0001085146-22-001838.txt : 20220509 0001085146-22-001838.hdr.sgml : 20220509 20220506200607 ACCESSION NUMBER: 0001085146-22-001838 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220331 FILED AS OF DATE: 20220509 DATE AS OF CHANGE: 20220506 EFFECTIVENESS DATE: 20220509 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: 22902972 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 03-31-2022 03-31-2022 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 05-05-2022 0 338 1296660 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 180 DEGREE CAP CORP COM NEW 68235B208 520 76001 SH SOLE 0 0 76001 3M CO COM 88579Y101 3965 26628 SH SOLE 0 0 26628 ABB LTD SPONSORED ADR 000375204 6877 212636 SH SOLE 0 0 212636 ABBOTT LABS COM 002824100 516 4359 SH SOLE 0 0 4359 ABBVIE INC COM 00287Y109 301 1856 SH SOLE 0 0 1856 ABERDEEN GLOBAL INCOME FD IN COM 003013109 159 25900 SH SOLE 0 0 25900 ABERDEEN JAPAN EQUITY FD INC COM 00306J109 112 16025 SH SOLE 0 0 16025 ACACIA RESH CORP ACACIA TCH COM 003881307 160 35552 SH SOLE 0 0 35552 ACTIVISION BLIZZARD INC COM 00507V109 3552 44336 SH SOLE 0 0 44336 ADVANCED MICRO DEVICES INC COM 007903107 66 600 SH SOLE 0 0 600 ADVANCED MICRO DEVICES INC COM 007903107 219 2000 SH Call SOLE 0 0 2000 AFLAC INC COM 001055102 439 6818 SH SOLE 0 0 6818 AIR LEASE CORP CL A 00912X302 1505 33700 SH SOLE 0 0 33700 ALLEGHANY CORP MD COM 017175100 9096 10739 SH SOLE 0 0 10739 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 607 54303 SH SOLE 0 0 54303 ALLSTATE CORP COM 020002101 416 3000 SH SOLE 0 0 3000 ALPHABET INC CAP STK CL A 02079K305 1207 434 SH SOLE 0 0 434 ALPHABET INC CAP STK CL C 02079K107 1880 673 SH SOLE 0 0 673 ALTO INGREDIENTS INC COM 021513106 95 14000 SH SOLE 0 0 14000 A-MARK PRECIOUS METALS INC COM 00181T107 541 7000 SH SOLE 0 0 7000 AMAZON COM INC COM 023135106 12737 3907 SH SOLE 0 0 3907 AMERICAN EXPRESS CO COM 025816109 572 3061 SH SOLE 0 0 3061 AMERICAN NATIONAL GROUP INC COM NEW 02772A109 1146 6060 SH SOLE 0 0 6060 AMETEK INC COM 031100100 423 3174 SH SOLE 0 0 3174 AMGEN INC COM 031162100 11530 47678 SH SOLE 0 0 47678 ANALOG DEVICES INC COM 032654105 216 1309 SH SOLE 0 0 1309 ANSYS INC COM 03662Q105 413 1300 SH SOLE 0 0 1300 ANTARES PHARMA INC COM 036642106 41 10000 SH SOLE 0 0 10000 ANTHEM INC COM 036752103 701 1428 SH SOLE 0 0 1428 AON PLC SHS CL A G0403H108 6187 19000 SH SOLE 0 0 19000 APOLLO SR FLOATING RATE FD I COM 037636107 712 48700 SH SOLE 0 0 48700 APPLE INC COM 037833100 38324 219486 SH SOLE 0 0 219486 APPLE INC COM 037833100 349 2000 SH Put SOLE 0 0 2000 ARCOSA INC COM 039653100 214 3733 SH SOLE 0 0 3733 ARES CAPITAL CORP COM 04010L103 10754 513337 SH SOLE 0 0 513337 ARTS WAY MFG INC COM 043168103 136 24639 SH SOLE 0 0 24639 AT&T INC COM 00206R102 601 25420 SH SOLE 0 0 25420 AUTOMATIC DATA PROCESSING IN COM 053015103 1392 6118 SH SOLE 0 0 6118 AUTOZONE INC COM 053332102 7608 3721 SH SOLE 0 0 3721 AVERY DENNISON CORP COM 053611109 25517 146675 SH SOLE 0 0 146675 AZEK CO INC CL A 05478C105 221 8900 SH SOLE 0 0 8900 BALLANTYNE STRONG INC COM 058516105 187 60563 SH SOLE 0 0 60563 BAR HBR BANKSHARES COM 066849100 278 9702 SH SOLE 0 0 9702 BELLICUM PHARMACEUTICALS INC COM NEW 079481404 28 12941 SH SOLE 0 0 12941 BERKSHIRE HATHAWAY INC DEL CL A 084670108 6347 12 SH SOLE 0 0 12 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 24697 69981 SH SOLE 0 0 69981 BK OF AMERICA CORP COM 060505104 2062 50034 SH SOLE 0 0 50034 BLACKROCK CAP INVT CORP COM 092533108 92 21783 SH SOLE 0 0 21783 BLACKROCK ENHANCED EQUITY DI COM 09251A104 270 27285 SH SOLE 0 0 27285 BLACKROCK FLOATING RATE INCO COM 09255X100 757 58150 SH SOLE 0 0 58150 BLACKROCK MUNIHLDGS NY QLTY COM 09255C106 265 20700 SH SOLE 0 0 20700 BLACKROCK MUNIYIELD N Y QUAL COM 09255E102 237 19600 SH SOLE 0 0 19600 BLACKSTONE INC COM 09260D107 234 1847 SH SOLE 0 0 1847 BLACKSTONE SECD LENDING FD COMMON STOCK 09261X102 4404 157961 SH SOLE 0 0 157961 BOEING CO COM 097023105 477 2492 SH SOLE 0 0 2492 BORGWARNER INC COM 099724106 10671 274338 SH SOLE 0 0 274338 BRISTOL-MYERS SQUIBB CO COM 110122108 642 8792 SH SOLE 0 0 8792 BUILDERS FIRSTSOURCE INC COM 12008R107 1336 20700 SH SOLE 0 0 20700 CANADIAN IMP BK COMM COM 136069101 3074 25255 SH SOLE 0 0 25255 CANNAE HLDGS INC COM 13765N107 359 15000 SH SOLE 0 0 15000 CATERPILLAR INC COM 149123101 201 900 SH SOLE 0 0 900 CBRE GROUP INC CL A 12504L109 1414 15450 SH SOLE 0 0 15450 CERUS CORP COM 157085101 233 42400 SH SOLE 0 0 42400 CHARTER COMMUNICATIONS INC N CL A 16119P108 1333 2443 SH SOLE 0 0 2443 CHEESECAKE FACTORY INC COM 163072101 211 5300 SH SOLE 0 0 5300 CHENIERE ENERGY INC COM NEW 16411R208 2087 15050 SH SOLE 0 0 15050 CHEVRON CORP NEW COM 166764100 2988 18349 SH SOLE 0 0 18349 CIDARA THERAPEUTICS INC COM 171757107 9 10413 SH SOLE 0 0 10413 CISCO SYS INC COM 17275R102 23985 430141 SH SOLE 0 0 430141 CITIGROUP INC COM NEW 172967424 760 14243 SH SOLE 0 0 14243 COCA COLA CO COM 191216100 509 8212 SH SOLE 0 0 8212 COEUR MNG INC COM NEW 192108504 67 15000 SH SOLE 0 0 15000 COHEN & STEERS INFRASTRUCTUR COM 19248A109 246 8500 SH SOLE 0 0 8500 COHEN & STEERS QUALITY INCOM COM 19247L106 244 14600 SH SOLE 0 0 14600 COHEN & STEERS REIT & PFD & COM 19247X100 742 27600 SH SOLE 0 0 27600 COHEN & STEERS TOTAL RETURN COM 19247R103 196 12700 SH SOLE 0 0 12700 COINBASE GLOBAL INC COM CL A 19260Q107 12274 64651 SH SOLE 0 0 64651 COMCAST CORP NEW CL A 20030N101 396 8462 SH SOLE 0 0 8462 CONOCOPHILLIPS COM 20825C104 1550 15500 SH SOLE 0 0 15500 CONSOLIDATED EDISON INC COM 209115104 437 4611 SH SOLE 0 0 4611 CORNING INC COM 219350105 37612 1019018 SH SOLE 0 0 1019018 COVETRUS INC COM 22304C100 203 12100 SH SOLE 0 0 12100 CSX CORP COM 126408103 455 12146 SH SOLE 0 0 12146 CVD EQUIP CORP COM 126601103 61 13635 SH SOLE 0 0 13635 CVS HEALTH CORP COM 126650100 1432 14153 SH SOLE 0 0 14153 DANA INC COM 235825205 777 44200 SH SOLE 0 0 44200 DEERE & CO COM 244199105 914 2200 SH SOLE 0 0 2200 DIMENSIONAL ETF TRUST INTERNATNAL VAL 25434V807 229 6838 SH SOLE 0 0 6838 DISCOVERY INC COM SER A 25470F104 444 17800 SH SOLE 0 0 17800 DISNEY WALT CO COM 254687106 6481 47249 SH SOLE 0 0 47249 DOLLAR GEN CORP NEW COM 256677105 234 1050 SH SOLE 0 0 1050 DOMINION ENERGY INC COM 25746U109 3041 35787 SH SOLE 0 0 35787 DUKE ENERGY CORP NEW COM NEW 26441C204 262 2344 SH SOLE 0 0 2344 EATON VANCE FLTING RATE INC COM 278279104 234 17680 SH SOLE 0 0 17680 EATON VANCE MUNI INCOME TRUS SH BEN INT 27826U108 118 10000 SH SOLE 0 0 10000 EATON VANCE SR FLTNG RTE TR COM 27828Q105 464 34600 SH SOLE 0 0 34600 EL PASO ENERGY CAP TR I PFD CV TR SEC 28 283678209 263 5277 SH SOLE 0 0 5277 ENBRIDGE INC COM 29250N105 926 20093 SH SOLE 0 0 20093 ENTERPRISE PRODS PARTNERS L COM 293792107 308 11950 SH SOLE 0 0 11950 ENZO BIOCHEM INC COM 294100102 39 13500 SH SOLE 0 0 13500 EQUINIX INC COM 29444U700 1887 2545 SH SOLE 0 0 2545 EQUUS TOTAL RETURN INC COM 294766100 221 85884 SH SOLE 0 0 85884 ETF SER SOLUTIONS DISTILLATE US 26922A321 14506 325964 SH SOLE 0 0 325964 EXPEDIA GROUP INC COM NEW 30212P303 323 1649 SH SOLE 0 0 1649 EXXON MOBIL CORP COM 30231G102 5914 71601 SH SOLE 0 0 71601 FIDELITY MERRIMACK STR TR LOW DURTIN ETF 316188408 221 4400 SH SOLE 0 0 4400 FIRST TR SR FLTG RATE INCOME COM 33733U108 265 21100 SH SOLE 0 0 21100 FIRSTHAND TECHNOLOGY VALUE F COM 33766Y100 61 17708 SH SOLE 0 0 17708 FREQUENCY ELECTRS INC COM 358010106 824 94742 SH SOLE 0 0 94742 FRIEDMAN INDS INC COM 358435105 621 70452 SH SOLE 0 0 70452 GARTNER INC COM 366651107 261 878 SH SOLE 0 0 878 GENCOR INDS INC COM 368678108 243 23608 SH SOLE 0 0 23608 GENERAL ELECTRIC CO COM NEW 369604301 490 5355 SH SOLE 0 0 5355 GENERAL MLS INC COM 370334104 2976 43947 SH SOLE 0 0 43947 GENERAL MTRS CO COM 37045V100 2729 62401 SH SOLE 0 0 62401 GILEAD SCIENCES INC COM 375558103 276 4639 SH SOLE 0 0 4639 GLADSTONE LD CORP COM 376549101 546 15000 SH SOLE 0 0 15000 GLOBAL MED REIT INC COM NEW 37954A204 1080 66200 SH SOLE 0 0 66200 GOLDMAN SACHS ETF TR ACES ULTRA SHR 381430230 1124 22391 SH SOLE 0 0 22391 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 4470 131928 SH SOLE 0 0 131928 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 780 8760 SH SOLE 0 0 8760 GOLDMAN SACHS ETF TR EQUAL WEIGHT US 381430438 11285 168082 SH SOLE 0 0 168082 GRAINGER W W INC COM 384802104 671 1300 SH SOLE 0 0 1300 GSI TECHNOLOGY INC COM 36241U106 129 33606 SH SOLE 0 0 33606 HANNON ARMSTRONG SUST INFR C COM 41068X100 466 9826 SH SOLE 0 0 9826 HAYWARD HLDGS INC COM 421298100 366 22000 SH SOLE 0 0 22000 HEALTHCARE SVCS GROUP INC COM 421906108 292 15710 SH SOLE 0 0 15710 HENRY SCHEIN INC COM 806407102 1092 12525 SH SOLE 0 0 12525 HOLOGIC INC COM 436440101 230 3000 SH SOLE 0 0 3000 HOME DEPOT INC COM 437076102 554 1850 SH SOLE 0 0 1850 HOWMET AEROSPACE INC COM 443201108 293 8165 SH SOLE 0 0 8165 HURCO CO COM 447324104 352 11160 SH SOLE 0 0 11160 II-VI INC COM 902104108 12141 167489 SH SOLE 0 0 167489 ILLINOIS TOOL WKS INC COM 452308109 6243 29813 SH SOLE 0 0 29813 IMMUCELL CORP COM PAR 452525306 792 82046 SH SOLE 0 0 82046 INPIXON COM 45790J800 6 24100 SH SOLE 0 0 24100 INTEL CORP COM 458140100 30885 623175 SH SOLE 0 0 623175 INTERNATIONAL BUSINESS MACHS COM 459200101 1643 12637 SH SOLE 0 0 12637 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 915 67464 SH SOLE 0 0 67464 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 CB 46138J882 7534 354392 SH SOLE 0 0 354392 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 HY 46138J874 254 11100 SH SOLE 0 0 11100 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 CB 46138J866 1683 79760 SH SOLE 0 0 79760 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 HY 46138J858 615 25100 SH SOLE 0 0 25100 INVESCO EXCH TRD SLF IDX FD BULSHS 2024 CB 46138J841 3524 167252 SH SOLE 0 0 167252 INVESCO EXCH TRD SLF IDX FD BULSHS 2026 CB 46138J791 106572 5336589 SH SOLE 0 0 5336589 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 52931 335618 SH SOLE 0 0 335618 INVESCO MUN OPPORTUNITY TR COM 46132C107 126 11000 SH SOLE 0 0 11000 INVESCO QQQ TR UNIT SER 1 46090E103 962 2653 SH SOLE 0 0 2653 INVESCO SR INCOME TR COM 46131H107 64 15000 SH SOLE 0 0 15000 INVESCO TR INVT GRADE MUNS COM 46131M106 407 35000 SH SOLE 0 0 35000 INVESCO TR INVT GRADE NEW YO COM 46131T101 180 15500 SH SOLE 0 0 15500 ISHARES INC CORE MSCI EMKT 46434G103 264 4748 SH SOLE 0 0 4748 ISHARES INC MSCI EQUAL WEITE 464286681 1360 16027 SH SOLE 0 0 16027 ISHARES TR 0-5YR INVT GR CP 46434V100 1828 37039 SH SOLE 0 0 37039 ISHARES TR BLACKROCK ULTRA 46434V878 16034 319718 SH SOLE 0 0 319718 ISHARES TR CORE MSCI EAFE 46432F842 10035 144382 SH SOLE 0 0 144382 ISHARES TR CORE MSCI TOTAL 46432F834 516 7755 SH SOLE 0 0 7755 ISHARES TR CORE S&P MCP ETF 464287507 431 1607 SH SOLE 0 0 1607 ISHARES TR CORE S&P500 ETF 464287200 204 450 SH SOLE 0 0 450 ISHARES TR CORE US AGGBD ET 464287226 2556 23862 SH SOLE 0 0 23862 ISHARES TR EAFE GRWTH ETF 464288885 264 2746 SH SOLE 0 0 2746 ISHARES TR EAFE VALUE ETF 464288877 357 7102 SH SOLE 0 0 7102 ISHARES TR GL CLEAN ENE ETF 464288224 1192 55389 SH SOLE 0 0 55389 ISHARES TR ISHS 1-5YR INVS 464288646 18698 361525 SH SOLE 0 0 361525 ISHARES TR LATN AMER 40 ETF 464287390 359 11812 SH SOLE 0 0 11812 ISHARES TR MSCI EAFE MIN VL 46429B689 244 3378 SH SOLE 0 0 3378 ISHARES TR MSCI EMG MKT ETF 464287234 229 5079 SH SOLE 0 0 5079 ISHARES TR MSCI INTL MOMENT 46434V449 244 6881 SH SOLE 0 0 6881 ISHARES TR MSCI INTL QUALTY 46434V456 218 5918 SH SOLE 0 0 5918 ISHARES TR MSCI USA MIN VOL 46429B697 3239 41754 SH SOLE 0 0 41754 ISHARES TR MSCI USA MMENTM 46432F396 837 4971 SH SOLE 0 0 4971 ISHARES TR MSCI USA QLT FCT 46432F339 16849 125153 SH SOLE 0 0 125153 ISHARES TR PFD AND INCM SEC 464288687 1502 41245 SH SOLE 0 0 41245 ISHARES TR RESIDENTIAL MULT 464288562 288 3000 SH SOLE 0 0 3000 ISHARES TR RUS 1000 GRW ETF 464287614 627 2260 SH SOLE 0 0 2260 ISHARES TR RUS MDCP VAL ETF 464287473 219 1827 SH SOLE 0 0 1827 ISHARES TR RUSSELL 2000 ETF 464287655 1815 8844 SH SOLE 0 0 8844 ISHARES TR U.S. MED DVC ETF 464288810 204 3350 SH SOLE 0 0 3350 ISHARES U S ETF TR BLACKROCK ST MAT 46431W507 46608 940239 SH SOLE 0 0 940239 J & J SNACK FOODS CORP COM 466032109 2621 16900 SH SOLE 0 0 16900 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 49515 984982 SH SOLE 0 0 984982 JACOBS ENGR GROUP INC COM 469814107 2890 20973 SH SOLE 0 0 20973 JETBLUE AWYS CORP COM 477143101 337 22551 SH SOLE 0 0 22551 JOHNSON & JOHNSON COM 478160104 5693 32122 SH SOLE 0 0 32122 JOHNSON CTLS INTL PLC SHS G51502105 27068 412813 SH SOLE 0 0 412813 JPMORGAN CHASE & CO COM 46625H100 26812 196687 SH SOLE 0 0 196687 KAR AUCTION SVCS INC COM 48238T109 13158 728952 SH SOLE 0 0 728952 KELLOGG CO COM 487836108 274 4254 SH SOLE 0 0 4254 KEY TRONIC CORP COM 493144109 110 19435 SH SOLE 0 0 19435 KIRBY CORP COM 497266106 520 7200 SH SOLE 0 0 7200 KLA CORP COM NEW 482480100 1083 2959 SH SOLE 0 0 2959 L3HARRIS TECHNOLOGIES INC COM 502431109 378 1520 SH SOLE 0 0 1520 LAUDER ESTEE COS INC CL A 518439104 3678 13508 SH SOLE 0 0 13508 LENNAR CORP CL A 526057104 15684 193224 SH SOLE 0 0 193224 LIBERTY BROADBAND CORP COM SER C 530307305 2523 18644 SH SOLE 0 0 18644 LIBERTY MEDIA CORP DEL COM A SIRIUSXM 531229409 1217 26631 SH SOLE 0 0 26631 LIBERTY MEDIA CORP DEL COM C SIRIUSXM 531229607 7384 161475 SH SOLE 0 0 161475 LILLY ELI & CO COM 532457108 13252 46275 SH SOLE 0 0 46275 LINCOLN NATL CORP IND COM 534187109 665 10180 SH SOLE 0 0 10180 LISTED FD TR HORIZON KINETICS 53656F623 28128 844424 SH SOLE 0 0 844424 M & T BK CORP COM 55261F104 366 2159 SH SOLE 0 0 2159 MANHATTAN BRDG CAP INC COM 562803106 1193 187810 SH SOLE 0 0 187810 MANITEX INTL INC COM 563420108 1201 165002 SH SOLE 0 0 165002 MARATHON PETE CORP COM 56585A102 776 9072 SH SOLE 0 0 9072 MARTIN MARIETTA MATLS INC COM 573284106 269 700 SH SOLE 0 0 700 MASTERCARD INCORPORATED CL A 57636Q104 314 879 SH SOLE 0 0 879 MCDONALDS CORP COM 580135101 250 1010 SH SOLE 0 0 1010 MCKESSON CORP COM 58155Q103 214 700 SH SOLE 0 0 700 MEDICAL PPTYS TRUST INC COM 58463J304 463 21900 SH SOLE 0 0 21900 MEDTRONIC PLC SHS G5960L103 1434 12922 SH SOLE 0 0 12922 MERCER INTL INC COM 588056101 2597 186200 SH SOLE 0 0 186200 MERCK & CO INC COM 58933Y105 1606 19571 SH SOLE 0 0 19571 META PLATFORMS INC CL A 30303M102 370 1665 SH SOLE 0 0 1665 METLIFE INC COM 59156R108 5562 79139 SH SOLE 0 0 79139 MICROSOFT CORP COM 594918104 35918 116499 SH SOLE 0 0 116499 MONDELEZ INTL INC CL A 609207105 276 4394 SH SOLE 0 0 4394 MONTROSE ENVIRONMENTAL GROUP COM 615111101 478 9031 SH SOLE 0 0 9031 MORGAN STANLEY COM NEW 617446448 655 7495 SH SOLE 0 0 7495 NANO DIMENSION LTD SPONSORD ADS NEW 63008G203 106 29860 SH SOLE 0 0 29860 NATIONAL WESTN LIFE GROUP IN CL A 638517102 1102 5237 SH SOLE 0 0 5237 NEW YORK CMNTY BANCORP INC COM 649445103 733 68400 SH SOLE 0 0 68400 NEW YORK TIMES CO CL A 650111107 1704 37165 SH SOLE 0 0 37165 NEXTERA ENERGY INC COM 65339F101 481 5684 SH SOLE 0 0 5684 NORTONLIFELOCK INC COM 668771108 1070 40361 SH SOLE 0 0 40361 NOVARTIS AG SPONSORED ADR 66987V109 372 4240 SH SOLE 0 0 4240 NUTRIEN LTD COM 67077M108 10317 99211 SH SOLE 0 0 99211 NUVEEN AMT FREE QLTY MUN INC COM 670657105 132 10043 SH SOLE 0 0 10043 NUVEEN MUN VALUE FD INC COM 670928100 139 14500 SH SOLE 0 0 14500 NUVEEN NEW YORK QLT MUN INC COM 67066X107 163 13000 SH SOLE 0 0 13000 NUVEEN PFD & INCM SECURTIES COM 67072C105 137 16327 SH SOLE 0 0 16327 NUVEEN PFD & INCOME OPPORTUN COM 67073B106 150 17500 SH SOLE 0 0 17500 NVIDIA CORPORATION COM 67066G104 497 1820 SH SOLE 0 0 1820 OBSIDIAN ENERGY LTD COM 674482203 96 10871 SH SOLE 0 0 10871 OPKO HEALTH INC COM 68375N103 85 24600 SH SOLE 0 0 24600 ORACLE CORP COM 68389X105 274 3315 SH SOLE 0 0 3315 ORGANON & CO COMMON STOCK 68622V106 377 10780 SH SOLE 0 0 10780 P & F INDS INC CL A NEW 692830508 101 16783 SH SOLE 0 0 16783 PARAMOUNT GLOBAL CLASS B COM 92556H206 816 21582 SH SOLE 0 0 21582 PDC ENERGY INC COM 69327R101 4291 59038 SH SOLE 0 0 59038 PENNSYLVANIA REAL ESTATE INV SH BEN INT 709102107 6 10100 SH SOLE 0 0 10100 PEPSICO INC COM 713448108 4313 25766 SH SOLE 0 0 25766 PERMA-FIX ENVIRONMENTAL SVCS COM NEW 714157203 123 22173 SH SOLE 0 0 22173 PERMA-PIPE INTL HLDGS INC COM 714167103 983 104259 SH SOLE 0 0 104259 PFIZER INC COM 717081103 4393 84865 SH SOLE 0 0 84865 PHILLIPS 66 COM 718546104 186 2150 SH SOLE 0 0 2150 PHILLIPS 66 COM 718546104 60 700 SH Call SOLE 0 0 700 PHYSICIANS RLTY TR COM 71943U104 1224 69800 SH SOLE 0 0 69800 PIMCO INCOME STRATEGY FD COM 72201H108 394 38600 SH SOLE 0 0 38600 PIMCO INCOME STRATEGY FD II COM 72201J104 290 33400 SH SOLE 0 0 33400 PLX PHARMA INC COM 72942A107 135 33500 SH SOLE 0 0 33500 PROCTER AND GAMBLE CO COM 742718109 734 4799 SH SOLE 0 0 4799 PROSPECT CAP CORP COM 74348T102 83 10000 SH SOLE 0 0 10000 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 558 7973 SH SOLE 0 0 7973 PURE STORAGE INC CL A 74624M102 2722 77100 SH SOLE 0 0 77100 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 39 11000 SH SOLE 0 0 11000 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 664 166500 SH SOLE 0 0 166500 QUALCOMM INC COM 747525103 22184 145168 SH SOLE 0 0 145168 QUEST DIAGNOSTICS INC COM 74834L100 999 7300 SH SOLE 0 0 7300 RAND CAP CORP COM NEW 752185207 627 41394 SH SOLE 0 0 41394 RAYTHEON TECHNOLOGIES CORP COM 75513E101 393 3971 SH SOLE 0 0 3971 REALTY INCOME CORP COM 756109104 1653 23850 SH SOLE 0 0 23850 REDWOOD TR INC COM 758075402 837 79500 SH SOLE 0 0 79500 REGENERON PHARMACEUTICALS COM 75886F107 320 458 SH SOLE 0 0 458 RENN FD INC COM 759720105 96 44570 SH SOLE 0 0 44570 RESEARCH FRONTIERS INC COM 760911107 303 157981 SH SOLE 0 0 157981 S&P GLOBAL INC COM 78409V104 274 667 SH SOLE 0 0 667 S&W SEED CO COM 785135104 411 193009 SH SOLE 0 0 193009 SABA CAPITAL INCOME & OPRNT SHARES 78518H103 467 103387 SH SOLE 0 0 103387 SAFE T GROUP LTD SPONSORD ADS NEW 78643B401 12 14200 SH SOLE 0 0 14200 SAFEGUARD SCIENTIFICS INC COM NEW 786449207 174 33392 SH SOLE 0 0 33392 SALARIUS PHARMACEUTICALS INC COM NEW 79400X107 7 16400 SH SOLE 0 0 16400 SALESFORCE COM INC COM 79466L302 9756 45951 SH SOLE 0 0 45951 SANDERSON FARMS INC COM 800013104 5041 26886 SH SOLE 0 0 26886 SANOFI SPONSORED ADR 80105N105 276 5380 SH SOLE 0 0 5380 SEABOARD CORP DEL COM 811543107 707 168 SH SOLE 0 0 168 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 526 3839 SH SOLE 0 0 3839 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 379 2387 SH SOLE 0 0 2387 SENECA FOODS CORP NEW CL A 817070501 1051 20400 SH SOLE 0 0 20400 SHELL PLC SPON ADS 780259305 744 13550 SH SOLE 0 0 13550 SIGMATRON INTL INC COM 82661L101 98 14368 SH SOLE 0 0 14368 SMUCKER J M CO COM NEW 832696405 529 3903 SH SOLE 0 0 3903 SONOCO PRODS CO COM 835495102 1290 20624 SH SOLE 0 0 20624 SPARK NETWORKS SE SPONSORED ADS 846517100 27 10000 SH SOLE 0 0 10000 SPDR GOLD TR GOLD SHS 78463V107 14944 82722 SH SOLE 0 0 82722 SPDR S&P 500 ETF TR TR UNIT 78462F103 770 1705 SH SOLE 0 0 1705 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1045 2130 SH SOLE 0 0 2130 SPDR SER TR S&P BIOTECH 78464A870 752 8369 SH SOLE 0 0 8369 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 35528 1833217 SH SOLE 0 0 1833217 STARBUCKS CORP COM 855244109 11327 124508 SH SOLE 0 0 124508 STEEL CONNECT INC COM 858098106 26 20204 SH SOLE 0 0 20204 STRYKER CORPORATION COM 863667101 607 2269 SH SOLE 0 0 2269 SYNCHRONY FINANCIAL COM 87165B103 1539 44200 SH SOLE 0 0 44200 TEMPLETON GLOBAL INCOME FD COM 880198106 226 45000 SH SOLE 0 0 45000 TERADYNE INC COM 880770102 1053 8907 SH SOLE 0 0 8907 TESLA INC COM 88160R101 272 252 SH SOLE 0 0 252 TEXAS INSTRS INC COM 882508104 35215 191929 SH SOLE 0 0 191929 THERMO FISHER SCIENTIFIC INC COM 883556102 40927 69292 SH SOLE 0 0 69292 TRINITY INDS INC COM 896522109 344 10000 SH SOLE 0 0 10000 UMH PPTYS INC COM 903002103 1439 58500 SH SOLE 0 0 58500 UNILEVER PLC SPON ADR NEW 904767704 5237 114926 SH SOLE 0 0 114926 UNION PAC CORP COM 907818108 1433 5246 SH SOLE 0 0 5246 UNITED PARCEL SERVICE INC CL B 911312106 558 2602 SH SOLE 0 0 2602 UNITEDHEALTH GROUP INC COM 91324P102 19847 38918 SH SOLE 0 0 38918 UNIVERSAL STAINLESS & ALLOY COM 913837100 154 17697 SH SOLE 0 0 17697 US FOODS HLDG CORP COM 912008109 296 7860 SH SOLE 0 0 7860 VALERO ENERGY CORP COM 91913Y100 498 4903 SH SOLE 0 0 4903 VALLEY NATL BANCORP COM 919794107 247 19000 SH SOLE 0 0 19000 VALMONT INDS INC COM 920253101 286 1200 SH SOLE 0 0 1200 VANECK ETF TRUST GOLD MINERS ETF 92189F106 524 13655 SH SOLE 0 0 13655 VANECK MERK GOLD TR GOLD TRUST 921078101 401 21286 SH SOLE 0 0 21286 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 11638 149396 SH SOLE 0 0 149396 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 2217 27878 SH SOLE 0 0 27878 VANGUARD INDEX FDS MID CAP ETF 922908629 6412 26958 SH SOLE 0 0 26958 VANGUARD INDEX FDS SM CP VAL ETF 922908611 1503 8544 SH SOLE 0 0 8544 VANGUARD INDEX FDS TOTAL STK MKT 922908769 956 4197 SH SOLE 0 0 4197 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 612 13269 SH SOLE 0 0 13269 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 215 1734 SH SOLE 0 0 1734 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 3796 48607 SH SOLE 0 0 48607 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 822 17115 SH SOLE 0 0 17115 VANGUARD WORLD FD ESG US STK ETF 921910733 389 4800 SH SOLE 0 0 4800 VERIZON COMMUNICATIONS INC COM 92343V104 592 11625 SH SOLE 0 0 11625 VILLAGE SUPER MKT INC CL A NEW 927107409 595 24300 SH SOLE 0 0 24300 VIRCO MFG CO COM 927651109 37 12247 SH SOLE 0 0 12247 VIRNETX HLDG CORP COM 92823T108 56 34600 SH SOLE 0 0 34600 VISA INC COM CL A 92826C839 330 1488 SH SOLE 0 0 1488 VISHAY PRECISION GROUP INC COM 92835K103 1436 44651 SH SOLE 0 0 44651 WALKER & DUNLOP INC COM 93148P102 12841 99220 SH SOLE 0 0 99220 WALMART INC COM 931142103 476 3195 SH SOLE 0 0 3195 WATERS CORP COM 941848103 248 800 SH SOLE 0 0 800 WENDYS CO COM 95058W100 2187 99548 SH SOLE 0 0 99548 WESTERN ASSET GBL HIGH INC F COM 95766B109 112 13185 SH SOLE 0 0 13185 WESTERN ASSET GLOBAL CORP DE COM 95790C107 955 64300 SH SOLE 0 0 64300 WESTERN ASSET MUN PARTNERS F COM 95766P108 153 11336 SH SOLE 0 0 11336 WILLSCOT MOBIL MINI HLDNG CO COM CL A 971378104 383 9800 SH SOLE 0 0 9800 WIRELESS TELECOM GROUP INC COM 976524108 96 55915 SH SOLE 0 0 55915 XYLEM INC COM 98419M100 1012 11875 SH SOLE 0 0 11875 YUM BRANDS INC COM 988498101 1359 11468 SH SOLE 0 0 11468 YUM CHINA HLDGS INC COM 98850P109 505 12168 SH SOLE 0 0 12168