Thomas J. Herzfeld Advisors, Inc. Diversified Active

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	Oxford Lane Capital, 7.50% Pfd Series 2023	266,164	$6,494	3.6%	$24.07	—	preferred stock	691543300
—	First Opportunity Fund, Inc.	650,851	$6,307	3.5%	$8.29	—	common stock	33587T108
—	PIMCO Dynamic Credit Income Fund	244,235	$5,488	3.1%	$22.56	—	common stock	72202D106
—	Virtus Total Return Fund	1,136,380	$5,284	2.9%	$3.91	—	common stock	92829A103
—	Adams Express Company	374,821	$5,225	2.9%	$12.14	—	common stock	006212104
—	Petroleum & Resources Corp.	181,142	$5,217	2.9%	$26.08	—	common stock	716549100
—	Alpine Total Dynamic Dividend Fund	538,400	$4,582	2.5%	$8.38	—	common stock	021060207
—	Tri-Continental Corp.	205,818	$4,295	2.4%	$18.05	—	common stock	895436103
—	Nuveen Credit Strategies Income Fund	362,453	$3,237	1.8%	$9.19	—	common stock	67073D102
—	General American Investors Company, Inc.	86,166	$3,193	1.8%	$32.57	—	common stock	368802104
—	RMR Real Estate Income Fund	158,274	$2,976	1.7%	$19.54	—	common stock	76970B101
CPA	Copa Holdings SA	25,800	$2,768	1.5%	$96.84	-2.8%	common stock	P31076105
—	Clough Global Opportunities Fund	230,877	$2,754	1.5%	$12.90	—	common stock	18914E106
—	Liberty All-Star Equity Fund	451,708	$2,633	1.5%	$5.32	—	common stock	530158104
—	Federated Enhanced Treasury Income Fund	193,348	$2,604	1.4%	$13.01	—	common stock	314162108
—	BlackRock Credit Allocation Income Trust	187,746	$2,499	1.4%	$13.00	—	common stock	092508100
—	Diversified Real Asset Income Fund	140,718	$2,495	1.4%	$17.73	—	common stock	25533B108
—	Cohen & Steers Infrastructure Fund, Inc.	104,442	$2,418	1.3%	$19.49	—	common stock	19248A109
—	DoubleLine Income Solutions Fund	109,681	$2,375	1.3%	$21.38	—	common stock	258622109
—	Kayne Anderson Midstream/Energy Fund	57,330	$2,298	1.3%	$37.11	—	common stock	48661E108
—	Alpine Global Dynamic Dividend Fund	230,138	$2,276	1.3%	$10.20	—	common stock	02082E205
—	Gabelli Healthcare & Wellness (Rx) Trust	229,097	$2,270	1.3%	$9.97	—	common stock	36246K103
—	The Herzfeld Caribbean Basin Fund, Inc.	282,652	$2,261	1.3%	$8.49	—	common stock	42804T106
—	First Trust High Income Long/Short Fund	131,130	$2,241	1.2%	$17.52	—	common stock	33738E109
—	Putnam Premier Income Trust	405,470	$2,222	1.2%	$5.36	—	common stock	746853100
—	Oxford Lane Capital, 8.125% Pfd Series 2024	87,135	$2,205	1.2%	$25.32	—	preferred stock	691543409
—	Tortoise Pipeline & Energy Fund	62,155	$2,142	1.2%	$33.22	—	common stock	89148H108
—	Nuveen Dividend Advantage Municipal Fund 3	154,543	$2,113	1.2%	$13.24	—	common stock	67070X101
MTZ	MasTec, Inc.	67,100	$2,055	1.1%	$31.95	-7.0%	common stock	576323109
—	Tortoise Energy Infrastructure	42,284	$2,034	1.1%	$48.13	—	common stock	89147L100
KOF	Coca Cola Femsa S.A.B. de C.V.	19,602	$1,974	1.1%	$138.37	—	common stock	191241108
—	Royce Value Trust Inc.	130,589	$1,894	1.1%	$15.29	—	common stock	780910105
XJEQX	Aberdeen Japan Equity Fund, Inc.	261,158	$1,857	1.0%	$6.55	—	common stock	00306J109
—	Nuveen California AMT-Free Municipal Income Fund	130,637	$1,820	1.0%	$13.54	—	common stock	670651108
RCL	Royal Caribbean Cruises Ltd.	26,000	$1,750	1.0%	$29.48	+83.0%	common stock	V7780T103
—	AllianzGI Equity & Convertible Income Fund	86,111	$1,711	1.0%	$19.33	—	common stock	018829101
SEB	Seaboard Corp.	633	$1,693	0.9%	$2655.35	+5.7%	common stock	811543107
LEN	Lennar Corp.	40,500	$1,573	0.9%	$33.64	-0.1%	common stock	526057104
—	Nuveen Multi-Market Income Fund, Inc.	197,622	$1,492	0.8%	$7.55	—	common stock	67075J107
—	Zweig Total Return Fund Inc.	106,891	$1,480	0.8%	$12.97	—	common stock	989837208
—	First Trust Intermediate Duration Preferred & Income Fund	66,792	$1,451	0.8%	$21.76	—	common stock	33718W103
—	Aberdeen Asia-Pacific Income Fund, Inc.	229,579	$1,355	0.8%	$6.20	—	common stock	003009107
—	The Korea Fund, Inc.	32,624	$1,354	0.8%	$34.59	—	common stock	500634209
—	Putnam High Income Securities Fund	159,859	$1,330	0.7%	$7.90	—	common stock	746779107
NCLH	Norwegian Cruise Line Holdings Ltd.	36,443	$1,313	0.7%	$32.51	+4.4%	common stock	G66721104
—	Boulder Growth and Income Fund, Inc.	146,752	$1,297	0.7%	$7.48	—	common stock	101507101
—	New Germany Fund, Inc.	77,587	$1,296	0.7%	$17.86	—	common stock	644465106
CCL	Carnival Corp.	31,000	$1,245	0.7%	$27.76	+15.3%	common stock	143658300
CWCO	Consolidated Water Co. Ltd.	104,013	$1,215	0.7%	$8.59	+3.3%	common stock	G23773107
—	Tortoise Energy Independence Fund, Inc.	47,297	$1,169	0.7%	$25.94	—	common stock	89148K101
—	BlackRock Municipal Target Term Trust	58,199	$1,156	0.6%	$19.83	—	common stock	09257P105
—	America Movil S.A.B. de C.V.	44,690	$1,126	0.6%	$21.75	—	common stock	02364W105
—	Bancolombia S.A.	19,280	$1,094	0.6%	$55.78	—	common stock	05968L102
—	Salient Midstream & MLP Fund	36,908	$1,077	0.6%	$29.22	—	common stock	79471V105
WSO	Watsco Inc.	12,300	$1,060	0.6%	$84.60	+9.3%	common stock	942622200
—	Japan Smaller Capitalization Fund Inc.	109,186	$1,058	0.6%	$8.64	—	common stock	47109U104
—	Gabelli Multimedia Trust Inc.	108,773	$1,021	0.6%	$9.39	—	common stock	36239Q109
—	Neuberger Berman Real Estate Securities Income Fund	201,020	$969	0.5%	$4.83	—	common stock	64190A103
TV	Grupo Televisa, S.A.B.	28,400	$962	0.5%	$24.82	—	common stock	40049J206
—	Cyberonics, Inc.	18,330	$938	0.5%	$62.47	—	common stock	23251P102
—	First Trust Mortgage Income Fund	61,616	$933	0.5%	$15.88	—	common stock	33734E103
—	Chiquita Brands International Inc.	63,809	$906	0.5%	$11.24	—	common stock	170032809
—	GAMCO Global Gold, Natural Resources & Income Trust by Gabelli Preferred Series B	41,824	$893	0.5%	$21.45	—	preferred stock	36465A307
FCX	Freeport McMoran Copper & Gold	27,000	$882	0.5%	$24.45	+29.4%	common stock	35671D857
—	Montgomery Street Income Securities, Inc.	53,675	$876	0.5%	$16.16	—	common stock	614115103
FMX	Fomento Economico Mexicano, S.A.B. de C.V.	9,500	$874	0.5%	$102.53	—	common stock	344419106
—	Clough Global Equity Fund	60,629	$869	0.5%	$14.97	—	common stock	18914C100
—	Boulder Total Return Fund, Inc.	32,938	$868	0.5%	$21.99	—	common stock	101541100
—	Nuveen Dividend Advantage Municipal Income Fund	57,530	$812	0.5%	$13.08	—	common stock	67071L106
CX	Cemex, S.A.B. de C.V.	56,743	$740	0.4%	$10.83	—	common stock	151290889
—	Central Securities Corp.	32,036	$736	0.4%	$21.97	—	common stock	155123102
—	Steiner Leisure Ltd.	19,467	$732	0.4%	$51.91	—	common stock	P8744Y102
—	PIMCO Dynamic Income Fund	23,001	$726	0.4%	$31.56	—	common stock	72201Y101
—	Nuveen Quality Preferred Income Fund 3	85,999	$720	0.4%	$8.42	—	common stock	67072W101
—	Teco Energy, Inc.	40,500	$704	0.4%	$17.19	—	common stock	872375100
—	Brookfield Global Listed Infrastructure Income Fund, Inc.	30,071	$701	0.4%	$20.30	—	common stock	11273Q109
—	Nuveen Municipal Market Opportunity Fund, Inc.	52,353	$694	0.4%	$12.17	—	common stock	67062W103
—	Cohen & Steers Total Return Realty Fund	54,464	$651	0.4%	$12.37	—	common stock	19247R103
—	GDL Fund Preferred Series B	12,800	$649	0.4%	$50.23	—	preferred stock	361570302
—	Tekla Healthcare Investors	22,793	$647	0.4%	$28.39	—	common stock	87911J103
—	Bancroft Fund Ltd.	31,090	$614	0.3%	$17.68	—	common stock	059695106
NSC	Norfolk Southern Corp.	5,500	$614	0.3%	$57.67	+43.2%	common stock	655844108
—	Macquarie Global Infrastructure Total Return Fund Inc.	24,634	$609	0.3%	$20.52	—	common stock	55608D101
—	Clough Global Allocation Fund	38,994	$558	0.3%	$15.24	—	common stock	18913Y103
—	Apollo Tactical Income Fund Inc	31,626	$547	0.3%	$18.04	—	common stock	037638103
—	Kayne Anderson Energy Total Return Fund	16,016	$511	0.3%	$27.80	—	common stock	48660P104
—	Nuveen Diviersified Currency Opportunities Fund	46,610	$497	0.3%	$11.21	—	common stock	67090N109
—	Morgan Stanley Emerging Markets Domestic Debt Fund	41,468	$490	0.3%	$14.43	—	common stock	617477104
—	Nuveen Build America Bond Opportunity Fund	23,013	$488	0.3%	$20.33	—	common stock	67074Q102
—	Tahoe Resources Inc.	23,900	$485	0.3%	$14.16	—	common stock	873868103
—	John Hancock Tax-Advantaged Dividend Income Fund	22,173	$457	0.3%	$20.13	—	common stock	41013V100
FDP	Fresh Del Monte Produce Inc.	13,890	$443	0.2%	$21.57	+17.3%	common stock	G36738105
—	Delaware Enhanced Global Dividend & Income Fund	36,300	$436	0.2%	$11.72	—	common stock	246060107
—	Atlantic Tele Network, Inc.	8,000	$431	0.2%	$49.65	—	common stock	049079205
—	Center Coast MLP & Infrastructure Fund	22,001	$430	0.2%	$17.23	—	common stock	151461100
—	Gabelli Equity Trust Preferred Series G	18,615	$423	0.2%	$24.75	—	preferred stock	362397176
—	AllianceBernstein Global High Income Fund, Inc.	30,513	$415	0.2%	$14.05	—	common stock	01879R106
—	LMP Capital and Income Fund, Inc.	24,515	$414	0.2%	$15.70	—	common stock	50208A102
—	Teekay LNG Partners LP	9,361	$408	0.2%	$43.65	—	common stock	Y8564M105
—	Western Asset/Claymore Inflation-Linked Opportunities & Income Fund	35,075	$407	0.2%	$11.84	—	common stock	95766R104
—	Cushing Renaissance Fund	14,677	$402	0.2%	$25.52	—	common stock	231647108
EVTC	Evertec Inc.	17,643	$394	0.2%	$20.78	-2.0%	common stock	30040P103
—	Putnam Master Intermediate Income Trust	76,628	$385	0.2%	$4.97	—	common stock	746909100
—	Western Asset High Yield Defined Opportunity Fund Inc.	22,669	$377	0.2%	$17.75	—	common stock	95768B107
—	Royce Focus Trust, Inc.	44,434	$350	0.2%	$7.11	—	common stock	78080N108
—	Thai Fund, Inc.	28,227	$347	0.2%	$18.23	—	common stock	882904105
—	Templeton Dragon Fund, Inc.	13,170	$340	0.2%	$25.08	—	common stock	88018T101
—	Aberdeen Singapore Fund, Inc.	26,535	$330	0.2%	$13.10	—	common stock	003244100
—	ClearBridge Energy MLP Fund Inc.	11,307	$315	0.2%	$27.86	—	common stock	184692101
—	Eaton Vance Tax-Advantaged Dividend Income Fund	15,207	$307	0.2%	$19.00	—	common stock	27828G107
—	NexPoint Credit Strategies Fund	27,500	$292	0.2%	$9.54	—	common stock	65340G106
—	Taiwan Fund, Inc.	14,834	$280	0.2%	$18.72	—	common stock	874036106
—	Source Capital Corp.	4,292	$279	0.2%	$66.98	—	common stock	836144105
—	Royce Micro-Cap Trust, Inc.	22,228	$262	0.1%	$10.94	—	common stock	780915104
—	Zweig Fund, Inc.	17,272	$262	0.1%	$12.80	—	common stock	989834205
—	TCW Strategic Income Fund, Inc.	46,230	$260	0.1%	$5.40	—	common stock	872340104
—	Morgan Stanley Asia Pacific Fund	15,600	$255	0.1%	$15.72	—	common stock	61744U106
MLM	Martin Marietta Materials Inc.	1,900	$245	0.1%	$93.00	+26.5%	common stock	573284106
—	Mexico Equity and Income Fund, Inc.	14,786	$244	0.1%	$15.41	—	common stock	592834105
VMC	Vulcan Materials Company	4,000	$241	0.1%	$46.69	+23.3%	common stock	929160109
—	Blackstone/GSO Strategic Credit Fund	14,001	$235	0.1%	$17.78	—	common stock	09257R101
—	Aberdeen Indonesia Fund, Inc.	23,835	$227	0.1%	$11.62	—	common stock	00305P106
—	Blackrock MuniYield Michigan Quality Fund II	17,550	$220	0.1%	$12.70	—	common stock	09254W103
—	MFS Intermarket Income Trust I	26,056	$218	0.1%	$8.13	—	common stock	59318R103
—	Cohen & Steers REIT & Preferred Income Fund Inc.	12,100	$211	0.1%	$17.13	—	common stock	19247X100
—	Avianca Holdings S.A.	15,000	$206	0.1%	$14.49	—	common stock	05367G100
EQS	Equus Total Return, Inc.	92,292	$204	0.1%	$2.08	+13.3%	common stock	294766100
—	Cohen & Steers MLP Income and Energy Opportunity Fund	9,496	$201	0.1%	$19.16	—	common stock	19249B106
—	Morgan Stanley Emerging Market Debt Fund, Inc.	19,899	$193	0.1%	$10.17	—	common stock	61744H105
WU	The Western Union Company	12,000	$192	0.1%	$17.25	—	common stock	959802109
—	BlackRock Resources & Commodities Strategy Trust	16,756	$186	0.1%	$11.52	—	common stock	09257A108
—	Morgan Stanley Income Securities Inc.	10,425	$186	0.1%	$16.98	—	common stock	61745P874
—	Nuveen Build America Bond Fund	9,037	$184	0.1%	$19.38	—	common stock	67074C103
BPOP	Popular, Inc.	6,000	$177	0.1%	$21.82	+10.2%	common stock	733174700
—	Guggenheim Build America Bonds Managed Duration Trust	8,258	$176	0.1%	$21.52	—	common stock	401664107
—	JPMorgan China Region Fund, Inc.	11,067	$168	0.1%	$15.16	—	common stock	48126T104
—	Eaton Vance Floating-Rate Income Plus Fund	9,331	$161	0.1%	$18.11	—	common stock	278284104
—	RENN Global Entrepreneurs Fund, Inc.	106,588	$160	0.1%	$1.51	—	common stock	759720105
—	Nuveen Flexible Investment Income Fund	9,001	$158	0.1%	$16.81	—	common stock	67075B104
—	Nuveen Premium Income Municipal Fund 2	11,432	$157	0.1%	$13.12	—	common stock	67063W102
—	Nuveen Intermediate Duration Municipal Term Fund	12,520	$156	0.1%	$11.83	—	common stock	670671106
—	Nuveen California Dividend Advantage Municipal Fund 3	12,150	$155	0.1%	$12.41	—	common stock	67070Y109
—	Avenue Income Credit Strategies Fund	9,185	$154	0.1%	$17.38	—	common stock	05358E106
—	Goldman Sachs MLP Income Opportunities Fund	7,001	$152	0.1%	$20.80	—	common stock	38147W103
—	European Equity Fund, Inc.	18,296	$150	0.1%	$7.23	—	common stock	298768102
—	Seacor Holdings, Inc.	2,000	$150	0.1%	$83.00	—	common stock	811904101
—	Gabelli Dividend & Income Trust	7,000	$149	0.1%	$19.29	—	common stock	36242H104
—	Royce Global Value Trust, Inc.	16,927	$147	0.1%	$8.91	—	common stock	78081T104
—	Foxby Corp.	76,580	$146	0.1%	$1.64	—	common stock	351645106
—	Flaherty & Crumrine Dynamic Preferred & Income Fund	6,431	$145	0.1%	$20.87	—	common stock	33848W106
—	Eaton Vance California Municipal Income Trust	11,415	$141	0.1%	$11.48	—	common stock	27826F101
—	Eaton Vance Michigan Municipal Income Trust	10,955	$136	0.1%	$11.61	—	common stock	27826D106
—	New Ireland Fund, Inc.	10,532	$133	0.1%	$11.09	—	common stock	645673104
—	Morgan Stanley India Investment Fund	5,231	$130	0.1%	$15.45	—	common stock	61745C105
—	Brookfield Total Return Fund Inc.	5,200	$130	0.1%	$23.75	—	common stock	11283U108
—	Alliance California Municipal Income Fund	9,012	$122	0.1%	$12.72	—	common stock	018546101
—	ASA Gold and Precious Metals Limited	10,307	$121	0.1%	$12.55	—	common stock	G3156P103
ULTRF	Ultrapetrol (Bahamas) Ltd.	36,000	$112	0.1%	$2.88	+15.2%	common stock	P94398107
—	Invesco California Value Municipal Income Trust	9,000	$110	0.1%	$11.77	—	common stock	46132H106
—	GDL Fund	9,961	$105	0.1%	$11.40	—	common stock	361570104
XXCHNXX	China Fund, Inc.	5,000	$104	0.1%	$20.00	—	common stock	169373107
—	Dreyfus Municipal Bond Infrastructure Fund, Inc.	8,801	$104	0.1%	$11.74	—	common stock	26203D101
—	Central Europe Russia and Turkey Fund	4,122	$102	0.1%	$29.83	—	common stock	153436100
XBTAX	BlackRock Long-Term Municipal Advantage Trust	9,000	$101	0.1%	$11.22	—	common stock	09250B103
—	BlackRock Utility & Infrastructure Trust	5,000	$99	0.1%	$17.80	—	common stock	09248D104
—	Central Fund of Canada Limited (USA)	8,000	$98	0.1%	$13.63	—	common stock	153501101
—	Western Asset/Claymore Inflation-Linked Securities & Income Fund	8,471	$98	0.1%	$11.99	—	common stock	95766Q106
—	Nuveen Select Quality Municipal Fund	7,200	$98	0.1%	$13.60	—	common stock	670973106
—	MFS California Municipal Fund	8,864	$96	0.1%	$10.69	—	common stock	59318C106
—	Nuveen New Jersey Dividend Advantage Municipal Fund 2	7,000	$92	0.1%	$12.46	—	common stock	67071T109
—	Nuveen AMT-Free Municipal Income Fund	6,500	$88	0.0%	$12.90	—	common stock	670657105
PSMT	PriceSmart Inc.	1,000	$86	0.0%	$74.69	+1.7%	common stock	741511109
—	Brookfield Mortgage Opportunity Income Fund	5,001	$85	0.0%	$16.60	—	common stock	112792106
—	Nuveen Equity Premium and Growth Fund	6,001	$84	0.0%	$13.83	—	common stock	6706EW100
—	Cornerstone Progressive Return Fund	19,662	$81	0.0%	$4.12	—	common stock	21925C101
—	Eaton Vance Limited Duration Income Fund	5,440	$79	0.0%	$15.26	—	common stock	27828H105
—	Fort Dearborn Income Securities, Inc	5,400	$78	0.0%	$13.89	—	common stock	347200107
—	Invesco Municipal Opportunity Trust	6,050	$76	0.0%	$11.76	—	common stock	46132C107
—	Blackrock MuniYield Michigan Quality Fund	5,600	$75	0.0%	$13.62	—	common stock	09254V105
—	Legg Mason BW Global Income Opportunities Fund	4,206	$71	0.0%	$17.74	—	common stock	52469B100
—	Era Group Inc.	3,215	$70	0.0%	$26.40	—	common stock	26885G109
—	Nuveen Dividend Advantage Municipal Fund 2	5,000	$70	0.0%	$14.00	—	common stock	67070F100
—	Neuberger Berman MLP Income Fund	3,201	$69	0.0%	$18.00	—	common stock	64129H104
—	Aberdeen Emerging Markets Smaller Company Opportunities Fund, Inc.	4,964	$69	0.0%	$17.89	—	common stock	00301T102
—	Ares Multi-Strategy Credit Fund	3,316	$69	0.0%	$21.24	—	common stock	04014Q108
—	Delaware Investments Dividend & Income Fund, Inc.	6,767	$67	0.0%	$8.96	—	common stock	245915103
FDX	FedEx Corporation	400	$65	0.0%	$118.51	+8.9%	common stock	31428X106
—	Nuveen Quality Income Municipal Fund, Inc.	4,725	$65	0.0%	$13.50	—	common stock	670977107
—	Market Vectors Gold Miners ETF	3,000	$64	0.0%	$24.33	—	common stock	57060U100
—	Asia Pacific Fund	5,150	$58	0.0%	$10.17	—	common stock	044901106
—	BlackRock Municipal Income Investment Quality Trust	4,000	$57	0.0%	$13.56	—	common stock	09250G102
XJPIX	Nuveen Preferred & Income Term Fund	2,300	$53	0.0%	$24.33	—	common stock	67075A106
—	PIMCO Income Strategy Fund II	5,000	$53	0.0%	$10.60	—	common stock	72201J104
—	Nuveen Quality Municipal Fund, Inc.	4,000	$52	0.0%	$12.51	—	common stock	67062N103
—	KKR Income Opportunities Fund	3,001	$52	0.0%	$18.66	—	common stock	48249T106
—	Duff & Phelps Global Utility Income Fund, Inc.	2,410	$51	0.0%	$18.67	—	common stock	26433C105
—	Nuveen CT Premium Income Municipal Fund	4,078	$51	0.0%	$13.14	—	common stock	67060D107
—	BlackRock Enhanced Equity Dividend Trust	6,127	$50	0.0%	$7.72	—	common stock	09251A104
—	John Hancock Premium Dividend Fund	3,691	$49	0.0%	$13.23	—	common stock	41013T105
—	Turkish Investment Fund, Inc.	4,630	$48	0.0%	$15.87	—	common stock	900145103
—	Karyopharm Therapeutics Inc.	1,368	$48	0.0%	$35.09	—	common stock	48576U106
—	Aberdeen Israel Fund, Inc.	2,750	$48	0.0%	$14.55	—	common stock	00301L109
INCY	Incyte Corporation	955	$47	0.0%	$50.13	0.0%	common stock	45337C102
TIP	iShares TIPS Bond	420	$47	0.0%	$112.00	—	common stock	464287176
—	BlackRock Energy & Resources Trust	1,935	$46	0.0%	$24.92	—	common stock	09250U101
SBSAA	Spanish Broadcasting System Inc.	10,030	$43	0.0%	$3.90	+27.9%	common stock	846425833
—	Tekla Life Sciences Investors	1,925	$43	0.0%	$22.34	—	common stock	87911K100
—	Deutsche Multi-Market Income Trust	4,751	$42	0.0%	$9.47	—	common stock	25160E102
—	BlackRock Multi-Sector Income Trust	2,301	$41	0.0%	$17.82	—	common stock	09258A107
—	Swiss Helvetia Fund Inc.	2,573	$35	0.0%	$13.10	—	common stock	870875101
—	Morgan Stanley Emerging Markets Fund, Inc.	2,264	$35	0.0%	$14.13	—	common stock	61744G107
—	Gabelli Global Utility & Income Trust	1,763	$34	0.0%	$19.70	—	common stock	36242L105
—	MVC Capital, Inc.	2,618	$28	0.0%	$12.66	—	common stock	553829102
—	Nuveen Preferred Income Opportunities Fund	3,000	$28	0.0%	$9.33	—	common stock	67073B106
—	Morgan Stanley Eastern Europe Fund Inc.	1,615	$25	0.0%	$16.10	—	common stock	616988101
—	Deutsche Strategic Income Trust	2,000	$24	0.0%	$13.00	—	common stock	25160F109
—	Nasdaq Premium Income & Growth Fund	1,228	$24	0.0%	$16.21	—	common stock	63110R105
—	Nuveen Core Equity Alpha Fund	1,356	$23	0.0%	$14.95	—	common stock	67090X107
—	Neuberger Berman High Yield Strategies Fund	1,743	$23	0.0%	$12.62	—	common stock	64128C106
—	Tri-Continental Corp., $2.50 Cumulative Preferred Stock	500	$23	0.0%	$50.00	—	preferred stock	895436202
—	Gabelli Equity Trust Preferred Series D	848	$21	0.0%	$25.14	—	preferred stock	362397705
—	Gabelli Equity Trust, Inc.	3,210	$20	0.0%	$6.65	—	common stock	362397101
XXHYBXX	New America High Income Fund, Inc.	2,000	$19	0.0%	$10.00	—	common stock	641876800
VGT	Vanguard Information Technology ETF	186	$19	0.0%	$96.77	—	common stock	92204A702
VIS	Vanguard Industrials ETF	166	$17	0.0%	$102.41	—	common stock	92204A603
—	Liberty All-Star Growth Fund, Inc.	3,188	$16	0.0%	$4.73	—	common stock	529900102
—	Deutsche Global High Income Fund	1,802	$15	0.0%	$8.32	—	common stock	25158V108
XLY	Consumer Discret Select Sector SPDR ETF	225	$15	0.0%	$66.67	—	common stock	81369Y407
ESRT	Empire State Realty Trust, Inc.	1,000	$15	0.0%	$15.00	—	common stock	292104106
VDE	Vanguard Energy ETF	109	$14	0.0%	$146.79	—	common stock	92204A306
—	First Trust Energy Infrastructure Fund	588	$13	0.0%	$22.11	—	common stock	33738C103
XLV	Health Care Select Sector SPDR ETF	211	$13	0.0%	$61.61	—	common stock	81369Y209
—	Nuveen Global Equity Income Fund	1,000	$13	0.0%	$15.00	—	common stock	6706EH103
—	Nuveen Intermediate Duration Quality Municipal Fund	950	$12	0.0%	$11.83	—	common stock	670677103
—	Cornerstone Strategic Value Fund Inc.	2,066	$12	0.0%	$7.07	—	common stock	21924B203
—	Tortoise Energy Infrastructure, 3.75% Preferred Series B	1,300	$12	0.0%	$9.09	—	preferred stock	89147L704
EZU	iShares MSCI EMU Index	322	$12	0.0%	$43.48	—	common stock	464286608
—	Nuveen Premier Municipal Income Fund, Inc.	800	$11	0.0%	$12.50	—	common stock	670988104
XEVMX	Eaton Vance California Municipal Bond Fund	1,000	$11	0.0%	$11.12	—	common stock	27828A100
—	Latin American Discovery Fund Inc.	800	$10	0.0%	$13.75	—	common stock	51828C106
IBB	iShares Nasdaq Biotechnology	36	$10	0.0%	$250.00	—	common stock	464287556
—	Transamerica Income Shares Inc.	429	$9	0.0%	$20.60	—	common stock	893506105
—	Nuveen Floating Rate Income Fund	800	$9	0.0%	$12.50	—	common stock	67072T108
—	Putnam Municipal Opportunities Trust	800	$9	0.0%	$11.52	—	common stock	746922103
DXJ	WisdomTree Japan Hedged Equity	143	$7	0.0%	$48.95	—	common stock	97717W851
XLF	Financial Select Sector SPDR ETF	302	$7	0.0%	$23.18	—	common stock	81369Y605
—	Gabelli Global Small and Mid-Cap Value Fund	700	$7	0.0%	$11.43	—	common stock	36249W104
—	Invesco Quality Municipal Income Trust	600	$7	0.0%	$11.67	—	common stock	46133G107
SKYY	First Trust ISE Cloud Computing Index	209	$6	0.0%	$28.71	—	common stock	33734X192
FDN	First Trust Dow Jones Internet Index	97	$6	0.0%	$61.86	—	common stock	33733E302
—	Rand Capital Corp.	2,000	$6	0.0%	$3.00	—	common stock	752185108
—	Eaton Vance New Jersey Municipal Bond Fund	500	$6	0.0%	$12.00	—	common stock	27828R103
IEMG	iShares Core MSCI Emerging Market	116	$6	0.0%	$51.72	—	common stock	46434G103
—	iShares MSCI United Kingdom	282	$5	0.0%	$17.73	—	common stock	46434V548
VDC	Vanguard Consumer Staples ETF	40	$5	0.0%	$125.00	—	common stock	92204A207
MBB	iShares MBS	38	$4	0.0%	$105.26	—	common stock	464288588
BSV	Vanguard Short-Term Bond ETF	48	$4	0.0%	$83.33	—	common stock	921937827
VOX	Vanguard Telecommunication Services ETF	39	$3	0.0%	$76.92	—	common stock	92204A884
BIV	Vanguard Intermediate-Term Bond ETF	37	$3	0.0%	$81.08	—	common stock	921937819
EWL	iShares MSCI Switzerland Capped Index	99	$3	0.0%	$30.30	—	common stock	464286749
—	Wells Fargo Advantage Multi-Sector Income Fund	234	$3	0.0%	$13.95	—	common stock	94987D101
VAW	Vanguard Materials ETF	31	$3	0.0%	$96.77	—	common stock	92204A801
—	Eaton Vance Municipal Income Term Trust	151	$3	0.0%	$14.44	—	common stock	27829U105
—	Nuveen Tax - Advantaged Dividend Growth Fund	150	$2	0.0%	$13.33	—	common stock	67073G105
—	EGShares Emerging Markets Consumer	72	$2	0.0%	$27.78	—	common stock	268461779
—	Eaton Vance National Municipal Opportunities Trust	101	$2	0.0%	$19.80	—	common stock	27829L105
—	SPDR Barclays High Yield Bond	42	$2	0.0%	$47.62	—	common stock	78464A417
—	BlackRock Dividend Income Trust	150	$2	0.0%	$12.45	—	common stock	09250D109
—	Federated Premier Intermediate Municipal Income Fund	150	$2	0.0%	$13.33	—	common stock	31423M105
—	Aberdeen Latin America Equity Fund, Inc.	88	$2	0.0%	$34.09	—	common stock	00306K106
—	Alliance New York Municipal Income Fund, Inc.	150	$2	0.0%	$13.33	—	common stock	018714105
EPP	iShares MSCI Pacific ex-Japan	51	$2	0.0%	$58.82	—	common stock	464286665
—	MFS Investment Grade Municipal Trust	250	$2	0.0%	$9.44	—	common stock	59318B108
EWC	iShares MSCI Canada	81	$2	0.0%	$37.04	—	common stock	464286509
LQD	iShares iBoxx $ Investment Grade Corporate Bond	20	$2	0.0%	$100.00	—	common stock	464287242
—	Market Vectors EM Local Currency Bond ETF	33	$1	0.0%	$30.30	—	common stock	57060U522
EWD	iShares MSCI Sweden	33	$1	0.0%	$30.30	—	common stock	464286756
—	Tim Hortons, Inc.	13	$1	0.0%	$76.92	—	common stock	88706M103
IEI	iShares 3-7 Year Treasury Bond	6	$1	0.0%	$166.67	—	common stock	464288661
—	PowerShares Emerging Markets Soverign Debt ETF	27	$1	0.0%	$37.04	—	common stock	73936T573