13F-HR filed by Thomas J. Herzfeld Advisors, Inc.
Thomas J. Herzfeld Advisors, Inc. filed this 13F-HR for the quarter ended 2015-12-31, filed 2016-02-12, with 324 holding rows worth $249,064,000.
- Accession
- 0001398344-16-009896
- Filer
- CIK 1509510
- Filed
- 2016-02-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2015
A holdings report, 324 entries on the cover page, a total value of $249,064,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $249,064,000 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 | 804,614 | $19,399,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 194,346 | $12,877,000 | thousands by filing date | |
| Oxford Lane Cap8.125. Called 7 | 691543409 | PFD | 482,700 | $12,217,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 1,562,630 | $12,095,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 515,901 | $8,930,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 497,935 | $8,659,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 495,122 | $6,352,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 740,205 | $5,685,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 312,690 | $5,638,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 348,358 | $5,515,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 241,638 | $4,838,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 868,865 | $4,648,000 | thousands by filing date | |
| MVC Capital Preferred Series B | 553829201 | preferred stock | 160,695 | $3,953,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 122,013 | $3,897,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 34,822 | $3,503,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 372,944 | $3,301,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 152,911 | $3,126,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 303,936 | $3,115,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 30,313 | $3,068,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 148,943 | $2,965,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 420,107 | $2,781,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 189,411 | $2,764,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 139,607 | $2,692,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 147,474 | $2,616,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 330,189 | $2,589,000 | thousands by filing date | |
| COPA HOLDINGS SA | P31076105 | CL A | 50,550 | $2,440,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 639,830 | $2,438,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 49,500 | $2,421,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 110,390 | $2,356,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 134,927 | $2,345,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 298,018 | $2,295,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 239,697 | $2,284,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 122,229 | $2,256,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 153,484 | $2,227,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 36,443 | $2,136,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 107,334 | $2,048,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 71,954 | $2,002,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 159,922 | $1,882,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 143,629 | $1,749,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 57,139 | $1,695,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 580 | $1,679,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 105,925 | $1,659,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 129,538 | $1,586,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 104,546 | $1,537,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 87,466 | $1,501,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 27,000 | $1,471,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 132,537 | $1,453,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 134,155 | $1,372,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 13,000 | $1,351,000 | thousands by filing date | |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 84,696 | $1,314,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 91,772 | $1,211,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 10,100 | $1,183,000 | thousands by filing date | |
| FOMENTO ECONOMICO MEXICANO S A SPON ADR UNITS | 344419106 | ADR | 12,000 | $1,108,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 708 | $1,092,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 55,435 | $1,054,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 71,365 | $1,005,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 30,935 | $985,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 24,000 | $956,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 132,269 | $939,000 | thousands by filing date | |
| ATLANTIC TELE NETWORK INC | 049079205 | COM NEW | 11,988 | $938,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 54,213 | $855,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 87,354 | $851,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 47,811 | $830,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 66,707 | $826,000 | thousands by filing date | |
| POPULAR INC | 733174700 | COM NEW | 29,000 | $822,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 146,372 | $815,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 77,490 | $809,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 40,899 | $791,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 28,400 | $773,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 100,873 | $757,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 54,972 | $737,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 52,305 | $727,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 93,259 | $716,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 32,924 | $697,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 41,292 | $693,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 157,794 | $674,000 | thousands by filing date | |
| GDL FUND (THE) SER B PFD | 361570302 | preferred stock | 12,800 | $643,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 44,690 | $628,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 8,799 | $623,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 128,345 | $588,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 51,000 | $575,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 29,293 | $533,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 42,108 | $531,000 | thousands by filing date | |
| BANCOLOMBIA S A | 05968L102 | SPON ADR PREF | 19,780 | $529,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 115,107 | $526,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 48,951 | $522,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 35,321 | $517,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 61,714 | $510,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 8,890 | $506,000 | thousands by filing date | |
| LIVANOVA PLC | G5509L101 | SHS | 8,330 | $495,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 25,561 | $487,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 5,750 | $486,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 70,000 | $476,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 5,000 | $453,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 29,514 | $429,000 | thousands by filing date | |
| BROOKFIELD TOTAL RETURN FD I | 11283U108 | COM | 19,468 | $427,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 33,771 | $418,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 3,000 | $410,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 42,957 | $402,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 23,643 | $396,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 7,800 | $389,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 4,000 | $380,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 25,859 | $364,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 16,828 | $363,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 25,189 | $348,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 38,310 | $336,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 24,149 | $332,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 21,760 | $315,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 35,485 | $314,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 28,273 | $305,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 51,908 | $301,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 24,287 | $300,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 16,657 | $297,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 31,900 | $277,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 21,187 | $261,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 14,000 | $251,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 21,001 | $247,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 6,000 | $243,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 21,515 | $240,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 48,242 | $239,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 19,117 | $237,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 21,692 | $233,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 33,749 | $228,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 16,878 | $227,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 49,791 | $225,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 25,967 | $222,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 16,582 | $221,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 13,245 | $220,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 15,200 | $207,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 14,987 | $207,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 14,387 | $205,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 2,000 | $202,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 14,863 | $195,000 | thousands by filing date | |
| DEL MONTE CORP ORD | G36738105 | Stock | 5,000 | $194,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 5,000 | $183,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 26,435 | $180,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 23,796 | $174,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 12,901 | $172,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 19,899 | $171,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 11,067 | $170,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 9,857 | $166,000 | thousands by filing date | |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 11,757 | $166,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 10,671 | $153,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 10,890 | $153,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 30,936 | $152,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 8,032 | $151,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 21,764 | $149,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 9,226 | $146,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 9,589 | $145,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 13,476 | $141,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 22,075 | $134,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 16,464 | $133,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 23,835 | $132,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 9,400 | $131,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 5,800 | $131,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 8,881 | $130,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 12,500 | $127,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 4,967 | $127,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 9,589 | $126,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 8,732 | $122,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 16,756 | $119,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 65,682 | $118,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 15,655 | $117,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 22,000 | $116,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 700 | $114,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 2,000 | $106,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 14,800 | $106,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 5,900 | $105,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 2,000 | $105,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 15,000 | $101,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 9,961 | $100,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 12,252 | $100,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 8,552 | $97,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 800 | $96,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 12,133 | $93,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 6,352 | $91,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 6,177 | $88,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 97,088 | $87,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 3,000 | $87,000 | thousands by filing date | |
| PRICESMART INC COM | 741511109 | Stock | 1,000 | $83,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 7,586 | $82,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 4,746 | $80,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 6,306 | $80,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 8,000 | $80,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 5,000 | $78,000 | thousands by filing date | |
| VELOCITYSHARES INV VIX SH-TM | 22542D795 | INVR | 3,000 | $77,000 | thousands by filing date | |
| BROOKFIELD MTG OPP INC FD IN | 112792106 | COM | 5,001 | $74,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 1,046 | $69,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 1,973 | $67,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 4,868 | $65,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 4,264 | $64,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 4,391 | $64,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 400 | $60,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 10,000 | $60,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 4,000 | $57,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 5,340 | $56,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 450 | $55,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 10,000 | $55,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 4,964 | $54,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 5,150 | $52,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 600 | $51,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 5,000 | $51,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 3,523 | $47,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 1,453 | $47,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 2,284 | $46,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 4,903 | $46,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 410 | $45,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 3,864 | $45,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 4,506 | $45,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 400 | $42,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 2,500 | $41,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 3,000 | $41,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 4,703 | $41,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 6,383 | $40,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 3,100 | $40,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 3,000 | $40,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 4,309 | $40,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 2,322 | $40,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 5,194 | $38,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 303 | $37,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 7,218 | $36,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 2,000 | $36,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 2,500 | $36,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 2,125 | $36,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 4,630 | $36,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 185 | $35,000 | thousands by filing date | |
| DELPHI AUTOMOTIVE PLC | G27823106 | COMMON STOCK-FO | 413 | $35,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 2,500 | $35,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 407 | $34,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 790 | $34,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 615 | $34,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 167 | $34,000 | thousands by filing date | |
| ACE LTD | H0023R105 | SHS | 289 | $34,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 2,014 | $33,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 358 | $32,000 | thousands by filing date | |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 253 | $32,000 | thousands by filing date | |
| SPANISH BROADCASTING SYS INC | 846425833 | CL A NEW | 10,030 | $32,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 2,384 | $31,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 7,211 | $31,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 100 | $31,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 1,151 | $31,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 2,000 | $31,000 | thousands by filing date | |
| HDFC BANK LTD SPONSORED ADS | 40415F101 | ADR | 487 | $30,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 405 | $30,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 702 | $30,000 | thousands by filing date | |
| NATIONAL GRID PLC | 636274300 | SPONSORED ADR NE | 428 | $30,000 | thousands by filing date | |
| BLACKROCK MUNIC BD INVST TR | 09249K107 | COM | 2,000 | $30,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 268 | $29,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 1,926 | $29,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 336 | $29,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 266 | $29,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 489 | $29,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 2,263 | $29,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 2,000 | $28,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 10,000 | $28,000 | thousands by filing date | |
| Tortoise Energy Infrastructure, 3.75% Preferred Series B | 89147L704 | preferred stock | 2,800 | $28,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 605 | $27,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 4,800 | $27,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 242 | $26,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 1,324 | $26,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 138 | $26,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 2,000 | $26,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 3,084 | $26,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 2,000 | $25,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 2,000 | $25,000 | thousands by filing date | |
| SENSATA TECHNOLOGIES HOLDING | N7902X106 | COMMON STOCK-FO | 539 | $25,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 2,000 | $25,000 | thousands by filing date | |
| Tri Continental Corp | 895436202 | PFD | 500 | $25,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 1,463 | $24,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 2,316 | $24,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 2,000 | $24,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 2,943 | $23,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 2,000 | $23,000 | thousands by filing date | |
| CREDICORP LTD | G2519Y108 | COM | 223 | $22,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 3,000 | $22,000 | thousands by filing date | |
| Gabelli Equity Trust Preferred Series D | 362397705 | preferred stock | 848 | $22,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 942 | $21,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 1,410 | $21,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 1,596 | $21,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 1,400 | $21,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 1,471 | $21,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 308 | $21,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 1,509 | $21,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 922 | $20,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 3,679 | $20,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 2,000 | $20,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 216 | $19,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 2,618 | $19,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 1,850 | $19,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 1,481 | $18,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 1,838 | $17,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 183 | $16,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 1,000 | $14,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 312 | $13,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 655 | $13,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 36 | $12,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 100 | $11,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 1,200 | $11,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 833 | $11,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 1,000 | $11,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 1,000 | $11,000 | thousands by filing date | |
| GAMCO Global Gold, Natural Resources & Income Trust by Gabelli Preferred Series B | 36465A307 | preferred stock | 500 | $11,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 1,230 | $9,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 716 | $9,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 111 | $8,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 2,000 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 143 | $7,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 700 | $7,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 700 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 209 | $6,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 600 | $6,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 800 | $6,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 50 | $5,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 65 | $5,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 250 | $4,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 36,000 | $4,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 200 | $3,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 234 | $3,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 200 | $3,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 50 | $2,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 61 | $1,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 1,000 | $1,000 | thousands by filing date | |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 1,000 | $1,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 100 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001398344-16-009896 | this filing | 2016-02-12 | acceptance time not in the bulk data set |