The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
HANNON ARMSTRONG SUST INFR C | NOTE 4.125% 9/0 | 41068XAB6 | 1,130 | 1,163,000 | PRN | DFND | 0 | 1,163,000 | 0 | ||
ROYAL GOLD INC | NOTE 2.875% 6/1 | 780287AA6 | 276 | 274,000 | PRN | DFND | 0 | 274,000 | 0 | ||
ABERDEEN ASIA PACIFIC INCOM | COM | 003009107 | 682 | 164,832 | SH | DFND | 0 | 164,832 | 0 | ||
AEGON N V | NY REGISTRY SH | 007924103 | 90 | 13,971 | SH | DFND | 0 | 13,971 | 0 | ||
AGIOS PHARMACEUTICALS INC | COM | 00847X104 | 3,462 | 44,891 | SH | DFND | 0 | 44,891 | 0 | ||
ANALOG DEVICES INC | COM | 032654105 | 243 | 2,632 | SH | DFND | 0 | 2,632 | 0 | ||
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 828 | 51,789 | SH | DFND | 0 | 51,789 | 0 | ||
ARRAY BIOPHARMA INC | COM | 04269X105 | 5,086 | 334,604 | SH | DFND | 0 | 334,604 | 0 | ||
ASSOCIATED CAP GROUP INC | CL A | 045528106 | 547 | 12,845 | SH | DFND | 0 | 12,845 | 0 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 1,552 | 7,250 | SH | DFND | 0 | 7,250 | 0 | ||
BLACKROCK INCOME TR INC | COM | 09247F100 | 130 | 22,668 | SH | DFND | 0 | 22,668 | 0 | ||
BLACKROCK MUN INCOME TR | SH BEN INT | 09248F109 | 230 | 18,500 | SH | DFND | 0 | 18,500 | 0 | ||
BLACKROCK CR ALLCTN INC TR | COM | 092508100 | 10,315 | 842,734 | SH | DFND | 0 | 842,734 | 0 | ||
BLACKROCK MUNIYIELD FD INC | COM | 09253W104 | 249 | 19,000 | SH | DFND | 0 | 19,000 | 0 | ||
BLACKROCK MUNIHLDS INVSTM QL | COM | 09254P108 | 200 | 16,000 | SH | DFND | 0 | 16,000 | 0 | ||
BOULDER GROWTH & INCOME FD I | COM | 101507101 | 471 | 41,981 | SH | DFND | 0 | 41,981 | 0 | ||
BRANDYWINEGBL GLBAL INM OPRT | COM | 10537L104 | 5,409 | 495,328 | SH | DFND | 0 | 495,328 | 0 | ||
BRIXMOR PPTY GROUP INC | COM | 11120U105 | 8,629 | 492,820 | SH | DFND | 0 | 492,820 | 0 | ||
CBRE CLARION GLOBAL REAL EST | COM | 12504G100 | 1,697 | 232,511 | SH | DFND | 0 | 232,511 | 0 | ||
CITRIX SYS INC | COM | 177376100 | 222 | 2,000 | SH | DFND | 0 | 2,000 | 0 | ||
CLOUGH GLOBAL OPPORTUNITIES | SH BEN INT | 18914E106 | 356 | 32,877 | SH | DFND | 0 | 32,877 | 0 | ||
COLGATE PALMOLIVE CO | COM | 194162103 | 817 | 12,200 | SH | DFND | 0 | 12,200 | 0 | ||
CONSOLIDATED EDISON INC | COM | 209115104 | 603 | 7,918 | SH | DFND | 0 | 7,918 | 0 | ||
COTT CORP QUE | COM | 22163N106 | 3,743 | 231,744 | SH | DFND | 0 | 231,744 | 0 | ||
DTE ENERGY CO | COM | 233331107 | 811 | 7,435 | SH | DFND | 0 | 7,435 | 0 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 4,863 | 41,586 | SH | DFND | 0 | 41,586 | 0 | ||
ETF SER SOLUTIONS | US GBL GLD PRE | 26922A719 | 779 | 73,723 | SH | DFND | 0 | 73,723 | 0 | ||
EATON VANCE MI MUNI INCOME T | SH BEN INT | 27826D106 | 1,227 | 98,752 | SH | DFND | 0 | 98,752 | 0 | ||
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 276 | 42,776 | SH | DFND | 0 | 42,776 | 0 | ||
EVERSOURCE ENERGY | COM | 30040W108 | 1,727 | 28,116 | SH | DFND | 0 | 28,116 | 0 | ||
FASTENAL CO | COM | 311900104 | 1,527 | 26,311 | SH | DFND | 0 | 26,311 | 0 | ||
FIRST TRUST MORTGAGE INCM FD | COM SHS | 33734E103 | 161 | 12,054 | SH | DFND | 0 | 12,054 | 0 | ||
FRANKLIN STREET PPTYS CORP | COM | 35471R106 | 4,469 | 559,300 | SH | DFND | 0 | 559,300 | 0 | ||
FRANKLIN UNVL TR | SH BEN INT | 355145103 | 10,740 | 1,615,002 | SH | DFND | 0 | 1,615,002 | 0 | ||
GDL FUND | COM SH BEN IT | 361570104 | 3,312 | 364,518 | SH | DFND | 0 | 364,518 | 0 | ||
GABELLI HLTHCARE & WELLNESS | SHS | 36246K103 | 417 | 37,809 | SH | DFND | 0 | 37,809 | 0 | ||
GENERAL MLS INC | COM | 370334104 | 305 | 7,104 | SH | DFND | 0 | 7,104 | 0 | ||
GLOBAL WTR RES INC | COM | 379463102 | 3,999 | 377,623 | SH | DFND | 0 | 377,623 | 0 | ||
GLOBAL SELF STORAGE INC | COM | 37955N106 | 1,548 | 369,452 | SH | DFND | 0 | 369,452 | 0 | ||
GREAT PANTHER SILVER LTD | COM | 39115V101 | 3,442 | 4,048,896 | SH | DFND | 0 | 4,048,896 | 0 | ||
HANESBRANDS INC | COM | 410345102 | 4,399 | 238,684 | SH | DFND | 0 | 238,684 | 0 | ||
HANNON ARMSTRONG SUST INFR C | COM | 41068X100 | 4,619 | 215,134 | SH | DFND | 0 | 215,134 | 0 | ||
HOME DEPOT INC | COM | 437076102 | 241 | 1,161 | SH | DFND | 0 | 1,161 | 0 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 319 | 2,106 | SH | DFND | 0 | 2,106 | 0 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 4,245 | 987,204 | SH | DFND | 0 | 987,204 | 0 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 5,132 | 447,427 | SH | DFND | 0 | 447,427 | 0 | ||
ISHARES TR | TIPS BD ETF | 464287176 | 455 | 4,116 | SH | DFND | 0 | 4,116 | 0 | ||
ISHARES TR | 20 YR TR BD ETF | 464287432 | 373 | 3,181 | SH | DFND | 0 | 3,181 | 0 | ||
ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 3,124 | 30,877 | SH | DFND | 0 | 30,877 | 0 | ||
ISHARES TR | 1 3 YR TREAS BD | 464287457 | 3,139 | 37,783 | SH | DFND | 0 | 37,783 | 0 | ||
ISHARES TR | 0-5 YR TIPS ETF | 46429B747 | 323 | 3,268 | SH | DFND | 0 | 3,268 | 0 | ||
KENNEDY-WILSON HLDGS INC | COM | 489398107 | 11,715 | 544,898 | SH | DFND | 0 | 544,898 | 0 | ||
KIMCO RLTY CORP | COM | 49446R109 | 5,807 | 346,885 | SH | DFND | 0 | 346,885 | 0 | ||
KONINKLIJKE PHILIPS N V | NY REG SH NEW | 500472303 | 3,701 | 81,321 | SH | DFND | 0 | 81,321 | 0 | ||
LEXINGTON REALTY TRUST | COM | 529043101 | 495 | 59,660 | SH | DFND | 0 | 59,660 | 0 | ||
LIBERTY MEDIA CORP DELAWARE | COM SER C FRMLA | 531229854 | 1,158 | 42,504 | SH | DFND | 0 | 42,504 | 0 | ||
LIFEWAY FOODS INC | COM | 531914109 | 661 | 248,410 | SH | DFND | 0 | 248,410 | 0 | ||
MFS INTER INCOME TR | SH BEN INT | 55273C107 | 1,187 | 315,641 | SH | DFND | 0 | 315,641 | 0 | ||
MFS GOVT MKTS INCOME TR | SH BEN INT | 552939100 | 188 | 42,473 | SH | DFND | 0 | 42,473 | 0 | ||
MCDONALDS CORP | COM | 580135101 | 766 | 4,576 | SH | DFND | 0 | 4,576 | 0 | ||
MEDICAL PPTYS TRUST INC | COM | 58463J304 | 6,677 | 447,811 | SH | DFND | 0 | 447,811 | 0 | ||
MERCK & CO INC | COM | 58933Y105 | 7,332 | 103,354 | SH | DFND | 0 | 103,354 | 0 | ||
MORGAN STANLEY EMER MKTS FD | COM | 61744G107 | 346 | 22,190 | SH | DFND | 0 | 22,190 | 0 | ||
MORGAN STANLEY ASIA PAC FD I | COM | 61744U106 | 528 | 31,959 | SH | DFND | 0 | 31,959 | 0 | ||
NEW SR INVT GROUP INC | COM | 648691103 | 258 | 43,791 | SH | DFND | 0 | 43,791 | 0 | ||
NOKIA CORP | SPONSORED ADR | 654902204 | 5,835 | 1,045,700 | SH | DFND | 0 | 1,045,700 | 0 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 10,498 | 1,317,173 | SH | DFND | 0 | 1,317,173 | 0 | ||
NUVEEN MUN VALUE FD INC | COM | 670928100 | 281 | 30,000 | SH | DFND | 0 | 30,000 | 0 | ||
NUVEEN MICHIGAN QLT MUN INC | COM | 670979103 | 1,540 | 124,657 | SH | DFND | 0 | 124,657 | 0 | ||
OMNICOM GROUP INC | COM | 681919106 | 5,727 | 84,197 | SH | DFND | 0 | 84,197 | 0 | ||
OSISKO GOLD ROYALTIES LTD | COM | 68827L101 | 2,443 | 321,856 | SH | DFND | 0 | 321,856 | 0 | ||
PEPSICO INC | COM | 713448108 | 643 | 5,754 | SH | DFND | 0 | 5,754 | 0 | ||
PIMCO ETF TR | 25YR+ ZERO U S | 72201R882 | 3,826 | 35,090 | SH | DFND | 0 | 35,090 | 0 | ||
PROCTER AND GAMBLE CO | COM | 742718109 | 739 | 8,883 | SH | DFND | 0 | 8,883 | 0 | ||
REGENERON PHARMACEUTICALS | COM | 75886F107 | 4,257 | 10,536 | SH | DFND | 0 | 10,536 | 0 | ||
SPDR SERIES TRUST | PORTFOLIO LN TSR | 78464A664 | 4,030 | 119,224 | SH | DFND | 0 | 119,224 | 0 | ||
SANDSTORM GOLD LTD | COM NEW | 80013R206 | 5,345 | 1,432,980 | SH | DFND | 0 | 1,432,980 | 0 | ||
SCHWAB STRATEGIC TR | INTRM TRM TRES | 808524854 | 4,598 | 88,783 | SH | DFND | 0 | 88,783 | 0 | ||
SCHWAB STRATEGIC TR | SHT TM US TRES | 808524862 | 13,531 | 272,960 | SH | DFND | 0 | 272,960 | 0 | ||
SCHWAB STRATEGIC TR | US TIPS ETF | 808524870 | 16,673 | 308,987 | SH | DFND | 0 | 308,987 | 0 | ||
SEQUENTIAL BRNDS GROUP INC N | COM | 81734P107 | 1,667 | 998,260 | SH | DFND | 0 | 998,260 | 0 | ||
BERKSHIRE HATHAWAY INC DEL | CL A | 084670108 | 1,280 | 4 | SH | DFND | 0 | 4 | 0 | ||
SPECIAL OPPORTUNITIES FD INC | COM | 84741T104 | 696 | 46,305 | SH | DFND | 0 | 46,305 | 0 | ||
SPECIAL OPPORTUNITIES FD INC | PFD CONV SE B | 84741T302 | 485 | 19,017 | SH | DFND | 0 | 19,017 | 0 | ||
TEMPLETON GLOBAL INCOME FD | COM | 880198106 | 8,316 | 1,358,822 | SH | DFND | 0 | 1,358,822 | 0 | ||
U S GLOBAL INVS INC | CL A | 902952100 | 938 | 617,292 | SH | DFND | 0 | 617,292 | 0 | ||
UNITEDHEALTH GROUP INC | COM | 91324P102 | 404 | 1,518 | SH | DFND | 0 | 1,518 | 0 | ||
UNITI GROUP INC | COM | 91325V108 | 6,260 | 310,648 | SH | DFND | 0 | 310,648 | 0 | ||
VANGUARD SCOTTSDALE FDS | INTER TERM TREAS | 92206C706 | 313 | 5,045 | SH | DFND | 0 | 5,045 | 0 | ||
VEREIT INC | COM | 92339V100 | 6,685 | 920,862 | SH | DFND | 0 | 920,862 | 0 | ||
VODAFONE GROUP PLC NEW | SPONSORED ADR | 92857W308 | 3,090 | 142,414 | SH | DFND | 0 | 142,414 | 0 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 6,226 | 1,250,108 | SH | DFND | 0 | 1,250,108 | 0 | ||
WALGREENS BOOTS ALLIANCE INC | COM | 931427108 | 365 | 5,011 | SH | DFND | 0 | 5,011 | 0 | ||
WESTERN ASST MNGD MUN FD INC | COM | 95766M105 | 254 | 21,000 | SH | DFND | 0 | 21,000 | 0 | ||
WESTERN ASSET GLOBAL CP DEFI | COM | 95790C107 | 1,002 | 61,837 | SH | DFND | 0 | 61,837 | 0 | ||
WHEATON PRECIOUS METALS CORP | COM | 962879102 | 3,838 | 219,299 | SH | DFND | 0 | 219,299 | 0 | ||
INGERSOLL-RAND PLC | SHS | G47791101 | 263 | 2,567 | SH | DFND | 0 | 2,567 | 0 | ||
NXP SEMICONDUCTORS N V | COM | N6596X109 | 3,631 | 42,462 | SH | DFND | 0 | 42,462 | 0 | ||
BLACKROCK MUNIVEST FD INC | COM | 09253R105 | 276 | 31,600 | SH | DFND | 0 | 31,600 | 0 | ||
PIMCO MUN INCOME FD II | COM | 72200W106 | 198 | 15,000 | SH | DFND | 0 | 15,000 | 0 | ||
BLACKROCK MUNIVEST FD II INC | COM | 09253T101 | 221 | 16,575 | SH | DFND | 0 | 16,575 | 0 | ||
NUVEEN MUNICIPAL CREDIT INC | COM SH BEN INT | 67070X101 | 202 | 14,000 | SH | DFND | 0 | 14,000 | 0 | ||
BLACKROCK MUNIHOLDINGS FD IN | COM | 09253N104 | 194 | 13,000 | SH | DFND | 0 | 13,000 | 0 | ||
WESTERN ASSET MUN DEF OPP TR | COM | 95768A109 | 205 | 10,000 | SH | DFND | 0 | 10,000 | 0 | ||
NUVEEN ENHANCED MUN VALUE FD | COM | 67074M101 | 183 | 14,000 | SH | DFND | 0 | 14,000 | 0 | ||
AT&T INC | COM | 00206R102 | 4,115 | 122,544 | SH | DFND | 0 | 122,544 | 0 | ||
ALGONQUIN PWR UTILS CORP | COM | 015857105 | 3,723 | 359,379 | SH | DFND | 0 | 359,379 | 0 | ||
ALGONQUIN PWR UTILS CORP | COM | 015857105 | 168 | 16,227 | SH | DFND | 0 | 16,227 | 0 | ||
APPLE INC | COM | 037833100 | 531 | 2,353 | SH | DFND | 0 | 2,353 | 0 | ||
GABELLI GLB SML & MD CP VAL | COM | 36249W104 | 336 | 27,525 | SH | DFND | 0 | 27,525 | 0 | ||
INVESCO EXCH TRD SLF IDX FD | BULSHS 2020 HY | 46138J601 | 9,075 | 373,075 | SH | DFND | 0 | 373,075 | 0 | ||
NUCOR CORP | COM | 670346105 | 1,273 | 20,062 | SH | DFND | 0 | 20,062 | 0 | ||
ROYCE GLOBAL VALUE TR INC | COM | 78081T104 | 370 | 35,177 | SH | DFND | 0 | 35,177 | 0 | ||
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 3,275 | 61,337 | SH | DFND | 0 | 61,337 | 0 |