-----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, IuAFeI4Hm01n40+zOV7swK0Z7O/fGf99IvlyG5l9y00B8w+UTTyfnc3FmhwZx+7C /a4CwSkaaT8rqKq2xfcK0w== 0001398344-11-000394.txt : 20110214 0001398344-11-000394.hdr.sgml : 20110214 20110214190613 ACCESSION NUMBER: 0001398344-11-000394 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 EFFECTIVENESS DATE: 20110214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Thomas J. Herzfeld Advisors, Inc. CENTRAL INDEX KEY: 0001509510 IRS NUMBER: 592414380 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14375 FILM NUMBER: 11610234 BUSINESS ADDRESS: STREET 1: PO BOX 161465 CITY: MIAMI STATE: FL ZIP: 33116 BUSINESS PHONE: 305-271-1900 MAIL ADDRESS: STREET 1: PO BOX 161465 CITY: MIAMI STATE: FL ZIP: 33116 13F-HR 1 fp0002509_13fhr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2010 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Thomas J. Herzfeld Advisors, Inc. Address: PO Box 161465 Miami, FL 33116 Form 13F File Number: 028- 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: Thomas J. Herzfeld Title: President Phone: (305) 271-1900 Signature, Place, and Date of Signing: /s/ Thomas J. Herzfeld Miami, FL 2/14/2011 ---------------------- ------------- ---------- [Signature] [City, State] [Date] Report Type (Check only one.): [x] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: Form 13F Information Table Entry Total: 284 Form 13F Information Table Value Total: $ 106,360 ----------- (thousands) List of Other Included Managers: Provide a numbered list of the names(s) and Form 13F file numbers(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ----------------------------- -------------- --------- -------- ------------------- ---------- -------- ------------------- VOTING AUTHORITY VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ------------------- NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ----------------------------- -------------- --------- -------- ------- ---- ---- ---------- -------- ---- ------ ---- Aberdeen Asia-Pacific Income Fund common stock 003009107 68 10,000 SH SOLE 10,000 Adams Express common stock 006212104 954 88,856 SH SOLE 88,856 AllianceBernstein National Municipal Income Fund common stock 01864U106 65 5,000 SH SOLE 5,000 Alpine Global Premier Properties Fund common stock 02083A103 469 66,138 SH SOLE 66,138 Alpine Total Dynamic Dividend Fund common stock 021060108 6,575 1,110,607 SH SOLE 1,110,607 American Select Portfolio common stock 029570108 155 14,800 SH SOLE 14,800 American Strategic Income Portfolio common stock 030098107 14 1,162 SH SOLE 1,162 American Strategic Income Portfolio II common stock 030099105 1,127 120,920 SH SOLE 120,920 American Strategic Income Portfolio III common stock 03009T101 751 98,200 SH SOLE 98,200 Bancroft Fund common stock 059695106 603 35,626 SH SOLE 35,626 BlackRock Apex Municipal Fund common stock 09254H106 26 3,000 SH SOLE 3,000 BlackRock Core Bond Trust common stock 09249E101 150 12,016 SH SOLE 12,016 BlackRock Corporate High Yield Fund V common stock 09255N102 48 4,200 SH SOLE 4,200 BlackRock Credit Allocation Income Trust I common stock 09255J101 67 7,271 SH SOLE 7,271 BlackRock Credit Allocation Income Trust II common stock 09255H105 759 77,200 SH SOLE 77,200 BlackRock Credit Allocation Income Trust III common stock 09249V103 163 15,500 SH SOLE 15,500 BlackRock Credit Allocation Income Trust IV common stock 092508100 1,597 131,994 SH SOLE 131,994 BlackRock High Income Shares common stock 09250E107 33 16,004 SH SOLE 16,004 BlackRock Income Opportunity Trust common stock 092475102 10 1,000 SH SOLE 1,000 BlackRock Income Trust common stock 09247F100 974 142,429 SH SOLE 142,429 BlackRock Muni NY Intermediate Duration Fund common stock 09255F109 62 4,856 SH SOLE 4,856 BlackRock MuniHoldings California Insured Fund common stock 09254L107 9 700 SH SOLE 700 BlackRock MuniYield California Insured Fund common stock 09254N103 168 13,100 SH SOLE 13,100 BlackRock MuniYield Michigan Insured Fund II common stock 09254W103 73 6,000 SH SOLE 6,000 BlackRock MuniYield Pennsylvania Insured Fund common stock 09255G107 13 1,000 SH SOLE 1,000 BlackRock MuniYield Quality Fund II common stock 09254G108 23 2,000 SH SOLE 2,000 BlackRock Pennsylvania Strategic Municipal Trust common stock 09248R103 7 598 SH SOLE 598 BlackRock S&P Quality Rankings Global Equity Managed Trust common stock 09250D109 33 2,515 SH SOLE 2,515 BlackRock Strategic Bond Trust common stock 09249G106 20 1,555 SH SOLE 1,555 BlackRock Strategic Dividend Achievers Trust common stock 09249Y107 373 34,934 SH SOLE 34,934 Blue Chip Value Fund common stock 095333100 199 53,712 SH SOLE 53,712 Boulder Growth and Income Fund common stock 101507101 314 50,390 SH SOLE 50,390 Boulder Total Return Fund common stock 101541100 446 28,715 SH SOLE 28,715 Brantley Capital common stock 105494108 22 59,109 SH SOLE 59,109 Calamos Global Dynamic Income Fund common stock 12811L107 54 6,444 SH SOLE 6,444 Central Europe and Russia Fund common stock 153436100 189 4,512 SH SOLE 4,512 Central Securities common stock 155123102 760 34,606 SH SOLE 34,606 Chartwell Dividend and Income Fund common stock 16139P104 9 2,000 SH SOLE 2,000 Claymore Dividend & Income Fund common stock 18385J105 319 21,216 SH SOLE 21,216 Clough Global Allocation Fund common stock 18913Y103 310 19,700 SH SOLE 19,700 Clough Global Equity Fund common stock 18914C100 341 22,539 SH SOLE 22,539 Clough Global Opportunities Fund common stock 18914E106 677 50,354 SH SOLE 50,354 Cohen & Steers Dividend Majors Fund common stock 19248G106 65 5,008 SH SOLE 5,008 Cohen & Steers Select Utility Fund common stock 19248A109 986 60,047 SH SOLE 60,047 Cornerstone Strategic Value Fund common stock 21924B203 18 2,052 SH SOLE 2,052 Cornerstone Total Return Fund common stock 21924U201 1 150 SH SOLE 150 DCA Total Return Fund common stock 233066109 2,325 673,780 SH SOLE 673,780 Delaware Investments Arizona Municipal Income Fund common stock 246100101 82 6,400 SH SOLE 6,400 Delaware Investments Minnesota Municipal Income II common stock 24610V103 130 10,314 SH SOLE 10,314 Diamond Hill Financial Trends Fund common stock 25264C101 109 11,122 SH SOLE 11,122 Dow 30 Enhanced Premium & Income Fund common stock 260537105 52 5,000 SH SOLE 5,000 DWS Global High Income common stock 23338W104 143 18,286 SH SOLE 18,286 DWS dreman Value Income Edge Fund common stock 23339M204 374 26,586 SH SOLE 26,586 DWS RREEF World Real Asset & Tactical Strategies Fund common stock 23339T209 71 3,917 SH SOLE 3,917 DWS Strategic Income Fund common stock 23338N104 125 9,832 SH SOLE 9,832 Eagle Capital Growth Fund common stock 269451100 36 5,412 SH SOLE 5,412 Eaton Vance Tax-Managed Global Buy-Write Opp. Fund common stock 27829C105 423 34,516 SH SOLE 34,516 Eaton Vance Enhanced Equity Income Fund common stock 278274105 63 5,000 SH SOLE 5,000 Eaton Vance Insured California Municipal Bond Fund II common stock 27828C106 11 1,000 SH SOLE 1,000 Eaton Vance Insured Michigan Municipal Bond Fund common stock 27828M104 46 3,730 SH SOLE 3,730 Eaton Vance Pennsylvania Municipal Income Trust common stock 27826T101 25 2,000 SH SOLE 2,000 Eaton Vance Risk-Managed Diversified Equity Income Fund common stock 27829G106 884 66,530 SH SOLE 66,530 Eaton Vance Risk-Managed Diversified Equity Income Fund common stock 27829G106 1,694 127,530 SH SOLE 127,530 Eaton Vance Short Duration Diversified Income Fund common stock 27828V104 17 1,000 SH SOLE 1,000 Eaton Vance Tax Advantage Bond and Auction Strategies common stock 27829M103 299 17,875 SH SOLE 17,875 Eaton Vance Tax-Advantaged Global Dividend Income Fund common stock 27828S101 147 10,392 SH SOLE 10,392 Eaton Vance Tax-Managed Buy-Write Income Fund common stock 27828X100 115 8,000 SH SOLE 8,000 Eaton Vance Tax-Managed Buy-Write Opportunities Fund common stock 27828Y108 330 25,249 SH SOLE 25,249 Eaton Vance Tax-Managed Diversified Equity Income Fund common stock 27828N102 1,846 163,251 SH SOLE 163,251 Eaton Vance Tax-Managed Global Diversified Equity Income Fund common stock 27829F108 2,345 222,695 SH SOLE 222,695 Ellsworth Fund common stock 289074106 46 6,192 SH SOLE 6,192 Emerging Markets Telecommunications Fund common stock 00301T102 66 3,400 SH SOLE 3,400 Engex common stock 292851102 35 8,262 SH SOLE 8,262 Enzo Biochem common stock 294100102 5 1,000 SH SOLE 1,000 Equus Total Return common stock 294766100 430 171,966 SH SOLE 171,966 European Equity Fund common stock 298768102 8 1,000 SH SOLE 1,000 Federated Enhanced Treasury Income Fund common stock 314162108 3,176 189,725 SH SOLE 189,725 First Opportunity Fund common stock 33587T108 3,148 423,737 SH SOLE 423,737 First Trust Strategic High Income Fund common stock 337347108 117 34,897 SH SOLE 34,897 First Trust Strategic High Income Fund II common stock 337353106 152 32,481 SH SOLE 32,481 First Trust Strategic High Income Fund III common stock 33735C106 484 111,278 SH SOLE 111,278 First Trust/Four Corners Senior Floating Rate Income Fund II common stock 33733U108 168 12,000 SH SOLE 12,000 Foxby Corp. common stock 351645106 117 106,664 SH SOLE 106,664 Gabelli Convertible and Income Securities Fund Preferred Series B preferred stock 36240B307 58 2,300 SH SOLE 2,300 Gabelli Dividend and Income Trust common stock 36242H104 364 23,666 SH SOLE 23,666 Gabelli Equity Trust common stock 362397101 25 4,454 SH SOLE 4,454 Gabelli Equity Trust Preferred Series D preferred stock 362397705 217 8,672 SH SOLE 8,672 Gabelli Equity Trust Preferred Series F preferred stock 362397804 8 300 SH SOLE 300 Gabelli Global Deal Fund common stock 36245G103 27 2,000 SH SOLE 2,000 Gabelli Global Deal Fund preferred Series A preferred stock 36245G202 3,007 58,502 SH SOLE 58,502 Gabelli Global Multimedia Trust common stock 36239Q109 335 40,855 SH SOLE 40,855 Gabelli Global Multimedia Trust preferred Series B preferred stock 36239Q307 261 10,434 SH SOLE 10,434 Gabelli Healthcare and Wellness Trust common stock 36246K103 576 81,057 SH SOLE 81,057 General American Investments Preferred Series B preferred stock 368802401 206 8,275 SH SOLE 8,275 General American Investors common stock 368802104 498 18,562 SH SOLE 18,562 Global Income and currency fund common stock 378968101 806 55,710 SH SOLE 55,710 Global Income Fund common stock 37934Y108 68 16,250 SH SOLE 16,250 Greater China Fund common stock 39167B102 429 32,645 SH SOLE 32,645 Guggenheim Build America Bond Managed Duration Trust common stock 401664107 591 32,500 SH SOLE 32,500 Guggenheim Raymond James SB-1 Equity common stock 18383M613 17 792 SH SOLE 792 H&Q Healthcare Investors common stock 404052102 306 22,883 SH SOLE 22,883 H&Q Life Sciences Investors Fund common stock 404053100 341 31,627 SH SOLE 31,627 Helios Advantage Income Fund common stock 42327W206 103 13,410 SH SOLE 13,410 Helios High Income Fund common stock 42327X204 12 1,637 SH SOLE 1,637 Helios High Yield Fund common stock 42328Q109 66 7,332 SH SOLE 7,332 Highland Credit Strategies Fund common stock 43005Q107 283 37,343 SH SOLE 37,343 Indonesia Fund common stock 00305P106 550 41,289 SH SOLE 41,289 Japan Equity Fund common stock 471057109 769 125,648 SH SOLE 125,648 Japan Smaller Capitalization Fund common stock 47109U104 81 9,000 SH SOLE 9,000 Jardine Fleming China Region Fund common stock 46614T107 56 3,567 SH SOLE 3,567 John Hancock Bank & Thrift Opportunity common stock 409735206 142 8,265 SH SOLE 8,265 John Hancock Patriot Premium Dividend II common stock 41013T105 16 1,396 SH SOLE 1,396 JZ Capital Partners LTD Cons 389 6 SH SOLE 6 Korea Fund common stock 500634209 873 19,795 SH SOLE 19,795 Lazard Global Total Return & Income Fund common stock 52106W103 30 2,001 SH SOLE 2,001 Liberty All-Star Equity Fund common stock 530158104 1,299 263,393 SH SOLE 263,393 Liberty All-Star Growth Fund common stock 529900102 43 10,044 SH SOLE 10,044 LMP Capital and Income Fund common stock 50208A102 215 17,278 SH SOLE 17,278 LMP Corporate Loan Fund common stock 50208B100 156 13,258 SH SOLE 13,258 Macquarie Global Infrastructure Total Return Fund common stock 55608D101 244 14,134 SH SOLE 14,134 Macquarie/First Trust/Global Infrastructure/Utilities Dividend & Income common stock 55607W100 203 14,028 SH SOLE 14,028 Madison Strategic Sector Premium Fund common stock 558268108 39 3,043 SH SOLE 3,043 Madison/Claymore Covered Call & Equity Strategy Fund common stock 556582104 45 5,000 SH SOLE 5,000 Malaysia Fund common stock 560905101 79 7,000 SH SOLE 7,000 Margo Caribe Inc. 5 8,318 SH SOLE 8,318 Mexico Equity & Income Fund common stock 592834105 239 21,123 SH SOLE 21,123 Mexico Fund common stock 592835102 120 4,256 SH SOLE 4,256 MFS Charter Income Fund common stock 552727109 162 17,200 SH SOLE 17,200 MFS Intermarket Income Trust I common stock 59318R103 723 85,756 SH SOLE 85,756 MFS Multimarket Income Trust common stock 552737108 135 19,600 SH SOLE 19,600 Montgomery Street Income Securities common stock 614115103 750 47,557 SH SOLE 47,557 Morgan Stanley Asia Pacific Fund common stock 61744U106 333 19,614 SH SOLE 19,614 Morgan Stanley China A Share Fund common stock 617468103 160 5,837 SH SOLE 5,837 Morgan Stanley Eastern Europe Fund common stock 616988101 19 1,000 SH SOLE 1,000 Morgan Stanley Emerging Market Debt Fund common stock 61744H105 594 56,650 SH SOLE 56,650 Morgan Stanley Emerging Markets common stock 61744G107 128 7,800 SH SOLE 7,800 Morgan Stanley Frontier Emerging Markets Fund common stock 61757P101 110 7,521 SH SOLE 7,521 Morgan Stanley High Yield Fund common stock 46133K108 32 5,435 SH SOLE 5,435 Morgan Stanley India Investment Fund common stock 61745C105 105 4,100 SH SOLE 4,100 MS CA Insured Municipal Income common stock 46130L109 131 10,144 SH SOLE 10,144 MS CA Quality Municipal Securities common stock 46130M107 299 25,359 SH SOLE 25,359 MS Insured Municipal Trust common stock 46132W103 10 800 SH SOLE 800 MS Municipal Income Opportunities Trust II common stock 46133A100 20 3,000 SH SOLE 3,000 MS Municipal Income Opportunities Trust III common stock 46133C106 15 2,000 SH SOLE 2,000 MS NY Quality Municipal Securities common stock 46133F109 27 2,000 SH SOLE 2,000 MVC Capital Corp. common stock 553829102 57 3,918 SH SOLE 3,918 New Germany Fund common stock 644465106 385 24,469 SH SOLE 24,469 New Ireland Fund common stock 645673104 160 23,278 SH SOLE 23,278 NFJ Dividend, Interest & Premium Strategy Fund common stock 65337H109 1,218 69,535 SH SOLE 69,535 Nicholas Applegate Equity & Convertible Income Fund common stock 00119P102 36 2,000 SH SOLE 2,000 Nuveen AZ Dividend Advantage Municipal Fund common stock 67069L100 51 4,185 SH SOLE 4,185 Nuveen AZ Dividend Advantage Municipal Fund 2 common stock 67071P107 28 2,155 SH SOLE 2,155 Nuveen AZ Dividend Advantage Municipal Fund 3 common stock 67072E101 19 1,553 SH SOLE 1,553 Nuveen AZ Premium Income Municipal Fund common stock 67061W104 25 2,000 SH SOLE 2,000 Nuveen CA Dividend Advantage Municipal Fund 2 common stock 67069X104 26 2,000 SH SOLE 2,000 Nuveen CA Dividend Advantage Municipal Fund 3 Preferred Series C preferred stock 67066Y501 20 2,000 SH SOLE 2,000 Nuveen CA Investment Quality Municipal Fund common stock 67062A101 50 4,000 SH SOLE 4,000 Nuveen CA Municipal Value Fund common stock 67062C107 112 13,000 SH SOLE 13,000 Nuveen CA Performance Plus Municipal Fund common stock 67062Q106 12 983 SH SOLE 983 Nuveen CA Premium Income Municipal Fund Preferred Series C preferred stock 6706L0300 24 2,500 SH SOLE 2,500 Nuveen Core Equity Alpha Fund common stock 67090X107 109 8,283 SH SOLE 8,283 Nuveen Diversified Dividend & Income Fund common stock 6706EP105 338 31,000 SH SOLE 31,000 Nuveen Enhanced Municiple Fund common stock 67074M101 9 700 SH SOLE 700 Nuveen Equity Premium & Growth Fund common stock 6706EW100 14 1,000 SH SOLE 1,000 Nuveen GA Dividend Advantage Municipal Fund 2 Preferred Series C preferred stock 67072B107 25 2,500 SH SOLE 2,500 Nuveen GA Dividend Advantage Municipal Fund Preferred Series C preferred stock 67070T308 20 2,000 SH SOLE 2,000 Nuveen GA Premium Income Municipal Fund common stock 67060F102 40 3,075 SH SOLE 3,075 Nuveen GA Premium Income Municipal Fund Preferred Series C preferred stock 67060F300 10 1,000 SH SOLE 1,000 Nuveen Insured CA Dividend Advantage Municipal Fund common stock 67071M104 26 2,000 SH SOLE 2,000 Nuveen Insured NY Dividend Advantage Municipal Fund common stock 67071N102 80 6,000 SH SOLE 6,000 Nuveen Insured Quality Municipal Fund common stock 67062N103 38 3,000 SH SOLE 3,000 Nuveen Insured Tax-Free Advantage Municipal Fund common stock 670657105 19 1,400 SH SOLE 1,400 Nuveen MD Dividend Advantage Municipal Fund 3 common stock 67072A109 26 2,000 SH SOLE 2,000 Nuveen MD Premium Income Fund Preferred Series C preferred stock 67061Q404 20 2,000 SH SOLE 2,000 Nuveen MI Dividend Advantage Municipal Fund common stock 67070W103 42 3,423 SH SOLE 3,423 Nuveen MI Premium Income Municipal Fund common stock 67101Q109 419 32,221 SH SOLE 32,221 Nuveen MI Quality Income Municipal Fund common stock 670979103 170 13,000 SH SOLE 13,000 Nuveen Mortgage Opportunity Term Fund 2 common stock 67074R100 24 1,001 SH SOLE 1,001 Nuveen Multi-Currency Short-Term Government Income Fund common stock 67090N109 854 62,007 SH SOLE 62,007 Nuveen Multi-Strategy Income and Growth Fund common stock 67073B106 57 6,857 SH SOLE 6,857 Nuveen Multi-Strategy Income and Growth Fund 2 common stock 67073D102 144 16,317 SH SOLE 16,317 Nuveen NC Dividend Advantage Municipal Fund 2 common stock 67071D104 29 2,000 SH SOLE 2,000 Nuveen New York Dividend Advantage Municipal Fund common stock 67066X107 65 5,000 SH SOLE 5,000 Nuveen New York Dividend Advantage Municipal Fund 2 common stock 67070A101 52 4,000 SH SOLE 4,000 Nuveen NJ Dividend Advantage Municipal Fund common stock 67069Y102 26 2,000 SH SOLE 2,000 Nuveen NJ Investment Quality Municipal common stock 670971100 35 2,655 SH SOLE 2,655 Nuveen NJ Premium Income Municipal common stock 67101N106 27 2,000 SH SOLE 2,000 Nuveen NY Investment Quality Municipal common stock 67062X101 27 2,000 SH SOLE 2,000 Nuveen NY Select Quality Municipal Fund common stock 670976109 55 4,000 SH SOLE 4,000 Nuveen OH Dividend Advantage Municipal Fund common stock 67070C107 14 1,000 SH SOLE 1,000 Nuveen OH Quality Income Municipal Fund common stock 670980101 42 2,850 SH SOLE 2,850 Nuveen PA Dividend Advantage Municipal Fund common stock 67070E103 86 6,620 SH SOLE 6,620 Nuveen PA Dividend Advantage Municipal Fund 2 common stock 67071W102 32 2,400 SH SOLE 2,400 Nuveen PA Investment Quality Municipal common stock 670972108 27 2,000 SH SOLE 2,000 Nuveen PA Premium Income Municipal 2 common stock 67061F101 37 2,976 SH SOLE 2,976 Nuveen Pennsylvania Dividend Advantage Fund Preferred Series C preferred stock 67071W300 10 1,000 SH SOLE 1,000 Nuveen Select Maturity Municipal Fund common stock 67061T101 4 400 SH SOLE 400 Nuveen Tax-Advantaged Dividend Growth Fund common stock 67073G105 61 4,695 SH SOLE 4,695 Nuveen Tax-Advantaged Floating Rate Fund common stock 6706EV102 180 82,793 SH SOLE 82,793 Nuveen TX Quality Income Municipal Fund Preferred Series C preferred stock 670983402 84 8,600 SH SOLE 8,600 Nuveen VA Premium Income Municipal Preferred Series C preferred stock 67064R409 25 2,500 SH SOLE 2,500 Petroleum & Resources Corp. common stock 716549100 954 35,311 SH SOLE 35,311 Putnam Municipal Opportunity Trust common stock 746922103 179 16,500 SH SOLE 16,500 Putnam Municipal Opportunity Trust common stock 746922103 22 2,000 SH SOLE 2,000 RENN Global Entrepreneurs Fund common stock 759720105 190 97,076 SH SOLE 97,076 RiverSource LaSalle International Real Estate Fund common stock 76932W102 254 26,977 SH SOLE 26,977 Rivus Bond Fund common stock 769667106 734 41,447 SH SOLE 41,447 RMR Asia Pacific Real Estate Fund common stock 76970B101 1,689 91,947 SH SOLE 91,947 RMR Real Estate Income Fund common stock 74964K609 152 5,087 SH SOLE 5,087 Royce Focus Trust common stock 78080N108 204 27,006 SH SOLE 27,006 Royce Focus Trust Preferred Series A preferred stock 78080N306 25 1,000 SH SOLE 1,000 Royce Micro-Cap Trust, Inc. common stock 780915104 565 57,663 SH SOLE 57,663 Royce Micro-Cap Trust, Inc. Preferred Series A preferred stock 780915302 115 4,600 SH SOLE 4,600 Royce Value Trust common stock 780910105 1,119 76,937 SH SOLE 76,937 Royce Value Trust Preferred Series B preferred stock 780910402 186 7,339 SH SOLE 7,339 Singapore Fund common stock 82929L109 167 11,000 SH SOLE 11,000 Source Capital common stock 836144105 143 2,700 SH SOLE 2,700 Spain Fund common stock 45082X103 145 22,100 SH SOLE 22,100 Storage Technology Corp. common stock 19842X109 61 3,198 SH SOLE 3,198 SunAmerica Focused Alpha Growth Fund common stock 867037103 165 9,396 SH SOLE 9,396 SunAmerica Focused Alpha Large-Cap Fund, Inc. common stock 867038101 269 17,077 SH SOLE 17,077 Swiss Helvetia Fund common stock 870875101 156 11,498 SH SOLE 11,498 Taiwan Greater China Fund common stock 874037104 73 9,595 SH SOLE 9,595 Templeton Dragon Fund common stock 88018T101 102 3,309 SH SOLE 3,309 Thai Capital Fund common stock 882905201 109 8,000 SH SOLE 8,000 Thai Fund common stock 882904105 8 650 SH SOLE 650 The Gabelli Dividend and Income Trust Preferred Series A preferred stock 36242H203 50 2,000 SH SOLE 2,000 The Herzfeld Caribbean Basin Fund common stock 42804T106 1,241 173,117 SH SOLE 173,117 Tortoise Capital Resources Corporation common stock 89147N304 15 2,000 SH SOLE 2,000 Tri-Continental Corp. common stock 895436103 1,778 129,211 SH SOLE 129,211 TS&W/Claymore Tax-Advantaged Balanced Fund common stock 87280R108 92 8,700 SH SOLE 8,700 Tuxis Corporation common stock 901144105 9 8,400 SH SOLE 8,400 Van Kampen PA Value Municipal Income Trust common stock 46132K109 38 3,000 SH SOLE 3,000 Western Asset Worldwide Income Fund common stock 957668106 1,077 80,978 SH SOLE 80,978 Western Asset Claymore Inflation Linked Opportunities Fund common stock 95766R104 410 32,812 SH SOLE 32,812 Western Asset Emerging Markets Debt Fund common stock 95766A101 2,792 152,473 SH SOLE 152,473 Western Asset Emerging Markets Income Fund common stock 95766E103 193 14,750 SH SOLE 14,750 Western Asset Global Corporate Defined Opportunity Fund common stock 95790C107 54 3,015 SH SOLE 3,015 Western Asset Global High Income Fund common stock 95766B109 52 4,000 SH SOLE 4,000 Western Asset Inflation Management Fund common stock 95766U107 187 10,610 SH SOLE 10,610 Western Asset Variable Rate Strategic Fund common stock 957667108 55 3,258 SH SOLE 3,258 Zweig Fund common stock 989834106 271 80,905 SH SOLE 80,905 Zweig Total Return Fund common stock 989837109 718 201,664 SH SOLE 201,664 Grupo Radio Centro SAB SP AD common stock 40049C102 208 22,516 SH SOLE 22,516 Banco LatinoAmericano Come E common stock P16994132 720 39,000 SH SOLE 39,000 Fresh Del Monte Produce Inc. common stock G36738105 416 16,690 SH SOLE 16,690 Level 3 Communications Inc. common stock 52729N100 29 30,000 SH SOLE 30,000 Atlantic Tele Network Inc. common stock 049079205 333 8,698 SH SOLE 8,698 Royal Caribbean Cruises LTD common stock V7780T103 1,810 38,500 SH SOLE 38,500 Steiner Leisure LTD common stock P8744Y102 422 9,029 SH SOLE 9,029 Spanish Broadcasting Sys A common stock 846425882 57 80,304 SH SOLE 80,304 Teco Energy Inc. common stock 872375100 721 40,500 SH SOLE 40,500 Watsco Inc. common stock 942622200 1,867 29,600 SH SOLE 29,600 Teekay Corp common stock Y8564W103 662 20,000 SH SOLE 20,000 Lennar Corp A common stock 526057104 703 37,500 SH SOLE 37,500 Norfolk Southern Corp common stock 655844108 1,194 19,000 SH SOLE 19,000 Seacor Holdings Inc. common stock 811904101 202 2,000 SH SOLE 2,000 Trailer Bridge Inc. common stock 892782103 218 79,087 SH SOLE 79,087 Seaboard Corp common stock 811543107 2,630 1,321 SH SOLE 1,321 Mastec Inc. common stock 576323109 1,111 76,132 SH SOLE 76,132 Fomento Economico Mexica UBD common stock 224205906 106 18,900 SH SOLE 18,900 Cemex Sab CPO common stock 240645903 57 53,645 SH SOLE 53,645 Kimberly Clark Mexico Cl A common stock 249191008 37 6,100 SH SOLE 6,100 Telefonos De Mexico Sab L common stock 288168008 64 78,600 SH SOLE 78,600 Coca Cola Femsa Sab SP ADR common stock 191241108 1,855 22,500 SH SOLE 22,500 Popular Inc. common stock 733174106 157 50,000 SH SOLE 50,000 Grupo Televisa SA Spons ADR common stock 40049J206 840 32,400 SH SOLE 32,400 Telefonos De Mexico SP ADR L common stock 879403780 242 15,000 SH SOLE 15,000 Bancocolombia S.A. Spons ADR common stock 05968L102 1,627 26,280 SH SOLE 26,280 Cemex SAB Spons ADR Part Cer common stock 151290889 405 37,806 SH SOLE 37,806 Grupo Casa Saba SA Spon ADR common stock 40048P104 188 13,273 SH SOLE 13,273 Grupo Aeroportuario De Sur B common stock 263934903 4 700 SH SOLE 700 America Movil SAB De C SER A common stock 264997909 96 35,600 SH SOLE 35,600 America Movil ADR Series L common stock 266747906 1,353 23,595 SH SOLE 23,595 America Movil SAB De C SER L common stock 266747906 300 104,572 SH SOLE 104,572 Chiquita Brands Intl common stock 170032809 196 14,000 SH SOLE 14,000 Consolidated Water CO ORD SH common stock G23773107 613 66,841 SH SOLE 66,841 Carnival Corp common stock 143658300 1,821 39,500 SH SOLE 39,500 Teekay LNG Partners LP common stock Y8564M105 318 8,361 SH SOLE 8,361 Copa Holdings common stock P31076105 1,912 32,500 SH SOLE 32,500 Western Union Co common stock 959802109 297 16,000 SH SOLE 16,000 Ultrapetrol Bahamas LTD common stock P94398107 148 23,000 SH SOLE 23,000 Grupo TMM SA SP ADR A common stock 40051D303 31 12,280 SH SOLE 12,280 RailAmerica Inc common stock 750753402 259 20,000 SH SOLE 20,000
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