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 | 6 | 318 | SH | SOLE | 318 | 0 | 0 | ||
Aberdeen Asia Pacific In Com | COM | 003009107 | 44 | 10,349 | SH | SOLE | 10,349 | 0 | 0 | ||
Aberdeen Emerging Markets Equity Inc. | COM | 00301W105 | 318 | 43,750 | SH | SOLE | 43,750 | 0 | 0 | ||
Aberdeen Global Dynamic Dividend Fund | COM | 00302M106 | 1,985 | 209,635 | SH | OTR | 1 | 113,579 | 96,056 | 0 | |
Aberdeen Japan Equity Fund Inc | COM | 00306J109 | 1,854 | 265,870 | SH | OTR | 1 | 173,477 | 92,393 | 0 | |
Aberdeen Total Dynamic Dividend Fund | COM SH BEN INT | 00326L100 | 4,636 | 561,957 | SH | OTR | 1 | 336,525 | 225,432 | 0 | |
Accenture PLC Ireland | SHS CLASS A | G1151C101 | 16 | 89 | SH | SOLE | 89 | 0 | 0 | ||
Adams Diversified Equity Fund Inc | COM | 006212104 | 3,412 | 236,302 | SH | SOLE | 236,302 | 0 | 0 | ||
Adams Natural Resources Fund Inc | COM | 00548F105 | 2,510 | 149,674 | SH | OTR | 1 | 36,553 | 113,121 | 0 | |
Advent Claymore Convertible Securities and Income Fund | COM | 00764C109 | 607 | 41,111 | SH | SOLE | 41,111 | 0 | 0 | ||
Alibaba Group Holding Limited | SPONSORED ADS | 01609W102 | 12 | 68 | SH | SOLE | 68 | 0 | 0 | ||
Allegion PLC | ORD SHS | G0176J109 | 10 | 105 | SH | SOLE | 105 | 0 | 0 | ||
AllianceBernstein National Municipal Income Fund Inc | COM | 01864U106 | 135 | 10,411 | SH | SOLE | 10,411 | 0 | 0 | ||
AllianzGI Convertible & Income 2024 Target Term Fund | COM | 01883H102 | 981 | 109,003 | SH | SOLE | 109,003 | 0 | 0 | ||
AllianzGI NFJ Dividend Interest & Premium Strategy Fund | COM | 01883A107 | 468 | 38,787 | SH | OTR | 1 | 80 | 38,707 | 0 | |
Altaba Inc | COM | 021346101 | 63 | 849 | SH | SOLE | 849 | 0 | 0 | ||
Amazon Com Inc | COM | 023135106 | 11 | 6 | SH | SOLE | 6 | 0 | 0 | ||
Ambev SA | SHS CL A | 02319V103 | 17 | 4,050 | SH | SOLE | 4,050 | 0 | 0 | ||
America Movil SAB de CV | SPON ADR L SHS | 02364W105 | 638 | 44,690 | SH | SOLE | 44,690 | 0 | 0 | ||
American Electric Power Co Inc | COM | 025537101 | 7 | 83 | SH | SOLE | 83 | 0 | 0 | ||
American Express Co | COM | 025816109 | 8 | 69 | SH | SOLE | 69 | 0 | 0 | ||
Amgen Inc | COM | 031162100 | 133 | 700 | SH | SOLE | 700 | 0 | 0 | ||
Aon Plc | SHS CL A | G0408V102 | 7 | 43 | SH | SOLE | 43 | 0 | 0 | ||
Apollo Tactical Income Fund Inc | COM | 037638103 | 5,471 | 372,430 | SH | OTR | 1 | 240,999 | 131,431 | 0 | |
Apple Inc | COM | 037833100 | 9 | 46 | SH | SOLE | 46 | 0 | 0 | ||
Ares Dynamic Credit Allocation Fund, Inc. | COM | 04014F102 | 1,554 | 104,732 | SH | SOLE | 104,732 | 0 | 0 | ||
ASA Gold and Precious Metals Ltd | SHS | G3156P903 | 51 | 5,015 | SH | SOLE | 5,015 | 0 | 0 | ||
ASML Holding N V | N Y REGISTRY SHS | N07059210 | 40 | 215 | SH | SOLE | 215 | 0 | 0 | ||
Automatic Data Processing, Inc. | COM | 053015103 | 7 | 44 | SH | SOLE | 44 | 0 | 0 | ||
Avianca Holdings SA | SPON ADR REP PFD | 05367G100 | 1,111 | 270,869 | SH | SOLE | 270,869 | 0 | 0 | ||
Baidu Inc | SPON ADR REP A | 056752108 | 37 | 222 | SH | SOLE | 222 | 0 | 0 | ||
Banco Bilbao Vizcaya Argentaria SA | SPONSORED ADR | 05946K101 | 37 | 6,523 | SH | SOLE | 6,523 | 0 | 0 | ||
Banco Bradesco S.A. | SP ADR PFD | 059460303 | 6 | 618 | SH | SOLE | 618 | 0 | 0 | ||
Bancolombia SA | SPON ADR PREF | 05968L102 | 933 | 18,280 | SH | SOLE | 18,280 | 0 | 0 | ||
Becton Dickinson & Co | COM | 075887109 | 6 | 24 | SH | SOLE | 24 | 0 | 0 | ||
BHP Billiton Ltd | SPONSORED ADR | 088606108 | 12 | 212 | SH | SOLE | 212 | 0 | 0 | ||
BioMarin Pharmaceutical Inc | COM | 09061G101 | 21 | 239 | SH | SOLE | 239 | 0 | 0 | ||
BlackRock Calif Mun Income | COM SH BEN INT | 09248E102 | 103 | 8,000 | SH | SOLE | 8,000 | 0 | 0 | ||
BlackRock Credit Allocation Income Trust | COM | 092508100 | 670 | 53,957 | SH | SOLE | 53,957 | 0 | 0 | ||
BlackRock Debt Strategies Fund | COM NEW | 09255R202 | 151 | 14,095 | SH | SOLE | 14,095 | 0 | 0 | ||
BlackRock Enhanced Equity Dividend Trust | COM | 09251A104 | 13 | 1,526 | SH | SOLE | 1,526 | 0 | 0 | ||
BlackRock Mass Tax- Exempt Tr | COM SH BEN INT | 09258E109 | 81 | 6,444 | SH | SOLE | 6,444 | 0 | 0 | ||
BlackRock Muni Intermediate Duration Fund Inc | COM | 09253X102 | 747 | 54,258 | SH | SOLE | 54,258 | 0 | 0 | ||
BlackRock Muni New York Intermediate Duration Fund Inc | COM | 09255F109 | 52 | 3,850 | SH | SOLE | 3,850 | 0 | 0 | ||
BlackRock Municipal 2030 Target Term Trust | COM SHS BEN IN | 09257P105 | 349 | 15,686 | SH | SOLE | 15,686 | 0 | 0 | ||
BlackRock Munihldngs Cali QL | COM | 09254L107 | 186 | 14,050 | SH | SOLE | 14,050 | 0 | 0 | ||
Blackstone / GSO Strategic Credit Fund | COM SHS BEN IN | 09257R101 | 698 | 48,961 | SH | SOLE | 48,961 | 0 | 0 | ||
Boulder Growth & Income Fund Inc | COM | 101507101 | 11,320 | 1,050,052 | SH | OTR | 1 | 767,429 | 282,623 | 0 | |
BrandywineGLOBAL - Global Income Opportunities Fund Inc. | COM | 10537L104 | 59 | 5,264 | SH | SOLE | 5,264 | 0 | 0 | ||
Bristol-Myers Squibb Co | COM | 110122108 | 81 | 1,700 | SH | SOLE | 1,700 | 0 | 0 | ||
Brookfield Real Assets Incom | COM SH BEN INT | 112830104 | 1,106 | 51,134 | SH | OTR | 1 | 19,547 | 31,587 | 0 | |
Canadian Natural Resources Ltd | COM | 136385101 | 8 | 288 | SH | SOLE | 288 | 0 | 0 | ||
Carnival Corp | UNIT 99/99/9999 | 143658300 | 1,345 | 26,518 | SH | SOLE | 26,518 | 0 | 0 | ||
Celgene Corp | COM | 151020104 | 28 | 300 | SH | SOLE | 300 | 0 | 0 | ||
Cemex SAB de CV | SPON ADR NEW | 151290889 | 1,441 | 310,645 | SH | SOLE | 310,645 | 0 | 0 | ||
Central and Eastern European Fund Inc | COM | 153436100 | 43 | 1,791 | SH | SOLE | 1,791 | 0 | 0 | ||
Central Securities Corp | COM | 155123102 | 12,062 | 421,014 | SH | OTR | 1 | 294,993 | 126,021 | 0 | |
China Petroleum & Chemical Corp | SPON ADR H SHS | 16941R108 | 7 | 84 | SH | SOLE | 84 | 0 | 0 | ||
Chubb Ltd | COM | H1467J104 | 13 | 90 | SH | SOLE | 90 | 0 | 0 | ||
Clearbridge Energy Midstrm O | COM | 18469P100 | 34 | 3,542 | SH | SOLE | 3,542 | 0 | 0 | ||
Clearbridge MLP and Midstrm | COM | 184692101 | 2,074 | 163,800 | SH | SOLE | 163,800 | 0 | 0 | ||
Coca Cola European Partners | SHS | G25839104 | 13 | 257 | SH | SOLE | 257 | 0 | 0 | ||
Cohen & Steers Closed-End Opportunity Fund, Inc. | COM | 19248P106 | 708 | 57,282 | SH | SOLE | 57,282 | 0 | 0 | ||
Cohen & Steers MLP Income and Energy Opportunity Fund Inc | COM SHS | 19249B106 | 456 | 48,447 | SH | SOLE | 48,447 | 0 | 0 | ||
Consolidated Water Co Ltd | ORD | G23773107 | 1,565 | 121,638 | SH | SOLE | 121,638 | 0 | 0 | ||
Copa Holdings SA | CL A | P31076105 | 1,960 | 24,317 | SH | SOLE | 24,317 | 0 | 0 | ||
Cornerstone Strategic Value Fund Inc | COM | 21924B302 | 10,414 | 855,036 | SH | OTR | 1 | 668,146 | 186,890 | 0 | |
Cornerstone Total Rtrn Fd In | COM | 21924U300 | 3,345 | 278,964 | SH | SOLE | 278,964 | 0 | 0 | ||
Credit Suisse Asset Management Income Fund Inc | COM | 224916106 | 645 | 208,186 | SH | SOLE | 208,186 | 0 | 0 | ||
Credit Suisse Group AG | SPONSORED ADR | 225401108 | 3 | 226 | SH | SOLE | 226 | 0 | 0 | ||
Delaware Investments Minnesota Municipal Income Fund II Inc | COM | 24610V103 | 150 | 11,884 | SH | SOLE | 11,884 | 0 | 0 | ||
Diageo PLC | SPON ADR NEW | 25243Q205 | 26 | 157 | SH | SOLE | 157 | 0 | 0 | ||
Doubleline Opportunitic Cr | COM | 258623107 | 1 | 56 | SH | SOLE | 56 | 0 | 0 | ||
DowDuPont Inc | COM | 26078J100 | 3 | 75 | SH | SOLE | 75 | 0 | 0 | ||
Dreyfus Mun Income Inc | COM | 26201R102 | 42 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
Eagle Point Credit Co Inc | COM | 269808101 | 2,267 | 136,268 | SH | OTR | 1 | 120,524 | 15,744 | 0 | |
Eaton Vance Calif Mun Bd Fd | COM | 27828A100 | 96 | 9,120 | SH | SOLE | 9,120 | 0 | 0 | ||
Eaton Vance California Municipal Income Trust | SH BEN INT | 27826F101 | 131 | 10,947 | SH | SOLE | 10,947 | 0 | 0 | ||
Eaton Vance Fltg Rate Income Tr | COM SHS BEN INT | 278284104 | 20 | 1,335 | SH | SOLE | 1,335 | 0 | 0 | ||
Eaton Vance Limited Duration Income Fund | COM | 27828H105 | 1,652 | 130,584 | SH | SOLE | 130,584 | 0 | 0 | ||
Eaton Vance Mun Bd Fd | COM | 27827X101 | 292 | 23,538 | SH | SOLE | 23,538 | 0 | 0 | ||
Eaton Vance Muni Income Trust | SH BEN INT | 27826U108 | 137 | 11,241 | SH | SOLE | 11,241 | 0 | 0 | ||
Eaton Vance Short Duration Diversified Income Fund | COM | 27828V104 | 795 | 61,328 | SH | SOLE | 61,328 | 0 | 0 | ||
Eaton Vance Tax Adv Bd Opt S | COM SH BEN INT | 27829M103 | 196 | 21,152 | SH | SOLE | 21,152 | 0 | 0 | ||
Eli Lilly & Co | COM | 532457108 | 78 | 600 | SH | SOLE | 600 | 0 | 0 | ||
Embraer S A | SP ADR REP 4 COM | 29082A107 | 6 | 330 | SH | SOLE | 330 | 0 | 0 | ||
Empire State Realty Trust Inc | CL A | 292104106 | 1,010 | 63,894 | SH | SOLE | 63,894 | 0 | 0 | ||
Equinix Inc | COM PAR $0.001 | 29444U700 | 50 | 110 | SH | SOLE | 110 | 0 | 0 | ||
Era Group Inc | COM | 26885G109 | 155 | 13,474 | SH | SOLE | 13,474 | 0 | 0 | ||
EVERTEC Inc | COM | 30040P103 | 472 | 16,956 | SH | SOLE | 16,956 | 0 | 0 | ||
Exxon Mobil Corp | COM | 30231G102 | 6 | 73 | SH | SOLE | 73 | 0 | 0 | ||
Fiduciary/Claymore MLP Opportunity Fund | COM | 31647Q106 | 82 | 7,767 | SH | SOLE | 7,767 | 0 | 0 | ||
First BanCorp/Puerto Rico | COM NEW | 318672706 | 3,031 | 264,477 | SH | SOLE | 264,477 | 0 | 0 | ||
First Tr Inter Dur Pfd & In | COM | 33718W103 | 198 | 9,058 | SH | SOLE | 9,058 | 0 | 0 | ||
First Trust Aberdeen Global Opportunity Income Fund | COM SHS | 337319107 | 53 | 5,229 | SH | SOLE | 5,229 | 0 | 0 | ||
First Trust Energy Infrastructure Fund | COM | 33738C103 | 768 | 48,464 | SH | SOLE | 48,464 | 0 | 0 | ||
First Trust High Income Long/Short Fund | COM | 33738E109 | 1,455 | 99,580 | SH | SOLE | 99,580 | 0 | 0 | ||
First Trust Mortgage Income Fund | COM SHS | 33734E103 | 317 | 23,402 | SH | SOLE | 23,402 | 0 | 0 | ||
Firsthand Technology Value Fund, Inc. | COM | 33766Y100 | 966 | 72,817 | SH | SOLE | 72,817 | 0 | 0 | ||
Flaherty & Crumine Total Return | COM | 338479108 | 254 | 13,197 | SH | SOLE | 13,197 | 0 | 0 | ||
Flaherty & Crumrine Dynamic Preferred and Income Fund | SHS | 33848W106 | 19 | 801 | SH | SOLE | 801 | 0 | 0 | ||
Fomento Economico Mexicano SAB de CV | SPON ADR UNITS | 344419106 | 1,389 | 15,055 | SH | SOLE | 15,055 | 0 | 0 | ||
Franklin Unvl Tr | SH BEN INT | 355145103 | 226 | 32,074 | SH | SOLE | 32,074 | 0 | 0 | ||
Fresh Del Monte Produce Inc | ORD | G36738105 | 1,149 | 42,500 | SH | SOLE | 42,500 | 0 | 0 | ||
Gabelli Equity Trust Inc | COM | 362397101 | 32 | 5,191 | SH | SOLE | 5,191 | 0 | 0 | ||
General American Investors Co Inc | COM | 368802104 | 5,598 | 168,054 | SH | OTR | 1 | 122,083 | 45,971 | 0 | |
Great Elm Cap Corp | COM | 390320109 | 1,247 | 150,921 | SH | SOLE | 150,921 | 0 | 0 | ||
Grupo Aeroportuario del Sureste SAB de CV | SPON ADR SER B | 40051E202 | 1,068 | 6,600 | SH | SOLE | 6,600 | 0 | 0 | ||
Grupo Televisa SAB | SPON ADR REP ORD | 40049J206 | 314 | 28,400 | SH | SOLE | 28,400 | 0 | 0 | ||
GW Pharmaceuticals PLC | ADS | 36197T103 | 8 | 45 | SH | SOLE | 45 | 0 | 0 | ||
HDFC Bank Ltd | SPONSORED ADS | 40415F101 | 4 | 33 | SH | SOLE | 33 | 0 | 0 | ||
Highland Floating Rate Opportunities Fund | SHS BEN INT | 43010E404 | 12,456 | 896,781 | SH | OTR | 1 | 697,244 | 199,537 | 0 | |
HIS Markit Ltd | SHS | G47567105 | 13 | 237 | SH | SOLE | 237 | 0 | 0 | ||
Incyte Corp | COM | 45337C102 | 21 | 242 | SH | SOLE | 242 | 0 | 0 | ||
Inovio Pharmaceuticals Inc | COM NEW | 45773H201 | 19 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
Intuit | COM | 461202103 | 9 | 34 | SH | SOLE | 34 | 0 | 0 | ||
Invesco Calif Value Mun Inc | COM | 46132H106 | 73 | 6,000 | SH | SOLE | 6,000 | 0 | 0 | ||
Invesco Dynamic Credit Opportunities Fund | COM | 46132R104 | 957 | 88,181 | SH | SOLE | 88,181 | 0 | 0 | ||
Invesco Exchng Traded Fd Tr | CEF INM COMPSI | 46138E404 | 2,107 | 95,084 | SH | SOLE | 95,084 | 0 | 0 | ||
Invesco Municipal Opportunity Trust | COM | 46132C107 | 276 | 23,131 | SH | SOLE | 23,131 | 0 | 0 | ||
Invesco QQQ Tr | UNIT SER 1 | 46090E103 | 49 | 270 | SH | SOLE | 270 | 0 | 0 | ||
Invesco Senior Income Trust | COM | 46131H107 | 2,020 | 480,925 | SH | SOLE | 480,925 | 0 | 0 | ||
iShares Short Maturity Bond ETF | SHT MAT BD ETF | 46431W507 | 3,629 | 72,236 | SH | SOLE | 72,236 | 0 | 0 | ||
iShares TIPS Bond ETF | TIPS BD ETF | 464287176 | 46 | 410 | SH | SOLE | 410 | 0 | 0 | ||
Ishares Tr | SHORT TREAS BD | 464288679 | 2,764 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
Ishares Tr 13 Yr | 1 3 YR TREAS BD | 464287457 | 1,531 | 18,200 | SH | SOLE | 18,200 | 0 | 0 | ||
Ishares Tr Short Term | SHRT NAT MUN ETF | 464288158 | 208 | 1,958 | SH | SOLE | 1,958 | 0 | 0 | ||
Itau Unibanco Holding S.A. | SPON ADR REP PFD | 465562106 | 10 | 1,173 | SH | SOLE | 1,173 | 0 | 0 | ||
Ivy High Income Opportunities Fund | COM | 465893105 | 384 | 28,424 | SH | SOLE | 28,424 | 0 | 0 | ||
Japan Smaller Capitalization Fund Inc | COM | 47109U104 | 740 | 84,390 | SH | OTR | 1 | 52,180 | 32,210 | 0 | |
Johnson & Johnson | COM | 478160104 | 10 | 74 | SH | SOLE | 74 | 0 | 0 | ||
JPMorgan Chase & Co | COM | 46625H100 | 11 | 106 | SH | SOLE | 106 | 0 | 0 | ||
Jupai Holdings Limited | COM | 67073B106 | 81 | 8,521 | SH | SOLE | 8,521 | 0 | 0 | ||
Karyopharm Therapeutics Inc | COM | 48576U106 | 9 | 1,500 | SH | SOLE | 1,500 | 0 | 0 | ||
Kayne Anderson Midstream/Energy Fund Inc | COM | 48661E108 | 1,794 | 150,747 | SH | OTR | 1 | 83,079 | 67,668 | 0 | |
Kayne Anderson MLP Investment Company | COM | 486606106 | 2,019 | 125,956 | SH | OTR | 1 | 68,075 | 57,881 | 0 | |
KKR Income Opportunities Fund | COM | 48249T106 | 390 | 25,206 | SH | SOLE | 25,206 | 0 | 0 | ||
Koninklijke Philips NV | NY REG SH NEW | 500472303 | 10 | 234 | SH | SOLE | 234 | 0 | 0 | ||
Lennar Corp | CL A | 526057104 | 2,332 | 47,500 | SH | SOLE | 47,500 | 0 | 0 | ||
Liberty All Star Equity Fund | SH BEN INT | 530158104 | 382 | 62,465 | SH | SOLE | 62,465 | 0 | 0 | ||
Liberty All Star Growth Fund Inc | COM | 529900102 | 468 | 84,193 | SH | SOLE | 84,193 | 0 | 0 | ||
LivaNova PLC | SHS | G5509L101 | 810 | 8,330 | SH | SOLE | 8,330 | 0 | 0 | ||
Lululemon Athletica Inc | COM | 550021109 | 10 | 60 | SH | SOLE | 60 | 0 | 0 | ||
Macquarie Global Infrastructure Total Return Fund Inc | COM | 55608D101 | 157 | 7,082 | SH | SOLE | 7,082 | 0 | 0 | ||
Marriott Vacations Worldwide Corp | COM | 57164Y107 | 1,566 | 16,745 | SH | SOLE | 16,745 | 0 | 0 | ||
Martin Marietta Materials Inc | COM | 573284106 | 604 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
MasTec Inc | COM | 576323109 | 5,642 | 117,297 | SH | SOLE | 117,297 | 0 | 0 | ||
McDonald's Corp | COM | 580135101 | 9 | 50 | SH | SOLE | 50 | 0 | 0 | ||
Merck & Co Inc | COM | 58933Y105 | 166 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
MFS High Income Municipal Trust | SH BEN INT | 59318D104 | 116 | 22,677 | SH | SOLE | 22,677 | 0 | 0 | ||
MFS Investment Grade Municipal Trust | SH BEN INT | 59318B108 | 908 | 96,702 | SH | SOLE | 96,702 | 0 | 0 | ||
MFS Municipal Income Trust | SH BEN INT | 552738106 | 210 | 30,279 | SH | SOLE | 30,279 | 0 | 0 | ||
Microsoft Corp | COM | 594918104 | 16 | 132 | SH | SOLE | 132 | 0 | 0 | ||
Mitsubishi UFJ Financial Group Inc | SPONSORED ADS | 606822104 | 9 | 1,760 | SH | SOLE | 1,760 | 0 | 0 | ||
Morgan Stanley Asia-Pacific Fund Inc | COM | 61744U106 | 22 | 1,347 | SH | SOLE | 1,347 | 0 | 0 | ||
Morgan Stanley Em Mkts Dm De | COM | 617477104 | 894 | 135,030 | SH | SOLE | 135,030 | 0 | 0 | ||
Morgan Stanley India Investment Fund Inc | COM | 61745C105 | 1,142 | 54,645 | SH | OTR | 1 | 4,645 | 50,000 | 0 | |
Neuberger Berman MLP Income Fund Inc | COM | 64129H104 | 1,246 | 156,531 | SH | SOLE | 156,531 | 0 | 0 | ||
Neuberger Brman NY Muni Fd | COM | 64124K102 | 3 | 241 | SH | SOLE | 241 | 0 | 0 | ||
New Oriental Education & Technology Group Inc | SPON ADR | 647581107 | 8 | 93 | SH | SOLE | 93 | 0 | 0 | ||
NexPoint Credit Strategies Fund | COM NEW | 65340G205 | 16,632 | 763,966 | SH | OTR | 1 | 531,207 | 232,759 | 0 | |
NextEra Energy Inc | COM | 65339F101 | 1,169 | 6,045 | SH | SOLE | 6,045 | 0 | 0 | ||
Northrop Grumman Corporation | COM | 666807102 | 7 | 26 | SH | SOLE | 26 | 0 | 0 | ||
Norwegian Cruise Line Holdings Ltd | SHS | G66721104 | 3,130 | 56,944 | SH | SOLE | 56,944 | 0 | 0 | ||
Novartis AG | SPONSORED ADR | 66987V109 | 52 | 619 | SH | SOLE | 619 | 0 | 0 | ||
NuStar Energy L.P. | COM | 67067Y104 | 40 | 6,857 | SH | SOLE | 6,857 | 0 | 0 | ||
Nuveen All Cap Ene MLP Oppo | COM | 67075E108 | 142 | 20,449 | SH | SOLE | 20,449 | 0 | 0 | ||
Nuveen AMT-Free Quality Municipal Income Fund | COM | 670657105 | 89 | 6,693 | SH | SOLE | 6,693 | 0 | 0 | ||
Nuveen CA Select Tax Free Pr | SH BEN INT | 67063R103 | 11 | 780 | SH | SOLE | 780 | 0 | 0 | ||
Nuveen California Amt Qlt Mu | COM | 670651108 | 139 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
Nuveen Core Equity Alpha Fund | COM | 67090X107 | 35 | 2,520 | SH | SOLE | 2,520 | 0 | 0 | ||
Nuveen Credit Strategies Income Fund | COM SHS | 67073D102 | 11,467 | 1,483,406 | SH | OTR | 1 | 1,152,463 | 330,943 | 0 | |
Nuveen Floating Rate Income Fund | COM | 67072T108 | 99 | 10,244 | SH | SOLE | 10,244 | 0 | 0 | ||
Nuveen Floating Rate Income Opportunity Fund | COM SHS | 6706EN100 | 2,699 | 281,406 | SH | OTR | 1 | 150,806 | 130,600 | 0 | |
Nuveen Global High Income Fund | SHS | 67075G103 | 134 | 8,839 | SH | SOLE | 8,839 | 0 | 0 | ||
Nuveen Massachusets Qlt Mun | COM | 67061E104 | 37 | 2,983 | SH | SOLE | 2,983 | 0 | 0 | ||
Nuveen Multi-Market Income Fund Inc | COM | 67075J107 | 739 | 104,489 | SH | SOLE | 104,489 | 0 | 0 | ||
Nuveen NASDAQ 100 Dynamic Overwrite Fund | COM SHS | 670699107 | 37 | 1,664 | SH | SOLE | 1,664 | 0 | 0 | ||
Nuveen New Jersey Quality Municipal Income Fund | COM | 67069Y102 | 89 | 6,456 | SH | SOLE | 6,456 | 0 | 0 | ||
Nuveen Pfd & Income Term Fd | COM | 67075A106 | 174 | 7,761 | SH | SOLE | 7,761 | 0 | 0 | ||
Nuveen Preferred Income Opportunities Fund | SPONSORED ADR | 636274409 | 12 | 220 | SH | SOLE | 220 | 0 | 0 | ||
Nuveen Real Asset Income and Growth Fund | COM | 67074Y105 | 85 | 5,321 | SH | SOLE | 5,321 | 0 | 0 | ||
Nuveen Select Tax-Free Income 2 Portfolio | SH BEN INT | 67063C106 | 275 | 19,746 | SH | SOLE | 19,746 | 0 | 0 | ||
Nuveen Select Tax-Free Income 3 Portfolio | SH BEN INT | 67063X100 | 553 | 37,534 | SH | OTR | 1 | 27,588 | 9,946 | 0 | |
Nuveen Select Tax-Free Income Portfolio | SH BEN INT | 67062F100 | 113 | 7,740 | SH | SOLE | 7,740 | 0 | 0 | ||
OFS Credit Company Inc | COM | 67111Q107 | 5,417 | 303,497 | SH | OTR | 1 | 261,370 | 42,127 | 0 | |
Orange S.A. | SPONSORED ADR | 684060106 | 11 | 662 | SH | SOLE | 662 | 0 | 0 | ||
Oxford Square Capital Corp. | COM | 69181V107 | 846 | 130,230 | SH | SOLE | 130,230 | 0 | 0 | ||
PepsiCo, Inc. | COM | 713448108 | 9 | 74 | SH | SOLE | 74 | 0 | 0 | ||
Pfizer Inc | COM | 717081103 | 9 | 221 | SH | SOLE | 221 | 0 | 0 | ||
PGIM Global Short Duration High Yield Fund, Inc. | COM | 69346J106 | 4,239 | 304,107 | SH | SOLE | 304,107 | 0 | 0 | ||
PGIM Short Duration High Yield Fund, Inc. | COM | 69346H100 | 6,464 | 455,864 | SH | OTR | 1 | 362,675 | 93,189 | 0 | |
PGT Innovations Inc | COM | 69336V101 | 833 | 60,170 | SH | SOLE | 60,170 | 0 | 0 | ||
PIMCO California Municipal Income Fund II | COM | 72200M108 | 250 | 27,762 | SH | SOLE | 27,762 | 0 | 0 | ||
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund | ENHAN SHRT MA AC | 72201R833 | 3,632 | 35,758 | SH | SOLE | 35,758 | 0 | 0 | ||
PIMCO ETF Tr | SHTRM MUN BD ACT | 72201R874 | 899 | 17,856 | SH | SOLE | 17,856 | 0 | 0 | ||
Pioneer Diversified High Income Trust | COM | 723653101 | 422 | 29,649 | SH | SOLE | 29,649 | 0 | 0 | ||
Pioneer High Income Trust | COM | 72369H106 | 331 | 36,965 | SH | SOLE | 36,965 | 0 | 0 | ||
Pioneer Municipal High Income Advantage Trust | COM | 723762100 | 71 | 6,600 | SH | SOLE | 6,600 | 0 | 0 | ||
Pioneer Municipal High Income Trust | COM SHS | 723763108 | 445 | 37,302 | SH | SOLE | 37,302 | 0 | 0 | ||
Popular Inc | COM NEW | 733174700 | 2,879 | 55,230 | SH | SOLE | 55,230 | 0 | 0 | ||
Principal Real Estate Income Fund | SHS BEN INT | 74255X104 | 268 | 14,400 | SH | SOLE | 14,400 | 0 | 0 | ||
ProShares Short VIX Short-Term Futures ETF | SHT VIX ST TRM | 74347W130 | 10 | 194 | SH | SOLE | 194 | 0 | 0 | ||
Prudential PLC | ADR | 74435K204 | 7 | 180 | SH | SOLE | 180 | 0 | 0 | ||
Putnam Managed Municipal Income Trust | COM | 746823103 | 28 | 3,694 | SH | SOLE | 3,694 | 0 | 0 | ||
Putnam Municipal Opportunities Trust | SH BEN INT | 746922103 | 63 | 5,142 | SH | SOLE | 5,142 | 0 | 0 | ||
Raytheon Co | COM NEW | 755111507 | 9 | 49 | SH | SOLE | 49 | 0 | 0 | ||
Rivernorth Doubleline Strate | COM | 76882G107 | 1,060 | 64,628 | SH | SOLE | 64,628 | 0 | 0 | ||
Rivernorth Opportunistic Mun | COM | 76883F108 | 121 | 5,816 | SH | SOLE | 5,816 | 0 | 0 | ||
RMR Real Estate Income Fund | COM | 76970B101 | 718 | 38,417 | SH | SOLE | 38,417 | 0 | 0 | ||
Rogers Communications Inc | CL B | 775109200 | 11 | 208 | SH | SOLE | 208 | 0 | 0 | ||
Royal Bk Cda Montreal Que | COM | 780087102 | 7 | 94 | SH | SOLE | 94 | 0 | 0 | ||
Royal Caribbean Cruises Ltd | COM | V7780T103 | 3,579 | 31,229 | SH | SOLE | 31,229 | 0 | 0 | ||
Royal Dutch Shell PLC | SPON ADR B | 780259107 | 748 | 308 | SH | SOLE | 308 | 0 | 0 | ||
Royce Value Trust Inc | COM | 780910105 | 171 | 12,395 | SH | SOLE | 12,395 | 0 | 0 | ||
Salient Midstream & MLP Fund | SH BEN INT | 79471V105 | 1,393 | 151,628 | SH | OTR | 1 | 43,133 | 108,495 | 0 | |
Sangamo Therapeutics, Inc. | COM | 800677106 | 48 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
Sanofi | SPONSORED ADR | 80105N105 | 11 | 247 | SH | SOLE | 247 | 0 | 0 | ||
SAP SE | SPON ADR | 803054204 | 10 | 87 | SH | SOLE | 87 | 0 | 0 | ||
Sea Limited | ADR | 81141R100 | 20 | 857 | SH | SOLE | 857 | 0 | 0 | ||
Seaboard Corp | COM | 811543107 | 746 | 174 | SH | SOLE | 174 | 0 | 0 | ||
Simon Property Group Inc | COM | 828806109 | 8 | 46 | SH | SOLE | 46 | 0 | 0 | ||
SK Telecom Co Ltd | SPONSORED ADR | 78440P108 | 7 | 295 | SH | SOLE | 295 | 0 | 0 | ||
Sony Corp | SPONSORED ADR | 835699307 | 67 | 1,577 | SH | SOLE | 1,577 | 0 | 0 | ||
Source Capital Inc | COM | 836144105 | 1,940 | 53,876 | SH | OTR | 1 | 32,993 | 20,883 | 0 | |
SPDR S&P 500 ETF Tr | TR UNIT | 78462F103 | 62 | 220 | SH | SOLE | 220 | 0 | 0 | ||
SPDR S&P MidCap 400 ETF Tr | UTSER1 S&PDCRP | 78467Y107 | 52 | 150 | SH | SOLE | 150 | 0 | 0 | ||
SPDR Ser Tr | SPDR BLOOMBERG | 78468R663 | 1,000 | 10,919 | SH | SOLE | 10,919 | 0 | 0 | ||
Special Opportunities Fund Inc | COM | 84741T104 | 3 | 210 | SH | SOLE | 210 | 0 | 0 | ||
Sprott Focus Trust Inc | COM | 85208J109 | 204 | 29,847 | SH | SOLE | 29,847 | 0 | 0 | ||
Sprott Physical Gold and Silver Trust | TR UNIT | 85208R101 | 99 | 8,000 | SH | SOLE | 8,000 | 0 | 0 | ||
Stryker Corporation | COM | 863667101 | 8 | 43 | SH | SOLE | 43 | 0 | 0 | ||
Sumitomo Mitsui Finl Group I | SPONSORED ADR | 86562M209 | 6 | 916 | SH | SOLE | 916 | 0 | 0 | ||
Suncor Energy Inc | COM | 867224107 | 48 | 1,468 | SH | SOLE | 1,468 | 0 | 0 | ||
Taiwan Semiconductor Manufacturing Company Limited | SPONSORED ADR | 874039100 | 12 | 284 | SH | SOLE | 284 | 0 | 0 | ||
Takeda Pharmaceutical Co Ltd | SPONSORED ADR | 874060205 | 81 | 4,000 | SH | SOLE | 4,000 | 0 | 0 | ||
TCW Strategic Income Fund Inc | COM | 872340104 | 11 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
Tekla Healthcare Investors | SH BEN INT | 87911J103 | 709 | 34,522 | SH | SOLE | 34,522 | 0 | 0 | ||
Tekla Healthcare Opportunities Fund | SHS | 879105104 | 8,360 | 474,479 | SH | OTR | 1 | 327,449 | 147,030 | 0 | |
Tekla Life Science Investors | SH BEN INT | 87911K100 | 678 | 39,562 | SH | SOLE | 39,562 | 0 | 0 | ||
Tekla World Healthcare Fund | BEN INT SHS | 87911L108 | 3,860 | 301,327 | SH | OTR | 1 | 200,897 | 100,430 | 0 | |
Templeton Dragon Fund Inc | COM | 88018T101 | 417 | 20,955 | SH | OTR | 1 | 1,300 | 19,655 | 0 | |
The China Fund Inc | COM | 169373107 | 27 | 1,343 | SH | SOLE | 1,343 | 0 | 0 | ||
The Cushing MLP Total Return Fund | COM NEW | 231631201 | 72 | 6,909 | SH | SOLE | 6,909 | 0 | 0 | ||
The European Equity Fund Inc | COM | 298768102 | 150 | 17,189 | SH | SOLE | 17,189 | 0 | 0 | ||
The Gabelli Dividend & Income Trust | COM | 36242H104 | 63 | 2,949 | SH | SOLE | 2,949 | 0 | 0 | ||
The Gabelli Healthcare & WellnessRx Trust | SHS | 36246K103 | 2,401 | 228,446 | SH | OTR | 1 | 143,091 | 85,355 | 0 | |
The GDL Fund | COM SH BEN IT | 361570104 | 41 | 4,263 | SH | SOLE | 4,263 | 0 | 0 | ||
The Herzfeld Caribbean Basin Fund Inc | COM | 42804T106 | 6,112 | 1,044,789 | SH | DFND | 681,640 | 363,149 | 0 | ||
The Home Depot Inc | COM | 437076102 | 11 | 56 | SH | SOLE | 56 | 0 | 0 | ||
The India Fund Inc | COM | 454089103 | 1,512 | 70,765 | SH | OTR | 1 | 44,978 | 25,787 | 0 | |
The Korea Fund Inc | COM NEW | 500634209 | 81 | 2,745 | SH | SOLE | 2,745 | 0 | 0 | ||
The Mexico Equity & Income Fund Inc | COM | 592834105 | 367 | 34,568 | SH | OTR | 1 | 17,457 | 17,111 | 0 | |
The New Germany Fund Inc | COM | 644465106 | 1,755 | 125,546 | SH | OTR | 1 | 38,760 | 86,786 | 0 | |
The New Ireland Fund Inc | COM | 645673104 | 5 | 546 | SH | SOLE | 546 | 0 | 0 | ||
The PNC Financial Services Group Inc | COM | 693475105 | 7 | 59 | SH | SOLE | 59 | 0 | 0 | ||
The Taiwan Fund Inc | COM | 874036106 | 2,171 | 121,241 | SH | OTR | 1 | 37,025 | 84,216 | 0 | |
The Toronto-Dominion Bank | COM NEW | 891160509 | 14 | 255 | SH | SOLE | 255 | 0 | 0 | ||
The Travelers Companies, Inc. | COM | 89417E109 | 4 | 29 | SH | SOLE | 29 | 0 | 0 | ||
The Walt Disney Co | COM DISNEY | 254687106 | 8 | 75 | SH | SOLE | 75 | 0 | 0 | ||
TJX Cos Inc | COM | 872540109 | 6 | 116 | SH | SOLE | 116 | 0 | 0 | ||
Tortoise Energy Infrastructure Corporation | COM | 89147L100 | 2,218 | 94,387 | SH | OTR | 1 | 68,742 | 25,645 | 0 | |
Tortoise MLP Fund, Inc | COM | 89148B101 | 16 | 1,164 | SH | SOLE | 1,164 | 0 | 0 | ||
Tortoise Pipeline & Energy Fund Inc | COM | 89148H108 | 1,845 | 121,410 | SH | OTR | 1 | 54,049 | 67,361 | 0 | |
Tortoise Power and Energy Infrastructure Fund Inc | COM | 89147X104 | 2,132 | 114,559 | SH | OTR | 1 | 54,217 | 60,342 | 0 | |
Tri-Continental Corp | COM | 895436103 | 96 | 3,650 | SH | SOLE | 3,650 | 0 | 0 | ||
Unilever N.V. | N Y SHS NEW | 904784709 | 15 | 257 | SH | SOLE | 257 | 0 | 0 | ||
United States Oil Fund LP | UNITS | 91232N108 | 13 | 1,000 | SH | SOLE | 1,000 | 0 | 0 | ||
United Technologies Corp | COM | 913017109 | 9 | 68 | SH | SOLE | 68 | 0 | 0 | ||
UnitedHealth Group Inc | COM | 91324P102 | 11 | 43 | SH | SOLE | 43 | 0 | 0 | ||
Vaneck Vectors ETF Tr | CEF MUN INCOME E | 92189F460 | 638 | 24,474 | SH | SOLE | 24,474 | 0 | 0 | ||
VanEck Vectors Gold Miners ETF | GOLD MINERS ETF | 92189F106 | 68 | 3,039 | SH | SOLE | 3,039 | 0 | 0 | ||
Verizon Communications Inc | COM | 92343V104 | 6 | 96 | SH | SOLE | 96 | 0 | 0 | ||
Virtus Total Return Fund Inc | COM | 92837G100 | 28 | 2,767 | SH | SOLE | 2,767 | 0 | 0 | ||
Visa Inc | COM CL A | 92826C839 | 13 | 82 | SH | SOLE | 82 | 0 | 0 | ||
Voya Emerging Mkts High Div | COM | 92912P108 | 10 | 1,301 | SH | SOLE | 1,301 | 0 | 0 | ||
Voya Prime Rate Trust | SH BEN INT | 92913A100 | 2,995 | 626,509 | SH | SOLE | 626,509 | 0 | 0 | ||
Vulcan Materials Co | COM | 929160109 | 592 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
Wal-Mart Stores Inc | COM | 931142103 | 10 | 100 | SH | SOLE | 100 | 0 | 0 | ||
Waste Management, Inc. | COM | 94106L109 | 5 | 45 | SH | SOLE | 45 | 0 | 0 | ||
Watsco Inc | COM | 942622200 | 1,146 | 8,000 | SH | SOLE | 8,000 | 0 | 0 | ||
Wells Fargo Advantage Multi-Sector Income Fund | COM | 94987D101 | 121 | 10,020 | SH | SOLE | 10,020 | 0 | 0 | ||
Wells Fargo Global Dividend | COM | 94987C103 | 14 | 2,588 | SH | SOLE | 2,588 | 0 | 0 | ||
Western Asset Emrg Mkt Debt | COM | 95766A101 | 52 | 3,811 | SH | SOLE | 3,811 | 0 | 0 | ||
Western Asset High Incm Fd | COM | 95766J102 | 523 | 80,756 | SH | SOLE | 80,756 | 0 | 0 | ||
Western Asset Mun Hi Incm Fd | COM | 95766N103 | 503 | 68,027 | SH | SOLE | 68,027 | 0 | 0 | ||
Western Asset Variable Rate | COM | 957667108 | 21 | 1,308 | SH | SOLE | 1,308 | 0 | 0 | ||
Western Asset/Claymore Inflation-Linked Opportunities & Income Fund | COM | 95766R104 | 55 | 5,109 | SH | SOLE | 5,109 | 0 | 0 | ||
Western Asset/Claymore Inflation-Linked Securities & Income Fund | COM SH BEN INT | 95766Q106 | 281 | 25,102 | SH | SOLE | 25,102 | 0 | 0 | ||
Wix Com Ltd | SHS | M98068105 | 6 | 52 | SH | SOLE | 52 | 0 | 0 | ||
Zoetis Inc. | CL A | 98978V103 | 10 | 95 | SH | SOLE | 95 | 0 | 0 |