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 |
3M Co | COM | 88579Y101 | 6 | 29 | SH | SOLE | 29 | 0 | 0 | ||
ABB Ltd | SPONSORED ADR | 000375204 | 5 | 226 | SH | SOLE | 226 | 0 | 0 | ||
Aberdeen Emerging Markets Equity Inc. | COM | 00301W105 | 1,893 | 275,917 | SH | OTR | 1 | 185,084 | 90,833 | 0 | |
Aberdeen Global Dynamic Dividend Fund | COM | 00302M106 | 2,389 | 231,029 | SH | OTR | 1 | 134,973 | 96,056 | 0 | |
Aberdeen Japan Equity Fund Inc | COM | 00306J109 | 2,400 | 286,101 | SH | OTR | 1 | 193,708 | 92,393 | 0 | |
Aberdeen Total Dynamic Dividend Fund | COM SH BEN INT | 00326L100 | 6,580 | 749,443 | SH | OTR | 1 | 531,212 | 218,231 | 0 | |
Accenture PLC Ireland | SHS CLASS A | G1151C101 | 7 | 43 | SH | SOLE | 43 | 0 | 0 | ||
Adams Diversified Equity Fund Inc | COM | 006212104 | 4,001 | 240,035 | SH | SOLE | 240,035 | 0 | 0 | ||
Adams Natural Resources Fund Inc | COM | 00548F105 | 2,704 | 135,601 | SH | OTR | 1 | 11,039 | 124,562 | 0 | |
Advent Claymore Convertible Securities and Income Fund | COM | 00764C109 | 187 | 11,915 | SH | SOLE | 11,915 | 0 | 0 | ||
Alibaba Group Holding Limited | SPONSORED ADS | 01609W102 | 10 | 60 | SH | SOLE | 60 | 0 | 0 | ||
Allegion PLC | ORD SHS | G0176J109 | 7 | 75 | SH | SOLE | 75 | 0 | 0 | ||
Alliance California Municipal Income Fund Inc | COM | 018546101 | 103 | 7,615 | SH | SOLE | 7,615 | 0 | 0 | ||
AllianceBernstein National Municipal Income Fund Inc | COM | 01864U106 | 130 | 10,507 | SH | SOLE | 10,507 | 0 | 0 | ||
AllianzGI Convertible & Income 2024 Target Term Fund | COM | 01883H102 | 490 | 53,225 | SH | SOLE | 53,225 | 0 | 0 | ||
AllianzGI NFJ Dividend Interest & Premium Strategy Fund | COM | 01883A107 | 1,708 | 130,386 | SH | OTR | 1 | 80 | 130,306 | 0 | |
Altaba Inc | COM | 021346101 | 111 | 1,633 | SH | SOLE | 1,633 | 0 | 0 | ||
America Movil SAB de CV | SPON ADR L SHS | 02364W105 | 718 | 44,690 | SH | SOLE | 44,690 | 0 | 0 | ||
American Electric Power Co Inc | COM | 025537101 | 6 | 83 | SH | SOLE | 83 | 0 | 0 | ||
American Express Co | COM | 025816109 | 9 | 87 | SH | SOLE | 87 | 0 | 0 | ||
Amgen Inc | COM | 031162100 | 145 | 700 | SH | SOLE | 700 | 0 | 0 | ||
Apollo Tactical Income Fund Inc | COM | 037638103 | 5,423 | 349,187 | SH | OTR | 1 | 240,299 | 108,888 | 0 | |
Apple Inc | COM | 037833100 | 14 | 64 | SH | SOLE | 64 | 0 | 0 | ||
Ares Dynamic Credit Allocation Fund, Inc. | COM | 04014F102 | 1,012 | 65,154 | SH | SOLE | 65,154 | 0 | 0 | ||
ASA Gold and Precious Metals Ltd | SHS | G3156P103 | 44 | 5,010 | SH | SOLE | 5,010 | 0 | 0 | ||
ASML Holding N V | N Y REGISTRY SHS | N07059210 | 6 | 30 | SH | SOLE | 30 | 0 | 0 | ||
ATN International Inc | COM | 00215F107 | 378 | 5,116 | SH | SOLE | 5,116 | 0 | 0 | ||
Automatic Data Processing, Inc. | COM | 053015103 | 7 | 44 | SH | SOLE | 44 | 0 | 0 | ||
Avianca Holdings SA | SPON ADR REP PFD | 05367G100 | 1,245 | 221,569 | SH | SOLE | 221,569 | 0 | 0 | ||
Baidu Inc | SPON ADR REP A | 056752108 | 46 | 201 | SH | SOLE | 201 | 0 | 0 | ||
Banco Bilbao Vizcaya Argentaria SA | SPONSORED ADR | 05946K101 | 32 | 5,143 | SH | SOLE | 5,143 | 0 | 0 | ||
Banco Bradesco S.A. | SP ADR PFD | 059460303 | 5 | 682 | SH | SOLE | 682 | 0 | 0 | ||
Bancolombia SA | SPON ADR PREF | 05968L102 | 825 | 19,780 | SH | SOLE | 19,780 | 0 | 0 | ||
BHP Billiton Ltd | SPONSORED ADR | 088606108 | 7 | 140 | SH | SOLE | 140 | 0 | 0 | ||
BioMarin Pharmaceutical Inc | COM | 09061G101 | 20 | 205 | SH | SOLE | 205 | 0 | 0 | ||
BlackRock Credit Allocation Income Trust | COM | 092508100 | 16 | 1,301 | SH | SOLE | 1,301 | 0 | 0 | ||
BlackRock Debt Strategies Fund | COM NEW | 09255R202 | 157 | 14,095 | SH | SOLE | 14,095 | 0 | 0 | ||
BlackRock Enhanced Equity Dividend Trust | COM | 09251A104 | 38 | 3,977 | SH | SOLE | 3,977 | 0 | 0 | ||
BlackRock Long-Term Municipal Advantage Trust | COM | 09250B103 | 98 | 8,685 | SH | SOLE | 8,685 | 0 | 0 | ||
BlackRock Maryland Municipal Bond Trust | COM | 09249L105 | 224 | 16,260 | SH | SOLE | 16,260 | 0 | 0 | ||
BlackRock Muni Intermediate Duration Fund Inc | COM | 09253X102 | 60 | 4,590 | SH | SOLE | 4,590 | 0 | 0 | ||
BlackRock Muni New York Intermediate Duration Fund Inc | COM | 09255F109 | 1 | 100 | SH | SOLE | 100 | 0 | 0 | ||
BlackRock Municipal 2030 Target Term Trust | COM SHS BEN IN | 09257P105 | 108 | 5,231 | SH | SOLE | 5,231 | 0 | 0 | ||
Boulder Growth & Income Fund Inc | COM | 101507101 | 12,116 | 1,080,839 | SH | OTR | 1 | 768,216 | 312,623 | 0 | |
BrandywineGLOBAL - Global Income Opportunities Fund Inc. | COM | 10537L104 | 40 | 3,659 | SH | SOLE | 3,659 | 0 | 0 | ||
Bristol-Myers Squibb Co | COM | 110122108 | 106 | 1,700 | SH | SOLE | 1,700 | 0 | 0 | ||
British American Tobacco PLC | SPONSORED ADR | 110448107 | 18 | 394 | SH | SOLE | 394 | 0 | 0 | ||
Canadian Natural Resources Ltd | COM | 136385101 | 7 | 211 | SH | SOLE | 211 | 0 | 0 | ||
Carnival Corp | UNIT 99/99/9999 | 143658300 | 1,245 | 19,518 | SH | SOLE | 19,518 | 0 | 0 | ||
Celgene Corp | COM | 151020104 | 27 | 300 | SH | SOLE | 300 | 0 | 0 | ||
Cemex SAB de CV | SPON ADR NEW | 151290889 | 2,192 | 311,397 | SH | SOLE | 311,397 | 0 | 0 | ||
Central and Eastern European Fund Inc | COM | 153436100 | 43 | 1,783 | SH | SOLE | 1,783 | 0 | 0 | ||
Central Securities Corp | COM | 155123102 | 13,922 | 471,937 | SH | OTR | 1 | 318,302 | 153,635 | 0 | |
China Petroleum & Chemical Corp | SPON ADR H SHS | 16941R108 | 7 | 70 | SH | SOLE | 70 | 0 | 0 | ||
Chubb Ltd | COM | H1467J104 | 8 | 63 | SH | SOLE | 63 | 0 | 0 | ||
ClearBridge American Energy MLP Fund Inc | COM | 184691103 | 60 | 7,666 | SH | SOLE | 7,666 | 0 | 0 | ||
ClearBridge Energy MLP Total Return Fund Inc | COM | 18469Q108 | 123 | 10,788 | SH | SOLE | 10,788 | 0 | 0 | ||
Coca-Cola European Partners PLC | SHS | G25839104 | 10 | 230 | SH | SOLE | 230 | 0 | 0 | ||
Cohen & Steers MLP Income and Energy Opportunity Fund Inc | COM SHS | 19249B106 | 909 | 87,044 | SH | SOLE | 87,044 | 0 | 0 | ||
Consolidated Water Co Ltd | ORD | G23773107 | 1,685 | 121,638 | SH | SOLE | 121,638 | 0 | 0 | ||
Copa Holdings SA | CL A | P31076105 | 1,946 | 24,373 | SH | SOLE | 24,373 | 0 | 0 | ||
Cornerstone Strategic Value Fund Inc | COM | 21924B302 | 172 | 12,315 | SH | SOLE | 12,315 | 0 | 0 | ||
Credit Suisse Asset Management Income Fund Inc | COM | 224916106 | 556 | 175,459 | SH | SOLE | 175,459 | 0 | 0 | ||
Credit Suisse Group AG | SPONSORED ADR | 225401108 | 7 | 477 | SH | SOLE | 477 | 0 | 0 | ||
Ctrip.com International Ltd | AMERICAN DEP SHS | 22943F100 | 5 | 123 | SH | SOLE | 123 | 0 | 0 | ||
Delaware Investments Minnesota Municipal Income Fund II Inc | COM | 24610V103 | 51 | 4,272 | SH | SOLE | 4,272 | 0 | 0 | ||
Deutsche Municipal Income Trust | COM | 233368109 | 136 | 13,000 | SH | SOLE | 13,000 | 0 | 0 | ||
Diageo PLC | SPON ADR NEW | 25243Q205 | 39 | 276 | SH | SOLE | 276 | 0 | 0 | ||
DowDuPont Inc | COM | 26078J100 | 7 | 116 | SH | SOLE | 116 | 0 | 0 | ||
Dreyfus Municipal Bond Infrastructure Fund Inc | SHS | 26203D101 | 72 | 5,776 | SH | SOLE | 5,776 | 0 | 0 | ||
Dreyfus Strategic Municipals, Inc. | COM | 261932107 | 225 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
Eagle Point Credit Co Inc | COM | 269808101 | 11,982 | 669,370 | SH | OTR | 1 | 525,434 | 143,936 | 0 | |
Eaton Vance California Municipal Bond Fund II | COM | 27828C106 | 40 | 3,880 | SH | SOLE | 3,880 | 0 | 0 | ||
Eaton Vance California Municipal Income Trust | SH BEN INT | 27826F101 | 159 | 14,171 | SH | SOLE | 14,171 | 0 | 0 | ||
Eaton Vance Limited Duration Income Fund | COM | 27828H105 | 1,526 | 120,378 | SH | SOLE | 120,378 | 0 | 0 | ||
Eaton Vance Ohio Municipal Income Trust | SH BEN INT | 27826G109 | 101 | 8,200 | SH | SOLE | 8,200 | 0 | 0 | ||
Eaton Vance Short Duration Diversified Income Fund | COM | 27828V104 | 766 | 59,358 | SH | SOLE | 59,358 | 0 | 0 | ||
Eli Lilly & Co | COM | 532457108 | 64 | 600 | SH | SOLE | 600 | 0 | 0 | ||
Embraer S A | SP ADR REP 4 COM | 29082A107 | 7 | 337 | SH | SOLE | 337 | 0 | 0 | ||
Empire State Realty Trust Inc | CL A | 292104106 | 812 | 48,894 | SH | SOLE | 48,894 | 0 | 0 | ||
Enzo Biochem Inc | COM | 294100102 | 52 | 12,629 | SH | SOLE | 12,629 | 0 | 0 | ||
Equinix Inc | COM PAR $0.001 | 29444U700 | 26 | 60 | SH | SOLE | 60 | 0 | 0 | ||
Equus Total Return Inc | COM | 294766100 | 78 | 39,150 | SH | SOLE | 39,150 | 0 | 0 | ||
Era Group Inc | COM | 26885G109 | 166 | 13,474 | SH | SOLE | 13,474 | 0 | 0 | ||
EVERTEC Inc | COM | 30040P103 | 515 | 21,356 | SH | SOLE | 21,356 | 0 | 0 | ||
Exxon Mobil Corp | COM | 30231G102 | 6 | 73 | SH | SOLE | 73 | 0 | 0 | ||
Fiduciary/Claymore MLP Opportunity Fund | COM | 31647Q106 | 2,802 | 229,459 | SH | SOLE | 229,459 | 0 | 0 | ||
First BanCorp/Puerto Rico | COM NEW | 318672706 | 2,549 | 280,077 | SH | SOLE | 280,077 | 0 | 0 | ||
First Trust Energy Infrastructure Fund | COM | 33738C103 | 889 | 56,461 | SH | SOLE | 56,461 | 0 | 0 | ||
First Trust High Income Long/Short Fund | COM | 33738E109 | 2,220 | 150,509 | SH | SOLE | 150,509 | 0 | 0 | ||
First Trust Mortgage Income Fund | COM SHS | 33734E103 | 285 | 21,246 | SH | SOLE | 21,246 | 0 | 0 | ||
Firsthand Technology Value Fund, Inc. | COM | 33766Y100 | 391 | 23,078 | SH | SOLE | 23,078 | 0 | 0 | ||
Fomento Economico Mexicano SAB de CV | SPON ADR UNITS | 344419106 | 1,473 | 14,882 | SH | SOLE | 14,882 | 0 | 0 | ||
Fortress Biotech Inc | COM | 34960Q109 | 4 | 2,749 | SH | SOLE | 2,749 | 0 | 0 | ||
Fresh Del Monte Produce Inc | ORD | G36738105 | 1,440 | 42,500 | SH | SOLE | 42,500 | 0 | 0 | ||
Gabelli Equity Trust Inc | COM | 362397101 | 32 | 4,897 | SH | SOLE | 4,897 | 0 | 0 | ||
General American Investors Co Inc | COM | 368802104 | 6,837 | 184,920 | SH | OTR | 1 | 142,140 | 42,780 | 0 | |
General Electric Co | COM | 369604103 | 30 | 2,663 | SH | SOLE | 2,663 | 0 | 0 | ||
Goldman Sachs MLP Income Opportunities Fund | COM SHS | 38147W103 | 28 | 3,051 | SH | SOLE | 3,051 | 0 | 0 | ||
Grupo Aeroportuario del Sureste SAB de CV | SPON ADR SER B | 40051E202 | 1,354 | 6,600 | SH | SOLE | 6,600 | 0 | 0 | ||
Grupo Televisa SAB | SPON ADR REP ORD | 40049J206 | 504 | 28,400 | SH | SOLE | 28,400 | 0 | 0 | ||
GW Pharmaceuticals PLC | ADS | 36197T103 | 7 | 41 | SH | SOLE | 41 | 0 | 0 | ||
Highland Floating Rate Opportunities Fund | SHS BEN INT | 43010E404 | 143 | 9,259 | SH | SOLE | 9,259 | 0 | 0 | ||
Home BancShares Inc | COM | 436893200 | 622 | 28,416 | SH | SOLE | 28,416 | 0 | 0 | ||
HSBC Holdings plc | SPON ADR | 404280406 | 5 | 124 | SH | SOLE | 124 | 0 | 0 | ||
ICICI Bank Ltd | ADR | 45104G104 | 41 | 4,771 | SH | SOLE | 4,771 | 0 | 0 | ||
Incyte Corp | COM | 45337C102 | 17 | 242 | SH | SOLE | 242 | 0 | 0 | ||
ING Groep NV | SPONSORED ADR | 456837103 | 7 | 578 | SH | SOLE | 578 | 0 | 0 | ||
Inovio Pharmaceuticals Inc | COM NEW | 45773H201 | 28 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
International Business Machines Corp | COM | 459200101 | 8 | 50 | SH | SOLE | 50 | 0 | 0 | ||
Intuit | COM | 461202103 | 6 | 26 | SH | SOLE | 26 | 0 | 0 | ||
Invesco Dynamic Credit Opportunities Fund | COM | 46132R104 | 1,524 | 132,906 | SH | SOLE | 132,906 | 0 | 0 | ||
Invesco Municipal Opportunity Trust | COM | 46132C107 | 228 | 19,900 | SH | SOLE | 19,900 | 0 | 0 | ||
Invesco Senior Income Trust | COM | 46131H107 | 2,084 | 484,711 | SH | SOLE | 484,711 | 0 | 0 | ||
iShares Floating Rate Bond ETF | FLTG RATE NT ETF | 46429B655 | 8,155 | 159,830 | SH | OTR | 1 | 139,830 | 20,000 | 0 | |
iShares Nasdaq Biotechnology ETF | NASDAQ BIOTECH | 464287556 | 622 | 5,100 | SH | SOLE | 5,100 | 0 | 0 | ||
iShares Short Maturity Bond ETF | SHT MAT BD ETF | 46431W507 | 135 | 2,700 | SH | SOLE | 2,700 | 0 | 0 | ||
iShares TIPS Bond ETF | TIPS BD ETF | 464287176 | 45 | 410 | SH | SOLE | 410 | 0 | 0 | ||
iShares U.S. Medical Devices ETF | U.S. MED DVC ETF | 464288810 | 648 | 2,850 | SH | SOLE | 2,850 | 0 | 0 | ||
Itau Unibanco Holding S.A. | SPON ADR REP PFD | 465562106 | 27 | 2,477 | SH | SOLE | 2,477 | 0 | 0 | ||
Ivy High Income Opportunities Fund | COM | 465893105 | 405 | 28,424 | SH | SOLE | 28,424 | 0 | 0 | ||
Japan Smaller Capitalization Fund Inc | COM | 47109U104 | 1,663 | 150,232 | SH | OTR | 1 | 60,065 | 90,167 | 0 | |
Johnson & Johnson | COM | 478160104 | 8 | 59 | SH | SOLE | 59 | 0 | 0 | ||
JPMorgan Chase & Co | COM | 46625H100 | 11 | 98 | SH | SOLE | 98 | 0 | 0 | ||
Jupai Holdings Limited | COM | 67073B106 | 176 | 18,975 | SH | SOLE | 18,975 | 0 | 0 | ||
Karyopharm Therapeutics Inc | COM | 48576U106 | 26 | 1,500 | SH | SOLE | 1,500 | 0 | 0 | ||
Kayne Anderson Midstream/Energy Fund Inc | COM | 48661E108 | 3,275 | 255,876 | SH | OTR | 1 | 154,875 | 101,001 | 0 | |
Kayne Anderson MLP Investment Company | COM | 486606106 | 1,334 | 74,740 | SH | OTR | 1 | 16,859 | 57,881 | 0 | |
KKR Income Opportunities Fund | COM | 48249T106 | 592 | 36,096 | SH | SOLE | 36,096 | 0 | 0 | ||
Koninklijke Philips NV | NY REG SH NEW | 500472303 | 11 | 231 | SH | SOLE | 231 | 0 | 0 | ||
Lennar Corp | CL A | 526057104 | 2,311 | 49,500 | SH | SOLE | 49,500 | 0 | 0 | ||
Liberty All Star Equity Fund | SH BEN INT | 530158104 | 29 | 4,258 | SH | SOLE | 4,258 | 0 | 0 | ||
Liberty All Star Growth Fund Inc | COM | 529900102 | 31 | 4,813 | SH | SOLE | 4,813 | 0 | 0 | ||
LivaNova PLC | SHS | G5509L101 | 1,033 | 8,330 | SH | SOLE | 8,330 | 0 | 0 | ||
Macquarie Global Infrastructure Total Return Fund Inc | COM | 55608D101 | 108 | 5,086 | SH | SOLE | 5,086 | 0 | 0 | ||
MainStay DefinedTerm Municipal Opportunities Fund | COM | 56064K100 | 88 | 4,463 | SH | SOLE | 4,463 | 0 | 0 | ||
Manning & Napier Inc | CL A | 56382Q102 | 30 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
Marriott Vacations Worldwide Corp | COM | 57164Y107 | 1,648 | 14,745 | SH | SOLE | 14,745 | 0 | 0 | ||
Martin Marietta Materials Inc | COM | 573284106 | 546 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
MasTec Inc | COM | 576323109 | 5,237 | 117,297 | SH | SOLE | 117,297 | 0 | 0 | ||
McDonald's Corp | COM | 580135101 | 11 | 66 | SH | SOLE | 66 | 0 | 0 | ||
Melco Resorts & Entertainment Ltd | ADR | 585464100 | 8 | 389 | SH | SOLE | 389 | 0 | 0 | ||
Merck & Co Inc | COM | 58933Y105 | 142 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
MFS High Income Municipal Trust | SH BEN INT | 59318D104 | 175 | 35,467 | SH | SOLE | 35,467 | 0 | 0 | ||
MFS High Yield Municipal Trust | SH BEN INT | 59318E102 | 50 | 11,077 | SH | SOLE | 11,077 | 0 | 0 | ||
MFS Investment Grade Municipal Trust | SH BEN INT | 59318B108 | 945 | 105,310 | SH | SOLE | 105,310 | 0 | 0 | ||
MFS Municipal Income Trust | SH BEN INT | 552738106 | 300 | 46,255 | SH | SOLE | 46,255 | 0 | 0 | ||
Microsoft Corp | COM | 594918104 | 14 | 121 | SH | SOLE | 121 | 0 | 0 | ||
Mitsubishi UFJ Financial Group Inc | SPONSORED ADS | 606822104 | 9 | 1,477 | SH | SOLE | 1,477 | 0 | 0 | ||
Morgan Stanley Asia-Pacific Fund Inc | COM | 61744U106 | 25 | 1,502 | SH | SOLE | 1,502 | 0 | 0 | ||
Morgan Stanley Emerging Markets Fund Inc | COM | 61744G107 | 11 | 716 | SH | SOLE | 716 | 0 | 0 | ||
Morgan Stanley India Investment Fund Inc | COM | 61745C105 | 1,259 | 53,674 | SH | OTR | 1 | 3,674 | 50,000 | 0 | |
MVC Capital Inc | COM | 553829102 | 13 | 1,359 | SH | SOLE | 1,359 | 0 | 0 | ||
Neuberger Berman MLP Income Fund Inc | COM | 64129H104 | 1,888 | 217,296 | SH | SOLE | 217,296 | 0 | 0 | ||
New Oriental Education & Technology Group Inc | SPON ADR | 647581107 | 10 | 132 | SH | SOLE | 132 | 0 | 0 | ||
NexPoint Credit Strategies Fund | COM NEW | 65340G205 | 18,338 | 818,672 | SH | OTR | 1 | 575,913 | 242,759 | 0 | |
NextEra Energy Inc | COM | 65339F101 | 1,014 | 6,051 | SH | SOLE | 6,051 | 0 | 0 | ||
Northrop Grumman Corporation | COM | 666807102 | 7 | 22 | SH | SOLE | 22 | 0 | 0 | ||
Norwegian Cruise Line Holdings Ltd | SHS | G66721104 | 3,270 | 56,944 | SH | SOLE | 56,944 | 0 | 0 | ||
Novartis AG | SPONSORED ADR | 66987V109 | 43 | 500 | SH | SOLE | 500 | 0 | 0 | ||
NuStar Energy L.P. | COM | 67067Y104 | 9 | 1,400 | SH | SOLE | 1,400 | 0 | 0 | ||
Nuveen AMT-Free Quality Municipal Income Fund | COM | 670657105 | 83 | 6,553 | SH | SOLE | 6,553 | 0 | 0 | ||
Nuveen California Quality Municipal Income Fund | COM | 67066Y105 | 1,986 | 153,485 | SH | SOLE | 153,485 | 0 | 0 | ||
Nuveen Core Equity Alpha Fund | COM | 67090X107 | 38 | 2,419 | SH | SOLE | 2,419 | 0 | 0 | ||
Nuveen Credit Strategies Income Fund | COM SHS | 67073D102 | 5,813 | 729,387 | SH | OTR | 1 | 566,044 | 163,343 | 0 | |
Nuveen Floating Rate Income Fund | COM | 67072T108 | 747 | 71,857 | SH | SOLE | 71,857 | 0 | 0 | ||
Nuveen Floating Rate Income Opportunity Fund | COM SHS | 6706EN100 | 2,915 | 282,734 | SH | OTR | 1 | 152,134 | 130,600 | 0 | |
Nuveen Global High Income Fund | SHS | 67075G103 | 138 | 8,839 | SH | SOLE | 8,839 | 0 | 0 | ||
Nuveen Multi-Market Income Fund Inc | COM | 67075J107 | 734 | 104,578 | SH | SOLE | 104,578 | 0 | 0 | ||
Nuveen NASDAQ 100 Dynamic Overwrite Fund | COM SHS | 670699107 | 38 | 1,602 | SH | SOLE | 1,602 | 0 | 0 | ||
Nuveen New Jersey Quality Municipal Income Fund | COM | 67069Y102 | 83 | 6,456 | SH | SOLE | 6,456 | 0 | 0 | ||
Nuveen Preferred Income Opportunities Fund | SPONSORED ADR | 636274409 | 8 | 148 | SH | SOLE | 148 | 0 | 0 | ||
Nuveen Quality Municipal Income Fund | COM | 67066V101 | 101 | 7,920 | SH | SOLE | 7,920 | 0 | 0 | ||
Nuveen Real Asset Income and Growth Fund | COM | 67074Y105 | 234 | 14,502 | SH | SOLE | 14,502 | 0 | 0 | ||
Nuveen Select Tax-Free Income 3 Portfolio | SH BEN INT | 67063X100 | 109 | 7,810 | SH | SOLE | 7,810 | 0 | 0 | ||
Nuveen Select Tax-Free Income Portfolio | SH BEN INT | 67062F100 | 108 | 7,740 | SH | SOLE | 7,740 | 0 | 0 | ||
Orange S.A. | SPONSORED ADR | 684060106 | 5 | 321 | SH | SOLE | 321 | 0 | 0 | ||
Oxford Lane Capital Corp | COM | 691543102 | 5,459 | 515,267 | SH | OTR | 1 | 363,685 | 151,582 | 0 | |
PepsiCo, Inc. | COM | 713448108 | 11 | 95 | SH | SOLE | 95 | 0 | 0 | ||
Pfizer Inc | COM | 717081103 | 10 | 233 | SH | SOLE | 233 | 0 | 0 | ||
PGIM Global Short Duration High Yield Fund, Inc. | COM | 69346J106 | 2,915 | 210,130 | SH | SOLE | 210,130 | 0 | 0 | ||
PGIM Short Duration High Yield Fund, Inc. | COM | 69346H100 | 5,682 | 401,805 | SH | OTR | 1 | 308,616 | 93,189 | 0 | |
PIMCO California Municipal Income Fund II | COM | 72200M108 | 523 | 62,544 | SH | SOLE | 62,544 | 0 | 0 | ||
PIMCO California Municipal Income Fund III | COM | 72201C109 | 217 | 21,359 | SH | SOLE | 21,359 | 0 | 0 | ||
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund | ENHAN SHRT MA AC | 72201R833 | 5,337 | 52,517 | SH | SOLE | 52,517 | 0 | 0 | ||
Pimco New York Municipal Income | COM | 72200Y102 | 28 | 2,454 | SH | SOLE | 2,454 | 0 | 0 | ||
PIMCO New York Municipal Income Fund III | COM | 72201E105 | 259 | 27,435 | SH | SOLE | 27,435 | 0 | 0 | ||
Pioneer Diversified High Income Trust | COM | 723653101 | 462 | 31,588 | SH | SOLE | 31,588 | 0 | 0 | ||
Pioneer High Income Trust | COM | 72369H106 | 318 | 34,336 | SH | SOLE | 34,336 | 0 | 0 | ||
Pioneer Municipal High Income Advantage Trust | COM | 723762100 | 1 | 105 | SH | SOLE | 105 | 0 | 0 | ||
Pioneer Municipal High Income Trust | COM SHS | 723763108 | 191 | 17,188 | SH | SOLE | 17,188 | 0 | 0 | ||
Popular Inc | COM NEW | 733174700 | 2,926 | 57,100 | SH | SOLE | 57,100 | 0 | 0 | ||
Principal Real Estate Income Fund | SHS BEN INT | 74255X104 | 253 | 14,683 | SH | SOLE | 14,683 | 0 | 0 | ||
ProShares Short VIX Short-Term Futures ETF | SHT VIX ST TRM | 74347W130 | 14 | 244 | SH | SOLE | 244 | 0 | 0 | ||
Prudential PLC | ADR | 74435K204 | 8 | 168 | SH | SOLE | 168 | 0 | 0 | ||
Putnam Managed Municipal Income Trust | COM | 746823103 | 75 | 10,794 | SH | SOLE | 10,794 | 0 | 0 | ||
Putnam Municipal Opportunities Trust | SH BEN INT | 746922103 | 83 | 7,242 | SH | SOLE | 7,242 | 0 | 0 | ||
Raytheon Co | COM NEW | 755111507 | 12 | 59 | SH | SOLE | 59 | 0 | 0 | ||
RENN Fund Inc | COM | 759720105 | 41 | 22,847 | SH | SOLE | 22,847 | 0 | 0 | ||
RMR Real Estate Income Fund | COM | 76970B101 | 79 | 4,401 | SH | SOLE | 4,401 | 0 | 0 | ||
Royal Caribbean Cruises Ltd | COM | V7780T103 | 3,798 | 29,229 | SH | SOLE | 29,229 | 0 | 0 | ||
Royal Dutch Shell PLC | SPON ADR B | 780259107 | 506 | 188 | SH | SOLE | 188 | 0 | 0 | ||
Royce Global Value Trust Inc | COM | 78081T104 | 43 | 4,104 | SH | SOLE | 4,104 | 0 | 0 | ||
Royce Value Trust Inc | COM | 780910105 | 128 | 7,816 | SH | SOLE | 7,816 | 0 | 0 | ||
Salient Midstream & MLP Fund | SH BEN INT | 79471V105 | 2,670 | 261,990 | SH | OTR | 1 | 153,495 | 108,495 | 0 | |
Sangamo Therapeutics, Inc. | COM | 800677106 | 85 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
Sanofi | SPONSORED ADR | 80105N105 | 8 | 173 | SH | SOLE | 173 | 0 | 0 | ||
SAP SE | SPON ADR | 803054204 | 7 | 56 | SH | SOLE | 56 | 0 | 0 | ||
Schlumberger Ltd | COM | 806857108 | 16 | 269 | SH | SOLE | 269 | 0 | 0 | ||
Sea Limited | ADR | 81141R100 | 14 | 998 | SH | SOLE | 998 | 0 | 0 | ||
Seaboard Corp | COM | 811543107 | 2,170 | 585 | SH | SOLE | 585 | 0 | 0 | ||
Simon Property Group Inc | COM | 828806109 | 6 | 34 | SH | SOLE | 34 | 0 | 0 | ||
SK Telecom Co Ltd | SPONSORED ADR | 78440P108 | 6 | 224 | SH | SOLE | 224 | 0 | 0 | ||
Sony Corp | SPONSORED ADR | 835699307 | 64 | 1,054 | SH | SOLE | 1,054 | 0 | 0 | ||
Source Capital Inc | COM | 836144105 | 3,274 | 81,432 | SH | OTR | 1 | 60,549 | 20,883 | 0 | |
Special Opportunities Fund Inc | COM | 84741T104 | 812 | 53,866 | SH | SOLE | 53,866 | 0 | 0 | ||
Sprott Focus Trust Inc | COM | 85208J109 | 327 | 44,242 | SH | SOLE | 44,242 | 0 | 0 | ||
Sprott Physical Gold and Silver Trust | TR UNIT | 85208R101 | 93 | 8,000 | SH | SOLE | 8,000 | 0 | 0 | ||
Stryker Corporation | COM | 863667101 | 9 | 50 | SH | SOLE | 50 | 0 | 0 | ||
Suncor Energy Inc | COM | 867224107 | 31 | 799 | SH | SOLE | 799 | 0 | 0 | ||
Tahoe Resources Inc | COM | 873868103 | 368 | 131,900 | SH | SOLE | 131,900 | 0 | 0 | ||
Taiwan Semiconductor Manufacturing Company Limited | SPONSORED ADR | 874039100 | 5 | 121 | SH | SOLE | 121 | 0 | 0 | ||
TCW Strategic Income Fund Inc | COM | 872340104 | 123 | 22,000 | SH | SOLE | 22,000 | 0 | 0 | ||
TechnipFMC PLC | COM | G87110105 | 13 | 409 | SH | SOLE | 409 | 0 | 0 | ||
Teekay LNG Partners LP | PRTNRSP UNITS | Y8564M105 | 160 | 9,589 | SH | SOLE | 9,589 | 0 | 0 | ||
Tekla Healthcare Investors | SH BEN INT | 87911J103 | 1,867 | 80,639 | SH | SOLE | 80,639 | 0 | 0 | ||
Tekla Healthcare Opportunities Fund | SHS | 879105104 | 11,183 | 596,720 | SH | OTR | 1 | 398,657 | 198,063 | 0 | |
Tekla Life Science Investors | SH BEN INT | 87911K100 | 55 | 2,673 | SH | SOLE | 2,673 | 0 | 0 | ||
Tekla World Healthcare Fund | BEN INT SHS | 87911L108 | 7,491 | 533,903 | SH | OTR | 1 | 348,730 | 185,173 | 0 | |
Templeton Dragon Fund Inc | COM | 88018T101 | 421 | 21,135 | SH | OTR | 1 | 1,480 | 19,655 | 0 | |
The Asia Pacific Fund Inc | COM | 044901106 | 56 | 4,150 | SH | SOLE | 4,150 | 0 | 0 | ||
The Bank of Nova Scotia | COM | 064149107 | 5 | 81 | SH | SOLE | 81 | 0 | 0 | ||
The China Fund Inc | COM | 169373107 | 290 | 14,797 | SH | OTR | 1 | 3,760 | 11,037 | 0 | |
The Cushing MLP Total Return Fund | COM NEW | 231631201 | 100 | 8,439 | SH | SOLE | 8,439 | 0 | 0 | ||
The European Equity Fund Inc | COM | 298768102 | 388 | 41,286 | SH | SOLE | 41,286 | 0 | 0 | ||
The Gabelli Dividend & Income Trust | COM | 36242H104 | 70 | 2,912 | SH | SOLE | 2,912 | 0 | 0 | ||
The Gabelli Global Small and Mid Cap Value Trust | COM | 36249W104 | 13 | 1,046 | SH | SOLE | 1,046 | 0 | 0 | ||
The Gabelli Healthcare & WellnessRx Trust | SHS | 36246K103 | 2,784 | 252,668 | SH | OTR | 1 | 167,313 | 85,355 | 0 | |
The GDL Fund | COM SH BEN IT | 361570104 | 38 | 4,173 | SH | SOLE | 4,173 | 0 | 0 | ||
The Herzfeld Caribbean Basin Fund Inc | COM | 42804T106 | 8,039 | 1,252,227 | SH | DFND | 613,790 | 638,437 | 0 | ||
The Home Depot Inc | COM | 437076102 | 9 | 45 | SH | SOLE | 45 | 0 | 0 | ||
The India Fund Inc | COM | 454089103 | 1,896 | 85,690 | SH | OTR | 1 | 54,903 | 30,787 | 0 | |
The Korea Fund Inc | COM NEW | 500634209 | 384 | 10,481 | SH | SOLE | 10,481 | 0 | 0 | ||
The Latin American Discovery Fund Inc | COM | 51828C106 | 29 | 2,593 | SH | SOLE | 2,593 | 0 | 0 | ||
The Mexico Equity & Income Fund Inc | COM | 592834105 | 952 | 77,505 | SH | OTR | 1 | 50,585 | 26,920 | 0 | |
The New Germany Fund Inc | COM | 644465106 | 2,940 | 161,544 | SH | OTR | 1 | 90,235 | 71,309 | 0 | |
The New Ireland Fund Inc | COM | 645673104 | 11 | 1,084 | SH | SOLE | 1,084 | 0 | 0 | ||
The PNC Financial Services Group Inc | COM | 693475105 | 8 | 59 | SH | SOLE | 59 | 0 | 0 | ||
The Taiwan Fund Inc | COM | 874036106 | 4,645 | 242,290 | SH | OTR | 1 | 158,074 | 84,216 | 0 | |
The Toronto-Dominion Bank | COM NEW | 891160509 | 8 | 133 | SH | SOLE | 133 | 0 | 0 | ||
The Travelers Companies, Inc. | COM | 89417E109 | 5 | 40 | SH | SOLE | 40 | 0 | 0 | ||
The Walt Disney Co | COM DISNEY | 254687106 | 8 | 68 | SH | SOLE | 68 | 0 | 0 | ||
TJX Cos Inc | COM | 872540109 | 6 | 58 | SH | SOLE | 58 | 0 | 0 | ||
Tortoise Energy Infrastructure Corporation | COM | 89147L100 | 748 | 27,762 | SH | OTR | 1 | 0 | 27,762 | 0 | |
Tortoise MLP Fund, Inc | COM | 89148B101 | 19 | 1,164 | SH | SOLE | 1,164 | 0 | 0 | ||
Tortoise Pipeline & Energy Fund Inc | COM | 89148H108 | 3,755 | 217,030 | SH | OTR | 1 | 146,369 | 70,661 | 0 | |
Tortoise Power and Energy Infrastructure Fund Inc | COM | 89147X104 | 2,227 | 116,796 | SH | OTR | 1 | 55,537 | 61,259 | 0 | |
Tri-Continental Corp | COM | 895436103 | 97 | 3,470 | SH | SOLE | 3,470 | 0 | 0 | ||
Unilever N.V. | N Y SHS NEW | 904784709 | 10 | 175 | SH | SOLE | 175 | 0 | 0 | ||
United States Oil Fund LP | UNITS | 91232N108 | 16 | 1,000 | SH | SOLE | 1,000 | 0 | 0 | ||
United Technologies Corp | COM | 913017109 | 6 | 45 | SH | SOLE | 45 | 0 | 0 | ||
UnitedHealth Group Inc | COM | 91324P102 | 11 | 43 | SH | SOLE | 43 | 0 | 0 | ||
Vale SA | ADR | 91912E105 | 8 | 527 | SH | SOLE | 527 | 0 | 0 | ||
VanEck Vectors Gold Miners ETF | GOLD MINERS ETF | 92189F106 | 56 | 3,024 | SH | SOLE | 3,024 | 0 | 0 | ||
Verizon Communications Inc | COM | 92343V104 | 6 | 117 | SH | SOLE | 117 | 0 | 0 | ||
Virtus Total Return Fund Inc | COM | 92837G100 | 28 | 2,681 | SH | SOLE | 2,681 | 0 | 0 | ||
Visa Inc | COM CL A | 92826C839 | 12 | 82 | SH | SOLE | 82 | 0 | 0 | ||
Voya Prime Rate Trust | SH BEN INT | 92913A100 | 2,803 | 562,801 | SH | SOLE | 562,801 | 0 | 0 | ||
Vulcan Materials Co | COM | 929160109 | 556 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
Wal-Mart Stores Inc | COM | 931142103 | 9 | 91 | SH | SOLE | 91 | 0 | 0 | ||
Waste Management, Inc. | COM | 94106L109 | 6 | 65 | SH | SOLE | 65 | 0 | 0 | ||
Watsco Inc | COM | 942622200 | 1,425 | 8,000 | SH | SOLE | 8,000 | 0 | 0 | ||
Wells Fargo Advantage Multi-Sector Income Fund | COM | 94987D101 | 123 | 10,142 | SH | SOLE | 10,142 | 0 | 0 | ||
Western Asset Variable Rate | COM | 957667108 | 22 | 1,308 | SH | SOLE | 1,308 | 0 | 0 | ||
Western Asset/Claymore Inflation-Linked Opportunities & Income Fund | COM | 95766R104 | 4,748 | 437,962 | SH | OTR | 1 | 284,995 | 152,967 | 0 | |
Western Asset/Claymore Inflation-Linked Securities & Income Fund | COM SH BEN INT | 95766Q106 | 2,088 | 185,446 | SH | OTR | 1 | 97,988 | 87,458 | 0 | |
Zoetis Inc. | CL A | 98978V103 | 8 | 85 | SH | SOLE | 85 | 0 | 0 |