0001051042-11-000015.txt : 20111028 0001051042-11-000015.hdr.sgml : 20111028 20111028143303 ACCESSION NUMBER: 0001051042-11-000015 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111028 DATE AS OF CHANGE: 20111028 EFFECTIVENESS DATE: 20111028 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: 111164777 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 fimg13f093011.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, 2011 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, October 28, 2011 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: 63 FORM 13F INFORMATION TABLE VALUE TOTAL: $200,456,595.20 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 DISMANAGER SOLE SHARED A T & T INC NEW COM 00206r1023563751.82124956.23SH SHARED 01 124956.23 ALLIANCE BERNSTEIN INC FUND COM 01881E10121839204.72740176.3SH SHARED 01 2740176.3 BANK OF AMERICA CORP COM 060505104 131971.68 21564SH SHARED 01 21564 BARRICK GOLD CORP F COm 0679011086540096.75 140195SH SHARED 01 140195 BERKSHIRE HATHAWAY B NEW CLASS CL B NEW 084670702 737821.44 10386SH SHARED 01 10386 BLACKROCK CREDIT ALLOCATION FU COM 09255H10510550286.5 1129581SH SHARED 01 1129581 BLACKROCK INCOME TR INC COM 09247f10011781695.2 1634077SH SHARED 01 1634077 BLACKROCK LTD DURATION INCOME COM SHS 09249w1011180690.56 74304SH SHARED 01 74304 BLKROCK CREDIT ALLOC INCOME T COM 09250810011156582.1 971828SH SHARED 01 971828 BOULDER TOTAL RETURN FD COM 101541100 1266151.5 93789SH SHARED 01 93789 CALAMOS GLOBAL INCOME FD COM 12811l1073332284.55 470662SH SHARED 01 470662 CALAMOS STRGC TOT RET FD COM SH BEN INT 1281251012480972.74 311680SH SHARED 01 311680 CISCO SYSTEMS INC COM 17275R1022122852.98136958.26SH SHARED 01 136958.26 COHEN & STEERS INFRASTRUCTURE COM 19248a10911863946.7 761975SH SHARED 01 761975 COLGATE-PALMOLIVE CO COM 1941621031082871.48 12211SH SHARED 01 12211 D C A TOTAL RETURN FUND COM 2330661091492881.35 452388SH SHARED 01 452388 DENALI FUND INC COM 24823a102 283589.1 21195SH SHARED 01 21195 DWS HIGH INCOME OPPORT FUND, I COM NEW 23339m204 364169.41 27863SH SHARED 01 27863 EXXON MOBIL CORPORATION COM 30231G102 393095.06 5412.3SH SHARED 01 5412.3 FASTENAL CO COM 3119001043403652.51102273.21SH SHARED 01 102273.21 FIFTH THIRD BANCORP COM 316773100 101000 10000SH SHARED 01 10000 FIRST FED N MICHIGAN BA COM 32021x105 935865.76 272054SH SHARED 01 272054 FRANKLIN UNIV TR S B I SH BEN SH BEN INT 3551451032827612.32 453143SH SHARED 01 453143 GABELLI DIV AND INC TR COM 36242h104 972177.73 71014SH SHARED 01 71014 GAIAM INC CL A 36268q1035399683.53 1592827SH SHARED 01 1592827 GREATER CHINA FUND, INC. COM 39167b102 303536 31100SH SHARED 01 31100 HANCOCK JOHN PAT PREM II PREM COM SH BEN INT 41013t105 119896.5 10050SH SHARED 01 10050 INTEL CORP SDCV 2.950%12/1458140AD2 16313.92 16000SH SHARED 01 16000 INTEL CORP COM 4581401002653663.81124380.77SH SHARED 01 124380.77 KINROSS GOLD CORP COM NO PAR 4969024045074875.05 343361SH SHARED 01 343361 LAZARD WORLD DIV & INCM COM 5210761091241185.68 109452SH SHARED 01 109452 LIFEWAY FOODS, INC. COM 5319141091096310.49 102747SH SHARED 01 102747 MADISON CLAYMORE CVRD FD COM 556582104 242877.6 34160SH SHARED 01 34160 MARKET LEADER INC COM 57056r103 4345974.6 1975443SH SHARED 01 1975443 MFS INTERMARKET INCM TR SH BEN INT 59318r1031673638.94 207134SH SHARED 01 207134 MFS MULTI MKT INC TRUST SH BEN SH BEN INT 552737108 1166501.7 185159SH SHARED 01 185159 MICROSOFT CORP COM 594918104 349688.37 14049.35SH SHARED 01 14049.35 MONTGOMERY ST INCOME SEC COM 614115103 3933727.2 252162SH SHARED 01 252162 NEWMONT MINING CORP COM 6516391063465082.75 55045SH SHARED 01 55045 NOKIA CORP SPON ADR F 1 ADR RE SPONSORED ADR 6549022046348504.41 1121644SH SHARED 01 1121644 NUVEEN MULTI STRAT INCM COM SHS 67073d1026477793.57824146.76SH SHARED 01 824146.76 NUVEEN PFD & CONV INCOME FD COM 67073B106 5930475 790730SH SHARED 01 790730 PROCTER & GAMBLE COM 742718109 815401.08 12906SH SHARED 01 12906 RADIOSHACK CORP COM 750438103 2058192.5 177125SH SHARED 01 177125 REAL GOODS SOLAR, INC. CL A CL A 75601N104 1842750 1012500SH SHARED 01 1012500 RMR REAL ESTATE INCOME FUND COM SHS 74964K609 97604.43 43619SH SHARED 01 43619 ROYAL GOLD INC COM 7802871085341668.02 83385SH SHARED 01 83385 ROYCE MICRO-CAP TRUST COM 780915104 470111.75 61532.95SH SHARED 01 61532.95 S K TELECOM LTD ADR F SPONSORE SPONSORED ADR 78440p1084028752.01 286336SH SHARED 01 286336 SANOFI ADR (n/c 5/11) SPONSORED ADR 80105n1052856675.95 87093.78SH SHARED 01 87093.78 SECTOR SPDR TR SHS BEN INT UT SBI INT-UTILS 81369y886 1276719.5 37975SH SHARED 01 37975 STRATEGIC GLOBAL INCM FD COM 8627191011084198.56 105058SH SHARED 01 105058 THE CHARLES SCHWAB CORP COM 808513105 1594705 141500SH SHARED 01 141500 TOFUTTI BRANDS INC COM 88906b105 390673.25 186925SH SHARED 01 186925 U S GLOBAL INVESTORS A CLASS A CL A 9029521007967227.06 1175107SH SHARED 01 1175107 UNITED ONLINE INC COM 9112681005156120.48 985874SH SHARED 01 985874 UNITED PARCEL SERVICE B CLASS CL B 911312106 208458.15 3301SH SHARED 01 3301 VIASYSTEMS GROUP, INC. NEW COM PAR$.01 92553h803 196832.1 11190SH SHARED 01 11190 VODAFONE GROUP NEW ADR F SPONS SPONS ADR NEW 92857w2095927680.83231008.61SH SHARED 01 231008.61 WESTERN ASSET CLAYMORE COM 95766r104 646239.21 51167SH SHARED 01 51167 WESTRN ASSET WRLDWD INCM COM 957668106 1116986 85922SH SHARED 01 85922 ZWEIG FUND INC COM 989834106 109768.5 38925SH SHARED 01 38925 ZWEIG TOTAL RETURN FUND, INC. COM 9898371097024877.74 2318518SH SHARED 01 2318518