13F-HR filed by Thomas J. Herzfeld Advisors, Inc.
Thomas J. Herzfeld Advisors, Inc. filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-08, with 257 holding rows worth $271,114,000.
- Accession
- 0001398344-19-019455
- Filer
- CIK 1509510
- Filed
- 2019-11-08
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 257 entries on the cover page, a total value of $271,114,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $271,110,000 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.
Other managers
- included managerVirtus Investment Advisers, Inc. 028-00085
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 |
|---|---|---|---|---|---|---|
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 1,380,452 | $24,752,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 1,092,809 | $14,589,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 1,166,932 | $13,256,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 1,111,151 | $12,445,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 1,586,173 | $11,865,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 361,259 | $11,344,000 | thousands by filing date | |
| OFS CREDIT COMPANY INC | 67111Q107 | COM | 518,513 | $9,092,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 655,610 | $8,195,000 | thousands by filing date | |
| PGIM HIGH YIELD BOND FUND IN | 69346H100 | COM | 507,924 | $7,593,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 112,297 | $7,291,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 1,063,952 | $6,767,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 179,946 | $6,541,000 | thousands by filing date | |
| PGIM GLOBAL HIGH YIELD FUND IN | 69346J106 | COM | 450,220 | $6,470,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 365,499 | $5,537,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 493,020 | $5,418,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 397,545 | $5,415,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 240,764 | $3,975,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 242,336 | $3,839,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 167,304 | $3,411,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 31,229 | $3,383,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 323,905 | $3,090,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 652,015 | $3,071,000 | thousands by filing date | |
| POPULAR INC | 733174700 | COM NEW | 55,230 | $2,987,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 56,944 | $2,948,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 200,235 | $2,893,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 264,477 | $2,639,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 309,379 | $2,580,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 138,583 | $2,496,000 | thousands by filing date | |
| COPA HOLDINGS SA | P31076105 | CL A | 24,273 | $2,397,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 555,234 | $2,332,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 383,739 | $2,268,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 40,500 | $2,262,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 60,257 | $2,200,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 97,932 | $1,809,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 127,395 | $1,766,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 16,745 | $1,735,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 109,363 | $1,630,000 | thousands by filing date | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 154,235 | $1,488,000 | thousands by filing date | |
| DEL MONTE CORP ORD | G36738105 | Stock | 42,341 | $1,444,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 70,182 | $1,441,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 6,049 | $1,409,000 | thousands by filing date | |
| FOMENTO ECONOMICO MEXICANO S A SPON ADR UNITS | 344419106 | ADR | 14,896 | $1,364,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 163,787 | $1,361,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 25,278 | $1,280,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 104,917 | $1,269,000 | thousands by filing date | |
| GREAT ELM CAP CORP | 390320109 | COM | 150,525 | $1,234,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 10,814 | $1,196,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 26,518 | $1,159,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 11,397 | $1,159,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 70,025 | $1,155,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 300,029 | $1,092,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 270,645 | $1,061,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 60,170 | $1,039,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 93,230 | $1,026,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 54,122 | $1,026,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 6,000 | $1,015,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 6,600 | $1,007,000 | thousands by filing date | |
| SPDR Bloomberg 1-3 Month T-Bill ETF | 78468R663 | SHS | 10,919 | $1,000,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 160,195 | $996,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 65,248 | $925,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 63,894 | $912,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 69,601 | $906,000 | thousands by filing date | |
| BANCOLOMBIA S A | 05968L102 | SPON ADR PREF | 18,280 | $904,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 204 | $893,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 141,463 | $881,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 85,413 | $848,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 3,000 | $822,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 188,539 | $790,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 77,924 | $774,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 126,178 | $767,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 3,075 | $760,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 5,000 | $756,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 93,375 | $704,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 63,756 | $690,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 44,690 | $664,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 276 | $661,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 60,947 | $644,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 7,481 | $635,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 56,726 | $621,000 | thousands by filing date | |
| LIVANOVA PLC | G5509L101 | SHS | 8,330 | $615,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 41,562 | $570,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 52,328 | $559,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 72,817 | $557,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 5,550 | $552,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 24,171 | $546,000 | thousands by filing date | |
| RIVERNORTH OPPOR MUNI INCM FD | 76883F108 | COM | 23,861 | $530,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 16,956 | $529,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 20,749 | $427,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 17,400 | $419,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 37,385 | $414,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 3,826 | $408,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 25,954 | $378,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 22,817 | $360,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 77,693 | $358,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 45,227 | $343,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 48,590 | $338,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 18,986 | $332,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 25,178 | $292,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 25,136 | $291,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 32,620 | $286,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 30,684 | $282,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 28,400 | $278,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 25,871 | $278,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 11,216 | $265,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 18,781 | $257,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 21,356 | $255,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 2,763 | $233,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 17,594 | $228,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 15,476 | $219,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 13,922 | $201,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 20,049 | $185,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 13,220 | $184,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 17,199 | $181,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 12,888 | $177,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 12,210 | $171,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 22,614 | $159,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 11,884 | $156,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 17,201 | $153,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 10,311 | $142,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 13,474 | $142,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 700 | $135,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 9,869 | $127,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 1,368 | $119,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 8,000 | $113,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 6,605 | $105,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 3,735 | $102,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 7,136 | $102,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 6,424 | $100,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 13,569 | $99,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 6,456 | $93,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 1,501 | $89,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 1,700 | $86,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 3,039 | $81,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E404 | CEF INM COMPSI | 3,500 | $79,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 2,000 | $75,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 5,503 | $75,000 | thousands by filing date | |
| TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS | 874060205 | ADR | 4,279 | $74,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 2,671 | $73,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 600 | $67,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 220 | $65,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 2,985 | $64,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 5,615 | $64,000 | thousands by filing date | |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 1,198 | $58,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 257 | $56,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 4,657 | $54,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 150 | $53,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 270 | $51,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 1,790 | $47,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 5,000 | $45,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 164 | $41,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 238 | $40,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 4,355 | $40,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 2,875 | $40,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 1,722 | $38,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 2,610 | $37,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 6,523 | $34,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 5,447 | $33,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 5,235 | $31,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 4,613 | $30,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 314 | $29,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 173 | $28,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 1,429 | $27,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 1,341 | $26,000 | thousands by filing date | |
| EQUINIX INC COM | 29444U700 | REIT | 40 | $23,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 1,300 | $23,000 | thousands by filing date | |
| MORPHOSYS AG | 617760202 | ADR | 837 | $23,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 1,618 | $22,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 144 | $20,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 607 | $19,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 5,021 | $19,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 93 | $18,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 242 | $18,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 2,104 | $18,000 | thousands by filing date | |
| AON PLC | G0408V102 | SHS CL A | 94 | $18,000 | thousands by filing date | |
| PTC INC COM | 69370C100 | Stock | 239 | $16,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 2,263 | $16,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 982 | $16,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 90 | $15,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 257 | $15,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 116 | $14,000 | thousands by filing date | |
| COCA-COLA EUROPACIFIC PARTNERS SHS | G25839104 | Stock | 244 | $14,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 1,576 | $14,000 | thousands by filing date | |
| IHS MARKIT LTD | G47567105 | SHS | 211 | $14,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92837G100 | COM | 1,246 | $14,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 1,500 | $14,000 | thousands by filing date | |
| KAIXIN AUTO HLDGS | G5223X100 | CMN | 8,000 | $14,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 74 | $13,000 | thousands by filing date | |
| NTNLGRIDPLCADRFSPONSOREDADR1ADRREPS5ORDSHS | 636274409 | STOK | 239 | $13,000 | thousands by filing date | |
| SEA LTD | 81141R100 | SPONSORD ADS | 419 | $13,000 | thousands by filing date | |
| REPAY HLDGS CORP | 76029L100 | COM CL A | 1,000 | $13,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 53 | $12,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 88 | $12,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 99 | $12,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 91 | $11,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 82 | $11,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 91 | $11,000 | thousands by filing date | |
| ALCON AG ORD SHS | H01301128 | Stock | 192 | $11,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 78 | $11,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 2,000 | $11,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 1,000 | $11,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R103 | CL A | 1,000 | $11,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 8 | $10,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 6 | $10,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 45 | $10,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 45 | $10,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 52 | $10,000 | thousands by filing date | |
| RELX PLC SPONSORED ADR | 759530108 | ADR | 406 | $10,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 167 | $10,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 27 | $10,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 95 | $10,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 191 | $10,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 78 | $10,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 5,000 | $10,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 40 | $9,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 204 | $9,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 106 | $9,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 76 | $9,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 1,301 | $9,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 1,296 | $9,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 889 | $9,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 71 | $8,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 68 | $8,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 112 | $8,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 83 | $8,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 76 | $8,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 483 | $8,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 43 | $8,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 30 | $7,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 132 | $7,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 113 | $7,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 30 | $7,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 27 | $7,000 | thousands by filing date | |
| HDFC BANK LTD SPONSORED ADS | 40415F101 | ADR | 130 | $7,000 | thousands by filing date | |
| PAGSEGURO DIGITAL LTD | G68707101 | COM CL A | 146 | $7,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 600 | $7,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 1,002 | $7,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 24 | $6,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 116 | $6,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 139 | $6,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 36 | $6,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 135 | $6,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 325 | $6,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 56 | $6,000 | thousands by filing date | |
| PROSHARES TR II | 74347W130 | SHT VIX ST TRM | 110 | $6,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 129 | $5,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 42 | $5,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 136 | $5,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 300 | $5,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 546 | $5,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 29 | $4,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 73 | $4,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 456 | $4,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 32 | $4,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 45 | $3,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 186 | $3,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 153 | $3,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 241 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001398344-19-019455 | this filing | 2019-11-08 | acceptance time not in the bulk data set |