-----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, CKsAgnDr3DMSOed9v63zyOoNKAswoRf5fsBn3f8YgnXNSE6ukrFzaLlWHH2fH6Zw aqVk8Vto9jIkLEf5iOkZBA== 0001051042-10-000028.txt : 20101102 0001051042-10-000028.hdr.sgml : 20101102 20101102104235 ACCESSION NUMBER: 0001051042-10-000028 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101102 DATE AS OF CHANGE: 20101102 EFFECTIVENESS DATE: 20101102 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: 101156845 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 fimg13f093010.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: September 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, November 2, 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: 87 FORM 13F INFORMATION TABLE VALUE TOTAL: $215,118,934.70 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 1015411001324118.9 87574SH SHARED 01 87574 CALAMOS STRGC TOT RET FD COM SH BEN INT 1281251011891740.1 214483SH SHARED 01 214483 CITIGROUP INC COM 172967101 108502.5 27750SH SHARED 01 27750 COLGATE-PALMOLIVE CO COM 194162103938537.46 12211SH SHARED 01 12211 D C A TOTAL RETURN FUND COM 2330661093229818.51058957SH SHARED 01 1058957 DU PONT E I DE NEMOUR&CO COM 2635341094075019.7 91327SH SHARED 01 91327 FASTENAL CO COM 3119001042675764.750305.8SH SHARED 01 50305.78 FRANKLIN UNIV TR S B I SH BEN SH BEN INT 355145103 1007503 154525SH SHARED 01 154525 GENERAL ELECTRIC COMPANY COM 3696041033793853.3 233468SH SHARED 01 233467.9 HARTFORD INCOME SHARES FUND COM 416537108 174032 29200SH SHARED 01 29200 INTEL CORP COM 458140100953308.6549651.5SH SHARED 01 49651.49 ISHARES TR BARCLAYS TIPS BOND BARCLYS TIPS BD 4642871768259659.1 75735SH SHARED 01 75735 JAPAN EQUITY FUND INC COM 471057109 436641.1 80710SH SHARED 01 80710 JOHNSON & JOHNSON COM 4781601043067508.649507.9SH SHARED 01 49507.89 LAZARD WORLD DIV & INCM COM 5210761093253313.8 253373SH SHARED 01 253373 LILLY ELI & COMPANY COM 5324571082329043.2 63757SH SHARED 01 63757 MFS MULTI MKT INC TRUST SH BEN SH BEN INT 552737108 924984 132900SH SHARED 01 132900 MADISON CLAYMORE CVRD FD COM 556582104595318.85 66965SH SHARED 01 66965 MONTGOMERY ST INCOME SEC COM 614115103922122.44 56468SH SHARED 01 56468 NIPPON TELE & TEL ADR F SPONSO SPONSORED ADR 654624105 209774.4 9570SH SHARED 01 9570 PETROLEUM & RESOURCES CP COM 7165491002859867.7 123536SH SHARED 01 123536.4 PFIZER INCORPORATED COM 7170811034421927.5 257538SH SHARED 01 257538 PROCTER & GAMBLE COM 742718109808755.42 13486SH SHARED 01 13486 ROYAL DUTCH SHELL B ADRF SPONS SPON ADR B 7802591074215889.7 71711SH SHARED 01 71711 ROYAL GOLD INC COM 7802871087947336.9 159457SH SHARED 01 159457 ROYCE MICRO-CAP TRUST COM 780915104 272496.5 32950SH SHARED 01 32950 STRATEGIC GLOBAL INCM FD COM 8627191013890384.4 330815SH SHARED 01 330815 TREE.COM INC COM 894675107661802.22 101193SH SHARED 01 101193 U S GLOBAL INVESTORS A CLASS A CL A 9029521004674461.6 739630SH SHARED 01 739630 UNITED ONLINE INC COM 9112681003592737.7 628101SH SHARED 01 628101 UNITED PARCEL SERVICE B CLASS CL B 911312106555327.63 8327SH SHARED 01 8327 WESTRN ASSET WRLDWD INCM COM 957668106 1472427 105930SH SHARED 01 105930 ZWEIG FUND INC COM 989834106456407.25 140433SH SHARED 01 140433 A T & T INC NEW COM 00206r1024429796.8 154888SH SHARED 01 154888 APACHE CORP COM 037411105240880.64 2464SH SHARED 01 2464 BANK OF AMERICA CORP COM 060505104287979.84 21979SH SHARED 01 21979 BARRICK GOLD CORP F COM 0679011085665201.7 122385SH SHARED 01 122385 BECKMAN COULTER INC COM 0758111091922813.9 39410SH SHARED 01 39410 BECKMAN COULTER 2.5% 12/36 Note 2.500% 12/1 075811AD1 1009242 988000SH SHARED 01 988000 BERKSHIRE HATHAWAY B NEW CLASS CL B NEW 084670702 10584528 128018SH SHARED 01 128018 BLACKROCK INCOME TR INC COM 09247f100 127631811828536SH SHARED 01 1828536 BLKROCK CREDIT ALLOC INCOME T COM 0925081004779444.2 364009SH SHARED 01 364009 BLACKROCK S&P QUAL RANK SHS BEN INT 09250d109 313321.8 24555SH SHARED 01 24555 BLACKROCK CREDIT ALLOCATION FU COM 09255H1052194915.9 209839SH SHARED 01 209839 CALAMOS GLOBAL INCOME FD COM 12811l107455588.35 56315SH SHARED 01 56315 COHEN & STEERS INFRASTRUCTURE COM 19248a109 13154999 826319SH SHARED 01 826319 COHEN & STEERS DIV MAJOR COM 19248g106 1861608 164453SH SHARED 01 164453 CRYSTALLEX INT'L CORP COM 22942f101 8728.5 23000SH SHARED 01 23000 DWS DREMAN VAL INCM NEW COM NEW 23339m2048519157.2 635758SH SHARED 01 635758 DENALI FUND INC COM 24823a102 385132.4 25205SH SHARED 01 25205 DUKE ENERGY CORP NEW COM 26441c1051968200.9 111135SH SHARED 01 111135 ENI S P A SPON ADR F SPONSORED SPONSORED ADR 26874r1083768577.7 87276SH SHARED 01 87276 EATON VANCE SHT DUR INCM COM 27828v1043559914.6 203540SH SHARED 01 203540 ENERPLUS RES FD NEW F TRUST UN UNIT TR G NEW 29274d604 3760015 146020SH SHARED 01 146020 EXXON MOBIL CORPORATION COM 30231G102298380.764828.95SH SHARED 01 4828.95 FIRST FED N MICHIGAN BA COM 32021x105 656289.6 273454SH SHARED 01 273454 GABELLI DIV AND INC TR COM 36242h104 252926.4 18170SH SHARED 01 18170 GAIAM INC CL A 36268q1032468777.3 369025SH SHARED 01 369025 HANCOCK JOHN TAX ADVN FD TAX A COM 41013v100208543.75 13675SH SHARED 01 13675 Hologic Inc FRNT 2.000% 12/1 436440AA92323108.92497000SH SHARED 01 2497000 Intel Corp SDCV 2.950% 12/1 458140AD21189574.41200000SH SHARED 01 1200000 JAPAN SMALLER CAP FUND COM 47109u104157131.25 19375SH SHARED 01 19375 KINROSS GOLD CP 1.75%28F CVT B NOTE 1.750% 3/1 496902AD92905683.32857000SH SHARED 01 2857000 MACQUARIE FIRST TR GLOBL COM 55607w1003135705.3 236657SH SHARED 01 236657 MARKET LEADER INC COM 57056r1032812926.71308338SH SHARED 01 1308338 MERCK & CO INC NEW COM 58933y105 3628104 98563SH SHARED 01 98563 MFS INTERMARKET INCM TR SH BEN INT 59318r103 218145.2 25816SH SHARED 01 25816 MRGN STNLY ASIA PAC FUND COM 61744u106 753938.9 47930SH SHARED 01 47930 NFJ DIVIDEND INTEREST FD COM SHS 65337h1092401697.9 152392SH SHARED 01 152392 NUVEEN MULTI STRAT INCM COM 67073b1065947227.3 709693SH SHARED 01 709693 NUVEEN MULTI STRAT INCM COM SHS 67073d1024603829.6 521385SH SHARED 01 521385 NUVEEN MICH PREM INCOME MUNI F COM 67101Q109 781290.5 55450SH SHARED 01 55450 PIMCO EXCH TRADED FUND 1-3 YR 1-3YR USTREIDX 72201r106 1489009 29210SH SHARED 01 29210 RMR REAL ESTATE INCOMEFD COM S COM SHS 74964k609 171121.6 11258SH SHARED 01 11258 RMR REAL EST INC FD NEW COM SHS 74964k6092027537.1 112412SH SHARED 01 112412 RMR ASIS PACIFIC REAL EST FUND COM 76970b101 364400 20000SH SHARED 01 20000 S K TELECOM LTD ADR F SPONSORE SPONSORED ADR 78440p1082376356.8 136025SH SHARED 01 136025 SPDR NUVEEN BARCLAYS CAP SHORT NUVN BR SHT MUNI 78464a425 793440 32625SH SHARED 01 32625 SANOFI AVENTIS ADR F SPONSORED SPONSORED ADR 80105n1054064147.5 122230SH SHARED 01 122230 SMART BALANCE INC COM 83169y108 266459 68675SH SHARED 01 68675 TEMPLETON DRAGON FUND INC COM 88018t101201589.43 6973SH SHARED 01 6973 TOFUTTI BRANDS INC COM 88906b105 551862 222525SH SHARED 01 222525 VIASYSTEMS GROUP, INC. NEW COM PAR$.01 92553h8034868466.3 196230SH SHARED 01 196230 VODAFONE GROUP NEW ADR F SPONS SPONS ADR NEW 92857w2092226928.196949.4SH SHARED 01 96949.42 WESTERN ASSET CLAYMORE COM 95766r104 762374.2 60410SH SHARED 01 60410 WESTRN ASSET INFLTN MGMT COM 95766u107408488.75 23883SH SHARED 01 23883 XCEL ENERGY INC COM 98389b1002169861.1 94465SH SHARED 01 94465
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