13F-HR filed by Thomas J. Herzfeld Advisors, Inc.
Thomas J. Herzfeld Advisors, Inc. filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-14, with 280 holding rows worth $179,846,000.
- Accession
- 0001398344-14-005932
- Filer
- CIK 1509510
- Filed
- 2014-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 280 entries on the cover page, a total value of $179,846,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $179,846,000 with VALUE read as thousands by filing date, 13F file number 028-14375. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| Oxford Lane Capital, 7.50% Pfd Series 2023 | 691543300 | preferred stock | 266,164 | $6,494,000 | thousands by filing date | |
| First Opportunity Fund | 33587T108 | common stock | 650,851 | $6,307,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 244,235 | $5,488,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 1,136,380 | $5,284,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 374,821 | $5,225,000 | thousands by filing date | |
| PETROLEUM & RES CORP | 716549100 | COM | 181,142 | $5,217,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 538,400 | $4,582,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 205,818 | $4,295,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 362,453 | $3,237,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 86,166 | $3,193,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 158,274 | $2,976,000 | thousands by filing date | |
| COPA HOLDINGS SA | P31076105 | CL A | 25,800 | $2,768,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 230,877 | $2,754,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 451,708 | $2,633,000 | thousands by filing date | |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 193,348 | $2,604,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 187,746 | $2,499,000 | thousands by filing date | |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 140,718 | $2,495,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 104,442 | $2,418,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 109,681 | $2,375,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 57,330 | $2,298,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 230,138 | $2,276,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 229,097 | $2,270,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 282,652 | $2,261,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 131,130 | $2,241,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 405,470 | $2,222,000 | thousands by filing date | |
| Oxford Lane Cap8.125. Called 7 | 691543409 | PFD | 87,135 | $2,205,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 62,155 | $2,142,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 154,543 | $2,113,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 67,100 | $2,055,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 42,284 | $2,034,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 19,602 | $1,974,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 130,589 | $1,894,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 261,158 | $1,857,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 130,637 | $1,820,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 26,000 | $1,750,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 86,111 | $1,711,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 633 | $1,693,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 40,500 | $1,573,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 197,622 | $1,492,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 106,891 | $1,480,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 66,792 | $1,451,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 229,579 | $1,355,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 32,624 | $1,354,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 159,859 | $1,330,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 36,443 | $1,313,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 146,752 | $1,297,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 77,587 | $1,296,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 31,000 | $1,245,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 104,013 | $1,215,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 47,297 | $1,169,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 58,199 | $1,156,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 44,690 | $1,126,000 | thousands by filing date | |
| BANCOLOMBIA S A | 05968L102 | SPON ADR PREF | 19,280 | $1,094,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 36,908 | $1,077,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 12,300 | $1,060,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 109,186 | $1,058,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 108,773 | $1,021,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 201,020 | $969,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 28,400 | $962,000 | thousands by filing date | |
| CYBERONICS | 23251P102 | COMMON STOCK | 18,330 | $938,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 61,616 | $933,000 | thousands by filing date | |
| CHIQUITA BRANDS INTL INC | 170032809 | COM | 63,809 | $906,000 | thousands by filing date | |
| GAMCO Global Gold, Natural Resources & Income Trust by Gabelli Preferred Series B | 36465A307 | preferred stock | 41,824 | $893,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 27,000 | $882,000 | thousands by filing date | |
| MONTGOMERY STR INCOME SECS I | 614115103 | COM | 53,675 | $876,000 | thousands by filing date | |
| FOMENTO ECONOMICO MEXICANO S A SPON ADR UNITS | 344419106 | ADR | 9,500 | $874,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 60,629 | $869,000 | thousands by filing date | |
| BOULDER TOTAL RET FD INC | 101541100 | COM | 32,938 | $868,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 57,530 | $812,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 56,743 | $740,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 32,036 | $736,000 | thousands by filing date | |
| STEINER LEISURE LTD | P8744Y102 | ORD | 19,467 | $732,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 23,001 | $726,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 85,999 | $720,000 | thousands by filing date | |
| TECO ENERGY INC | 872375100 | COM | 40,500 | $704,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 30,071 | $701,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 52,353 | $694,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 54,464 | $651,000 | thousands by filing date | |
| GDL FUND (THE) SER B PFD | 361570302 | preferred stock | 12,800 | $649,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 22,793 | $647,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 5,500 | $614,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 31,090 | $614,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 24,634 | $609,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 38,994 | $558,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 31,626 | $547,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 16,016 | $511,000 | thousands by filing date | |
| NUVEEN DIVER CURRENCY OPPOR | 67090N109 | COM | 46,610 | $497,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 41,468 | $490,000 | thousands by filing date | |
| NUVEEN BUILD AMER BD OPPTNY | 67074q102 | COM | 23,013 | $488,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 23,900 | $485,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 22,173 | $457,000 | thousands by filing date | |
| DEL MONTE CORP ORD | G36738105 | Stock | 13,890 | $443,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 36,300 | $436,000 | thousands by filing date | |
| ATLANTIC TELE NETWORK INC | 049079205 | COM NEW | 8,000 | $431,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 22,001 | $430,000 | thousands by filing date | |
| GAMCO INVESTORS, 5 PFDPFD SER G | 362397176 | PREFERRED STOCK | 18,615 | $423,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 30,513 | $415,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 24,515 | $414,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 9,361 | $408,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 35,075 | $407,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 14,677 | $402,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 17,643 | $394,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 76,628 | $385,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 22,669 | $377,000 | thousands by filing date | |
| ROYCE FOCUS TR | 78080N108 | COM | 44,434 | $350,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 28,227 | $347,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 13,170 | $340,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 26,535 | $330,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 11,307 | $315,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 15,207 | $307,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 27,500 | $292,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 14,834 | $280,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 4,292 | $279,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 22,228 | $262,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 17,272 | $262,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 46,230 | $260,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 15,600 | $255,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 1,900 | $245,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 14,786 | $244,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 4,000 | $241,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 14,001 | $235,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 23,835 | $227,000 | thousands by filing date | |
| BLACKROCK MUNIYLD MICH QLTY | 09254W103 | COM | 17,550 | $220,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 26,056 | $218,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 12,100 | $211,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 15,000 | $206,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 92,292 | $204,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 9,496 | $201,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 19,899 | $193,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 12,000 | $192,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 16,756 | $186,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 10,425 | $186,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 9,037 | $184,000 | thousands by filing date | |
| POPULAR INC | 733174700 | COM NEW | 6,000 | $177,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 8,258 | $176,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 11,067 | $168,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 9,331 | $161,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 106,588 | $160,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 9,001 | $158,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 11,432 | $157,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 12,520 | $156,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 12,150 | $155,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 9,185 | $154,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 7,001 | $152,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 18,296 | $150,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 2,000 | $150,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 7,000 | $149,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 16,927 | $147,000 | thousands by filing date | |
| Foxby Corp. | 351645106 | common stock | 76,580 | $146,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 6,431 | $145,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 11,415 | $141,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 10,955 | $136,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 10,532 | $133,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 5,231 | $130,000 | thousands by filing date | |
| BROOKFIELD TOTAL RETURN FD I | 11283U108 | COM | 5,200 | $130,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 9,012 | $122,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 10,307 | $121,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 36,000 | $112,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 9,000 | $110,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 9,961 | $105,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 8,801 | $104,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 5,000 | $104,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 4,122 | $102,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 9,000 | $101,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 5,000 | $99,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 8,471 | $98,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 8,000 | $98,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 7,200 | $98,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 8,864 | $96,000 | thousands by filing date | |
| NUVEEN NEW JERSEY DIVID | 67071T109 | COM | 7,000 | $92,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 6,500 | $88,000 | thousands by filing date | |
| PRICESMART INC COM | 741511109 | Stock | 1,000 | $86,000 | thousands by filing date | |
| BROOKFIELD MTG OPP INC FD IN | 112792106 | COM | 5,001 | $85,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 6,001 | $84,000 | thousands by filing date | |
| CORNERSTONE PROGRESSIVE RTN | 21925C101 | COM | 19,662 | $81,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 5,440 | $79,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 5,400 | $78,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 6,050 | $76,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 5,600 | $75,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 4,206 | $71,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 3,215 | $70,000 | thousands by filing date | |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 5,000 | $70,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 3,201 | $69,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 4,964 | $69,000 | thousands by filing date | |
| ARES MULTI STRATEGY CR FD IN | 04014Q108 | COM | 3,316 | $69,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 6,767 | $67,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 400 | $65,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 4,725 | $65,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 3,000 | $64,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 5,150 | $58,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 4,000 | $57,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 5,000 | $53,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 2,300 | $53,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 4,000 | $52,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 3,001 | $52,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 2,410 | $51,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 4,078 | $51,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 6,127 | $50,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 3,691 | $49,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 1,368 | $48,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 2,750 | $48,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 4,630 | $48,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 420 | $47,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 955 | $47,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 1,935 | $46,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 1,925 | $43,000 | thousands by filing date | |
| SPANISH BROADCASTING SYS INC | 846425833 | CL A NEW | 10,030 | $43,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 4,751 | $42,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 2,301 | $41,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 2,573 | $35,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 2,264 | $35,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 1,763 | $34,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 3,000 | $28,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 2,618 | $28,000 | thousands by filing date | |
| MORGAN STANLEY EASTN EUR FD | 616988101 | COM | 1,615 | $25,000 | thousands by filing date | |
| NASDAQ PREM INCM & GRW FD IN | 63110R105 | COM | 1,228 | $24,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 2,000 | $24,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 1,743 | $23,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 1,356 | $23,000 | thousands by filing date | |
| Tri Continental Corp | 895436202 | PFD | 500 | $23,000 | thousands by filing date | |
| Gabelli Equity Trust Preferred Series D | 362397705 | preferred stock | 848 | $21,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 3,210 | $20,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 186 | $19,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 2,000 | $19,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 166 | $17,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 3,188 | $16,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 1,000 | $15,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 225 | $15,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 1,802 | $15,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 109 | $14,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 211 | $13,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 588 | $13,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 1,000 | $13,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 322 | $12,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 950 | $12,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC VALUE | 21924B203 | COM NEW | 2,066 | $12,000 | thousands by filing date | |
| Tortoise Energy Infrastructure, 3.75% Preferred Series B | 89147L704 | preferred stock | 1,300 | $12,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 1,000 | $11,000 | thousands by filing date | |
| NUVEEN PREMIER MUN INCOME FD | 670988104 | COM | 800 | $11,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 36 | $10,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 800 | $10,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 800 | $9,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 800 | $9,000 | thousands by filing date | |
| TRANSAMERICA INCOME SHS INC | 893506105 | COM | 429 | $9,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 302 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 143 | $7,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 600 | $7,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 700 | $7,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 116 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 209 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 97 | $6,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 500 | $6,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 2,000 | $6,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 40 | $5,000 | thousands by filing date | |
| ISHARES | 46434V548 | EXCHANGE TRADED | 282 | $5,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 38 | $4,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 48 | $4,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 39 | $3,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 31 | $3,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 37 | $3,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 151 | $3,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 99 | $3,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 234 | $3,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 20 | $2,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 51 | $2,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 81 | $2,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 250 | $2,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 150 | $2,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 101 | $2,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 42 | $2,000 | thousands by filing date | |
| EG DJ EMRG MKT CNSUMR TITA | 268461779 | EGS EMKTCONS ETF | 72 | $2,000 | thousands by filing date | |
| ALLIANCE NEW YORK MUN INC FD | 018714105 | COM | 150 | $2,000 | thousands by filing date | |
| BLACKROCK S&P QUALITY * | 09250D109 | SHS BEN INT | 150 | $2,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 88 | $2,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 150 | $2,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 6 | $1,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 33 | $1,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 27 | $1,000 | thousands by filing date | |
| TIM HORTONS INC | 88706M103 | COM | 13 | $1,000 | thousands by filing date | |
| MKT VECTORS EMRG MKT LCL C | 57060U522 | ETF | 33 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001398344-14-005932 | this filing | 2014-11-14 | acceptance time not in the bulk data set |