
COM
58463J304
702
33000
SH
SOLE
0
0
33000
MEDTRONIC PLC
SHS
G5960L103
1093
9254
SH
SOLE
0
0
9254
MERCER INTL INC
COM
588056101
2613
181600
SH
SOLE
0
0
181600
MERCK & CO. 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
COM
74348T102
91
11800
SH
SOLE
0
0
11800
PUBLIC SVC ENTERPRISE GRP IN
COM
744573106
564
9373
SH
SOLE
0
0
9373
PURE STORAGE INC
CL A
74624M102
1616
75000
SH
SOLE
0
0
75000
PURE STORAGE INC
CL A
74624M102
215
10000
SH
Call
SOLE
0
0
10000
PUTNAM MASTER INTER INCOME T
SH BEN INT
746909100
48
11000
SH
SOLE
0
0
11000
PUTNAM PREMIER INCOME TR
SH BEN INT
746853100
768
157800
SH
SOLE
0
0
157800
QUALCOMM INC
COM
747525103
19525
147260
SH
SOLE
0
0
147260
QUEST DIAGNOSTICS INC
COM
74834L100
950
7400
SH
SOLE
0
0
7400
RAND CAP CORP
COM NEW
752185207
278
15444
SH
SOLE
0
0
15444
RAYTHEON TECHNOLOGIES CORP
COM
75513E101
752
9731
SH
SOLE
0
0
9731
REALTY INCOME CORP
COM
756109104
744
11720
SH
SOLE
0
0
11720
REGENERON PHARMACEUTICALS
COM
75886F107
393
830
SH
SOLE
0
0
830
RESEARCH FRONTIERS INC
COM
760911107
485
170750
SH
SOLE
0
0
170750
RING ENERGY INC
COM
76680V108
46
20000
SH
SOLE
0
0
20000
ROYAL DUTCH SHELL PLC
SPONS ADR A
780259206
361
9200
SH
SOLE
0
0
9200
RPT REALTY
SH BEN INT
74971D101
114
10000
SH
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
2220
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
414
2001
SH
SOLE
0
0
2001
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
402
7719
SH
SOLE
0
0
7719
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
416
5042
SH
SOLE
0
0
5042
VANGUARD TAX-MANAGED INTL FD
FTSE DEV MKT ETF
921943858
382
7780
SH
SOLE
0
0
7780
VANGUARD WORLD FD
ESG US STK ETF
921910733
428
5800
SH
SOLE
0
0
5800
VERIZON COMMUNICATIONS INC
COM
92343V104
645
11092
SH
SOLE
0
0
11092
VIACOMCBS INC
CL B
92556H206
392
8682
SH
SOLE
0
0
8682
VILLAGE SUPER MKT INC
CL A NEW
927107409
684
29000
SH
SOLE
0
0
29000
VIRNETX HLDG CORP
COM
92823T108
68
12200
SH
SOLE
0
0
12200
VISA INC
COM CL A
92826C839
499
2357
SH
SOLE
0
0
2357
VISHAY PRECISION GROUP INC
COM
92835K103
1551
50338
SH
SOLE
0
0
50338
VOYA PRIME RATE TR
SH BEN INT
92913A100
1046
225500
SH
SOLE
0
0
225500
WALKER & DUNLOP INC
COM
93148P102
12362
120325
SH
SOLE
0
0
120325
WALMART INC
COM
931142103
510
3753
SH
SOLE
0
0
3753
WENDYS CO
COM
95058W100
2047
101021
SH
SOLE
0
0
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