-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, IB/8ZUwWaMq4D9HX2/zS3kaRLohgbV+vdkxqRbQa9dkMRlKXfY3x8F4YC7fHDI6N Kb/paJuNZb5G3z+kf1FP5g== 0001051042-10-000025.txt : 20100722 0001051042-10-000025.hdr.sgml : 20100722 20100722165022 ACCESSION NUMBER: 0001051042-10-000025 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100630 FILED AS OF DATE: 20100722 DATE AS OF CHANGE: 20100722 EFFECTIVENESS DATE: 20100722 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD CENTRAL INDEX KEY: 0001051042 IRS NUMBER: 382562340 STATE OF INCORPORATION: MI FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06648 FILM NUMBER: 10965236 BUSINESS ADDRESS: STREET 1: 111 CASS STREET CITY: TRAVERSE CITY STATE: MI ZIP: 49684 BUSINESS PHONE: 2319294500 MAIL ADDRESS: STREET 1: 111 CASS STREET CITY: TRAVERSE CITY STATE: MI ZIP: 49684 13F-HR 1 fimg13f063010.txt FINANCIAL & INVESTMENT MANAGEMENT GROUP UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calender Year or Quarter End: June 30, 2010 Check here if Amendment { }; Amendment Number: This Amendment (Check only one): { } is a restatement { } adds new holding entries Institutional Investment Manager Filing this Report Name: Financial & Investment Management Group, Ltd. Address: 111 Cass St Traverse City, MI 49684 13F File Number: 28-6648 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct, and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form Person Signing this Report on Behalf of Reporting Manager: Name: Matthew Bohrer Title: Chief Compliance Officer Phone: 231-929-4500 Signature, Place, and Date of Signing: Matthew Bohrer, Traverse City, MI, 49684, July 22, 2010 Report Type ( Check only one): [x] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT List of Other Managers Reporting for this Manager: None I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934 FORM 13F SUMMARY PAGE REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 FORM 13F INFORMATION TABLE ENTRY TOTAL: 86 FORM 13F INFORMATION TABLE VALUE TOTAL: $189,602,765.80 LIST OF OTHER MANAGERS REPORTING FOR THIS REPORT: NONE FORM 13F INFORMATION TABLE NAME OF ISSUER TITLE OF SH/P VOTING AUTHORITY CLASS CUSIP VALUE AMOUNT S/P/CINV DIS MANAGER SOLE SHARED BOULDER TOTAL RETURN FD COM 1015411001112760.5 82549SH SHARED 01 82549 CALAMOS STRGC TOT RET FD COM SH BEN INT 1281251011622451.6 210708SH SHARED 01 210708 CITIGROUP INC COM 172967101 104716 27850SH SHARED 01 27850 COLGATE-PALMOLIVE CO COM 194162103961738.36 12211SH SHARED 01 12211 D C A TOTAL RETURN FUND COM 233066109 845500 338200SH SHARED 01 338200 DU PONT E I DE NEMOUR&CO COM 2635341093210891.2 92827SH SHARED 01 92827 FASTENAL CO COM 3119001042556665.650939.7SH SHARED 01 50939.74 FRANKLIN UNIV TR S B I SH BEN SH BEN INT 355145103 924810 159450SH SHARED 01 159450 GENERAL ELECTRIC COMPANY COM 3696041033430749.1 237916SH SHARED 01 237916 HARTFORD INCOME SHARES FUND COM 416537108 170820 29200SH SHARED 01 29200 ISHARES TR BARCLAYS TIPS BOND BARCLYS TIPS BD 4642871768314390.7 77770SH SHARED 01 77770 ISHARES TR BARCLAYS BOND BARCL BARCLYS 20+ YR 464287432 416157.5 4090SH SHARED 01 4090 JAPAN EQUITY FUND INC COM 471057109 427028 84560SH SHARED 01 84560 LAZARD WORLD DIV & INCM COM 5210761092611667.2 258578SH SHARED 01 258578 LILLY ELI & COMPANY COM 5324571081034044.5 30867SH SHARED 01 30867 MFS MULTI MKT INC TRUST SH BEN SH BEN INT 5527371081294869.5 197690SH SHARED 01 197690 MADISON CLAYMORE CVRD FD COM 556582104 531095.3 67915SH SHARED 01 67915 MONTGOMERY ST INCOME SEC COM 614115103895004.67 57043SH SHARED 01 57043 OTTER TAIL CORPORATION COM 6896481032353040.9 121730SH SHARED 01 121730 PETROLEUM & RESOURCES CP COM 7165491002268180.6 113579SH SHARED 01 113579.4 PFIZER INCORPORATED COM 7170811033549855.9 248938SH SHARED 01 248938 PROCTER & GAMBLE COM 742718109802892.28 13386SH SHARED 01 13386 ROYAL DUTCH SHELL B ADRF SPONS SPON ADR B 7802591073392490.8 70267SH SHARED 01 70267 ROYAL GOLD INC COM 780287108 7811904 162748SH SHARED 01 162748 ROYCE MICRO-CAP TRUST COM 780915104245258.76 33414SH SHARED 01 33414 STRATEGIC GLOBAL INCM FD COM 8627191013592642.4 336705SH SHARED 01 336705 TREE.COM INC COM 894675107666878.14 105502SH SHARED 01 105502 U S GLOBAL INVESTORS A CLASS A CL A 9029521003722290.7 670683SH SHARED 01 670683 UNITED ONLINE INC COM 9112681002745365.8 476626SH SHARED 01 476626 UNITED PARCEL SERVICE B CLASS CL B 911312106479412.03 8427SH SHARED 01 8427 WESTRN ASSET WRLDWD INCM COM 9576681061386058.8 110355SH SHARED 01 110355 ZWEIG FUND INC COM 989834106 430741.5 143580SH SHARED 01 143580 A T & T INC NEW COM 00206r1023763093.2 155564SH SHARED 01 155564 APACHE CORP COM 037411105207444.16 2464SH SHARED 01 2464 BANK OF AMERICA CORP COM 060505104317316.5222081.9SH SHARED 01 22081.87 BARRICK GOLD CORP F COM 0679011085598371.9 123285SH SHARED 01 123285 BERKSHIRE HATHAWAY B NEW CLASS CL B NEW 084670702 10474055 131435SH SHARED 01 131435 BLACKROCK INCOME TR INC COM 09247f1008807272.81302851SH SHARED 01 1302851 BLKROCK CR ALLO INCOME TRUST I COM 092508100 589628 49300SH SHARED 01 49300 BLACKROCK S&P QUAL RANK SHS BEN INT 09250d109 272181 24925SH SHARED 01 24925 PREFERRED INCOME STRAT FUND COM 09255H1051026879.6 104146SH SHARED 01 104146 CALAMOS GLOBAL INCOME FD COM 12811l107344017.55 50815SH SHARED 01 50815 CHARTWELL DIV & INC FD COM 16139p104 497171.7 133290SH SHARED 01 133290 CLAYMORE DIVIDEND INCOME FUND COM 18385j105 220542.4 18440SH SHARED 01 18440 COHEN & STEERS INFRASTRUCTURE COM 19248a1098094600.1 639889SH SHARED 01 639889 COHEN & STEERS DIV MAJOR COM 19248g1061718275.1 173388SH SHARED 01 173388 DWS DREMAN VAL INCM NEW COM NEW 23339m2046865549.3 560453SH SHARED 01 560453 DENALI FUND INC COM 24823a102345424.35 25455SH SHARED 01 25455 DUKE ENERGY CORP NEW COM 26441c105 1708880 106805SH SHARED 01 106805 ENI S P A SPON ADR F SPONSORED SPONSORED ADR 26874r1083169469.8 86716SH SHARED 01 86716 EATON VANCE SHT DUR INCM COM 27828v1043505264.4 209645SH SHARED 01 209645 ENERPLUS RES FD NEW F TRUST UN UNIT TR G NEW 29274d6043086019.9 143070SH SHARED 01 143070 EVERGREEN INTL BAL INCM COM 30024r1094658212.8 369260SH SHARED 01 369260 WELLS FARGO ADV MULTI SECTOR I COM SHS 30024y1043348647.6 228265SH SHARED 01 228265 FIRST FED N MICHIGAN BA COM 32021x105672400.56 275574SH SHARED 01 275574 FRANKLIN TEMPLETON LTD DURATIO COM 35472t101899333.05 73535SH SHARED 01 73535 GABELLI DIV AND INC TR COM 36242h104 219240 18270SH SHARED 01 18270 GAIAM INC CL A 36268q103 1414917 233100SH SHARED 01 233100 HANCOCK JOHN PAT PREM II PREM COM SH BEN INT 41013t105 9132774 895370SH SHARED 01 895370 HANCOCK JOHN TAX ADVN FD TAX A COM 41013v100 182754 14200SH SHARED 01 14200 JAPAN SMALLER CAP FUND COM 47109u104 179101.5 21475SH SHARED 01 21475 KINROSS GOLD CP 1.75%28F CVT B NOTE 1.750% 3/1 496902AD9 28712972910000SH SHARED 01 2910000 MACQUARIE FIRST TR GLOBL COM 55607w1002006699.5 188777SH SHARED 01 188777 MARKET LEADER INC COM 57056r1032551356.91295105SH SHARED 01 1295105 MERCK & CO INC NEW COM 58933y1053473412.899325.5SH SHARED 01 99325.5 MFS INTERMARKET INCM TR SH BEN INT 59318r103208940.37 25891SH SHARED 01 25891 MRGN STNLY ASIA PAC FUND COM 61744u106 616803.6 45420SH SHARED 01 45420 NFJ DIVIDEND INTEREST FD COM SHS 65337h1091087565.1 78752SH SHARED 01 78752 NUVEEN MULTI STRAT INCM COM 67073b1065366883.2 731183SH SHARED 01 731183 NUVEEN MULTI STRAT INCM COM SHS 67073d1024076992.3 524035SH SHARED 01 524035 NUVEEN MICH PREM INCOME MUNI F COM 67101Q109 728169.4 55450SH SHARED 01 55450 PIMCO EXCH TRADED FUND 1-3 YR 1-3YR USTREIDX 72201r1061224947.8 24135SH SHARED 01 24135 RMR REAL EST INC FD NEW COM SHS 74964k6091766973.5 72328SH SHARED 01 72328 RIVERSOURCE LASALLE INTL COM 76932w1022974380.4 426129SH SHARED 01 426129 S K TELECOM LTD ADR F SPONSORE SPONSORED ADR 78440p1081441919.7 97890SH SHARED 01 97890 SPDR NUVEEN BARCLAYS CAP SHORT NUVN BR SHT MUNI 78464a425 738062.5 30625SH SHARED 01 30625 SANOFI AVENTIS ADR F SPONSORED SPONSORED ADR 80105n1053287421.7 109362SH SHARED 01 109362 SECTOR SPDR TR SHS BEN INT UT SBI INT-UTILS 81369y886 1136052 40200SH SHARED 01 40200 SIFY TECH LTD ADR F SPONSORED SPONSORED ADR 82655m107 328951.9 245212SH SHARED 01 245212 SMART BALANCE INC COM 83169y108259408.25 63425SH SHARED 01 63425 TOFUTTI BRANDS INC COM 88906b105 818782.3 248870SH SHARED 01 248870 VIASYSTEMS GROUP, INC. NEW COM PAR$.01 92553h803166280.66 11258SH SHARED 01 11258 VODAFONE GROUP NEW ADR F SPONS SPONS ADR NEW 92857w2094125008.6 199565SH SHARED 01 199565 WESTERN ASSET CLAYMORE COM 95766r104 773806.6 62860SH SHARED 01 62860 WESTRN ASSET INFLTN MGMT COM 95766u107418858.42 25248SH SHARED 01 25248 XCEL ENERGY INC COM 98389b1001922582.193283.9SH SHARED 01 93283.94
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