SEC Info - Thomas J. Herzfeld Advisors, Inc. - ‘13F-HR’ for 6/30/20

SEC Info℠

Home

Help

Please Sign In

Thomas J. Herzfeld Advisors, Inc. – ‘13F-HR’ for 6/30/20 – ‘INFO-TABLE’

On: Wednesday, 8/12/20, at 4:14pm ET · Effective: 8/12/20 · For: 6/30/20 · Accession #: 1398344-20-15613 · File #: 28-14375

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 8/12/20  Thomas J. Herzfeld Advisors, Inc. 13F-HR      6/30/20    2:120K                                   FilePoint/FA

Quarterly Holdings and Combination Report by a Money Manager — Form 13F
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 13F-HR      Quarterly Holdings and Combination Report by a      HTML      3K 
                Money Manager -- primary_doc.xml                                 
 2: INFO-TABLE  13F Information Table -- fp0056536_13fhr-table.xml  HTML      3K

‘INFO-TABLE’ — 13F Information Table — fp0056536_13fhr-table.xml

This ‘INFO-TABLE’ Document is an XML Data File that may be rendered in various formats:

Information Table – Plain Text – SEC Website – EDGAR System – XML Data – <?xml?> File

SEC Info℠ rendering: 13F Information Table — fp0056536_13fhr-table.xml

Thomas J. Herzfeld Advisors, Inc.
FL
· Form 13F Holdings Report

§13(f) Securities Holdings · For: 6/30/20 · Assets: $204,031,000 · History: Assets Under Management

Security

Market Valueª

Shares or Principal

Investment
Discretion

Other
Managersº

Voting Authority

Issuer Name

Issue Class

Opt.

CUSIP/CINS

$1000s

Weight

Amount

S/P

Price

Sole

Shared

None

↓List

(S/P Amounts or For All)

Abbott Laboratories

COM

–

002824·10·0

0.00%

Sh.

≈95.89

Sole

–

Sole

–

AbbVie, Inc.

COM

–

00287Y·10·9

0.00%

Sh.

≈93.33

Sole

–

Sole

–

Aberdeen Asia Pacific In Com

COM

–

003009·10·7

4,076

2.00%

996,456

Sh.

4.09

Shared

935,884

60,572

–

Aberdeen Emerging Markets Equity Inc.

COM

–

00301W·10·5

0.00%

768

Sh.

≈6.51

Sole

–

Sole

–

Aberdeen Global Dynamic Dividend Fund

COM

–

00302M·10·6

1,518

0.74%

167,046

Sh.

9.09

Sole

–

Sole

–

Aberdeen Global Premier Properties Fund

COM SH BEN INT

–

00302L·10·8

2,207

1.08%

455,002

Sh.

4.85

Sole

–

Sole

–

Aberdeen Japan Equity Fund Inc

COM

–

00306J·10·9

0.00%

561

Sh.

≈7.13

Sole

–

Sole

–

Aberdeen Total Dynamic Dividend Fund

COM SH BEN INT

–

00326L·10·0

1,683

0.82%

213,247

Sh.

7.89

Sole

–

Sole

–

Activision Blizzard, Inc.

COM

–

00507V·10·9

0.00%

Sh.

≈74.07

Sole

–

Sole

–

Adams Diversified Equity Fund Inc

COM

–

006212·10·4

2,966

1.45%

189,156

Sh.

15.68

Sole

–

Sole

–

Adams Natural Resources Fund Inc

COM

–

00548F·10·5

0.04%

6,767

Sh.

11.53

Sole

–

Sole

–

Adobe Systems, Inc.

COM

–

00724F·10·1

0.00%

Sh.

≈428.57

Sole

–

Sole

–

Advanced Micro Devices, Inc.

COM

–

007903·10·7

0.00%

Sh.

≈83.33

Sole

–

Sole

–

Advent Claymore Convertible Securities and Income Fund

COM

–

00764C·10·9

854

0.42%

61,427

Sh.

13.90

Shared

34,231

27,196

–

Air products and Chemicals, Inc.

COM

–

009158·10·6

0.01%

Sh.

288.89

Sole

–

Sole

–

Alcon, Inc.

ORD SHS

–

H01301·12·8

0.00%

100

Sh.

≈60.00

Sole

–

Sole

–

Alibaba Group Holding Limited

SPONSORED ADR

–

03524A·10·8

0.00%

Sh.

≈55.56

Sole

–

Sole

–

Apollo Tactical Income Fund Inc

COM

–

037638·10·3

3,786

1.86%

301,414

Sh.

12.56

Shared

237,600

63,814

–

ARYA SCIENCES ACQUIS UTS EXP

SHS CL A

–

G3165V·10·9

0.01%

1,000

Sh.

12.00

Sole

–

Sole

–

ASA Gold and Precious Metals Ltd

SHS

–

G3156P·10·3

0.04%

5,028

Sh.

17.50

Sole

–

Sole

–

ASML Holding N V

N Y REGISTRY SHS

–

N07059·21·0

0.01%

Sh.

362.07

Sole

–

Sole

–

AstraZeneca Group plc ADR

SPONSORED ADR

–

046353·10·8

0.00%

Sh.

≈51.28

Sole

–

Sole

–

Autodesk, Inc.

COM

–

052769·10·6

0.00%

Sh.

≈285.71

Sole

–

Sole

–

Automatic Data Processing, Inc.

COM

–

053015·10·3

0.00%

Sh.

≈137.25

Sole

–

Sole

–

Bancolombia SA

SPON ADR PREF

–

05968L·10·2

612

0.30%

23,280

Sh.

26.29

Sole

–

Sole

–

Bank of America Corp.

COM

–

060505·10·4

0.00%

300

Sh.

≈23.33

Sole

–

Sole

–

BeiGene, Ltd.

SPONSORED ADR

–

07725L·10·2

0.00%

Sh.

≈214.29

Sole

–

Sole

–

BlackRock 2022 Global Income Opp Tr

COM

–

09258P·10·4

0.00%

300

Sh.

≈10.00

Sole

–

Sole

–

BlackRock Calif Mun Income

COM SH BEN INT

–

09248E·10·2

584

0.29%

42,316

Sh.

13.80

Sole

–

Sole

–

BlackRock Debt Strategies Fund

COM NEW

–

09255R·20·2

1,994

0.98%

203,506

Sh.

9.80

Shared

168,229

35,277

–

BlackRock Enhanced Equity Dividend Trust

COM

–

09251A·10·4

0.01%

1,679

Sh.

7.15

Sole

–

Sole

–

BlackRock Enhanced International Dividend Trust

COM BENE INTER

–

092524·10·7

2,311

1.13%

422,436

Sh.

5.47

Sole

–

Sole

–

BlackRock Health Sciences Trust II

COM SHS

–

09260E·10·5

1,520

0.74%

67,246

Sh.

22.60

Sole

–

Sole

–

BlackRock Muni Intermediate Duration Fund Inc

COM

–

09253X·10·2

470

0.23%

33,017

Sh.

14.24

Sole

–

Sole

–

BlackRock Municipal 2030 Target Term Trust

COM SHS BEN IN

–

09257P·10·5

0.01%

607

Sh.

24.71

Sole

–

Sole

–

BlackRock Munihldngs Cali QL

COM

–

09254L·10·7

255

0.12%

17,416

Sh.

14.64

Sole

–

Sole

–

BlackRock Science and Technology Trust II

SHS BEN INT

–

09260K·10·1

498

0.24%

19,767

Sh.

25.19

Sole

–

Sole

–

BlackRock, Inc.

COM

–

09247X·10·1

0.01%

Sh.

583.33

Sole

–

Sole

–

Blackstone / GSO Long-Short Credit Income Fund

COM SHS BN INT

–

09257D·10·2

0.03%

5,131

Sh.

12.28

Sole

–

Sole

–

Boston Scientific Corp.

COM

–

101137·10·7

0.00%

114

Sh.

≈35.09

Sole

–

Sole

–

Boulder Growth & Income Fund Inc

COM

–

101507·10·1

4,968

2.43%

506,975

Sh.

9.80

Sole

–

Sole

–

BrandywineGLOBAL – Global Income Opportunities Fund Inc.

COM

–

10537L·10·4

1,749

0.86%

139,604

Sh.

12.53

Sole

–

Sole

–

Bristol-Myers Squibb Co

COM

–

110122·10·8

100

0.05%

1,700

Sh.

58.82

Sole

–

Sole

–

Bristow Group, Inc.

COM

–

11040G·10·3

0.03%

4,491

Sh.

14.03

Sole

–

Sole

–

British American Tobacco PLC

SPONSORED ADR

–

110448·10·7

0.00%

Sh.

≈34.88

Sole

–

Sole

–

Broadcom, Inc.

COM

–

11135F·10·1

0.01%

Sh.

325.00

Sole

–

Sole

–

Cadence Design Systems, Inc.

COM

–

127387·10·8

0.01%

193

Sh.

108.81

Sole

–

Sole

–

Canadian National Railway Company

COM

–

136375·10·2

0.01%

148

Sh.

94.59

Sole

–

Sole

–

Carnival Corp

UNIT 99/99/9999

–

143658·30·0

420

0.21%

25,559

Sh.

16.43

Sole

–

Sole

–

Cemex SAB de CV

SPON ADR NEW

–

151290·88·9

779

0.38%

270,645

Sh.

2.88

Sole

–

Sole

–

Central and Eastern European Fund Inc

COM

–

153436·10·0

0.00%

222

Sh.

≈22.52

Sole

–

Sole

–

Central Securities Corp

COM

–

155123·10·2

6,566

3.22%

227,034

Sh.

28.92

Sole

–

Sole

–

Chevron Corp.

COM

–

166764·10·0

0.00%

Sh.

≈77.92

Sole

–

Sole

–

Chubb Ltd

COM

–

H1467J·10·4

0.00%

Sh.

≈117.65

Sole

–

Sole

–

Cisco Systems, Inc.

COM

–

17275R·10·2

0.01%

245

Sh.

48.98

Sole

–

Sole

–

Coca-Cola Co. (The)

COM

–

191216·10·0

0.00%

Sh.

≈44.12

Sole

–

Sole

–

Comcast Corp. Cl A Common Stock

CL A

–

20030N·10·1

0.00%

114

Sh.

≈43.86

Sole

–

Sole

–

Consolidated Water Co Ltd

ORD

–

G23773·10·7

1,010

0.50%

70,025

Sh.

14.42

Sole

–

Sole

–

Copa Holdings SA

CL A

–

P31076·10·5

1,024

0.50%

20,250

Sh.

50.57

Sole

–

Sole

–

Cornerstone Strategic Value Fund Inc

COM

–

21924B·30·2

11,332

5.55%

1,052,156

Sh.

10.77

Shared

828,949

223,207

–

Cornerstone Total Rtrn Fd In

COM

–

21924U·30·0

4,513

2.21%

433,073

Sh.

10.42

Shared

332,969

100,104

–

Costco Wholesale Corp.

COM

–

22160K·10·5

0.00%

Sh.

≈363.64

Sole

–

Sole

–

Crown Castle Intl Corp.

COM

–

22822V·10·1

0.01%

Sh.

171.43

Sole

–

Sole

–

Deere & Co.

COM

–

244199·10·5

0.00%

Sh.

≈166.67

Sole

–

Sole

–

Delaware Investments Minnesota Municipal Income Fund II Inc

COM

–

24610V·10·3

145

0.07%

11,218

Sh.

12.93

Sole

–

Sole

–

Deutsche Municipal Income Trust

COM

–

233368·10·9

253

0.12%

22,195

Sh.

11.40

Sole

–

Sole

–

DraftKings Inc.

COM CL A

–

26142R·10·4

0.01%

330

Sh.

33.33

Sole

–

Sole

–

DTF Tax-Free Income Inc

COM

–

23334J·10·7

111

0.05%

7,734

Sh.

14.35

Sole

–

Sole

–

DWS Strategic Municipal Income Trust

COM

–

23342Q·10·1

0.03%

5,000

Sh.

11.00

Sole

–

Sole

–

Eaton Corp. plc (Ireland)

SHS

–

G29183·10·3

0.00%

Sh.

≈90.91

Sole

–

Sole

–

Eaton Vance Limited Duration Income Fund

COM

–

27828H·10·5

8,681

4.25%

747,758

Sh.

11.61

Shared

615,227

132,531

–

Eaton Vance Mun Bd Fd

COM

–

27827X·10·1

179

0.09%

13,488

Sh.

13.27

Sole

–

Sole

–

Eaton Vance Muni Income Trust

SH BEN INT

–

27826U·10·8

104

0.05%

8,034

Sh.

12.94

Sole

–

Sole

–

Eaton Vance Short Duration Diversified Income Fund

COM

–

27828V·10·4

1,191

0.58%

105,325

Sh.

11.31

Shared

1,195

104,130

–

Eli Lilly & Co

COM

–

532457·10·8

0.05%

642

Sh.

149.53

Sole

–

Sole

–

Empire State Realty Trust Inc

CL A

–

292104·10·6

488

0.24%

73,894

Sh.

6.60

Sole

–

Sole

–

Enbridge, Inc.

COM

–

29250N·10·5

0.00%

110

Sh.

≈36.36

Sole

–

Sole

–

Equifax, Inc.

COM

–

294429·10·5

0.00%

Sh.

≈200.00

Sole

–

Sole

–

Equinix Inc

COM PAR $0.001

–

29444U·70·0

0.01%

Sh.

800.00

Sole

–

Sole

–

Eversource Energy

COM

–

30040W·10·8

0.00%

Sh.

≈111.11

Sole

–

Sole

–

EVERTEC Inc

COM

–

30040P·10·3

476

0.23%

16,956

Sh.

28.07

Sole

–

Sole

–

Facebook, Inc.

CL A

–

30303M·10·2

0.01%

Sh.

245.28

Sole

–

Sole

–

First BanCorp/Puerto Rico

COM NEW

–

318672·70·6

1,618

0.79%

289,477

Sh.

5.59

Sole

–

Sole

–

First Tr Inter Dur Pfd & In

COM

–

33718W·10·3

1,728

0.85%

78,891

Sh.

21.90

Sole

–

Sole

–

First Trust Aberdeen Global Opportunity Income Fund

COM SHS

–

337319·10·7

0.02%

4,276

Sh.

10.52

Sole

–

Sole

–

First Trust High Income Long/Short Fund

COM

–

33738E·10·9

893

0.44%

63,671

Sh.

14.03

Sole

–

Sole

–

Firsthand Technology Value Fund, Inc.

COM

–

33766Y·10·0

172

0.08%

35,166

Sh.

4.89

Sole

–

Sole

–

Fomento Economico Mexicano SAB de CV

SPON ADR UNITS

–

344419·10·6

906

0.44%

14,610

Sh.

62.01

Sole

–

Sole

–

Forum Merger II Corp. Cl A

CL A

–

34986F·10·3

0.01%

2,000

Sh.

14.50

Sole

–

Sole

–

Franklin Unvl Tr

SH BEN INT

–

355145·10·3

106

0.05%

15,168

Sh.

6.99

Sole

–

Sole

–

Fresh Del Monte Produce Inc

ORD

–

G36738·10·5

1,203

0.59%

48,850

Sh.

24.63

Sole

–

Sole

–

Gabelli Equity Trust Inc

COM

–

362397·10·1

0.01%

5,937

Sh.

5.05

Sole

–

Sole

–

General American Investors Co Inc

COM

–

368802·10·4

2,421

1.19%

72,927

Sh.

33.20

Sole

–

Sole

–

GoDaddy, Inc.

CL A

–

380237·10·7

0.00%

Sh.

≈62.50

Sole

–

Sole

–

Goldman Sachs Group, Inc. (The)

COM

–

38141G·10·4

0.00%

Sh.

≈142.86

Sole

–

Sole

–

Graf Industrial Corp

W EXP 12/31/202

–

384278·11·5

0.00%

5,000

Sh.

2.00

Sole

–

Sole

–

Grupo Aeroportuario del Sureste SAB de CV

SPON ADR SER B

–

40051E·20·2

741

0.36%

6,600

Sh.

112.27

Sole

–

Sole

–

Grupo Televisa SAB

SPON ADR REP ORD

–

40049J·20·6

149

0.07%

28,400

Sh.

5.25

Sole

–

Sole

–

Highland Floating Rate Opportunities Fund

SHS BEN INT

–

43010E·40·4

18,756

9.19%

2,315,558

Sh.

8.10

Shared

1,962,297

353,261

–

Hilton, Inc

COM

–

43300A·20·3

0.00%

Sh.

≈80.00

Sole

–

Sole

–

Honeywell Intl, Inc.

COM

–

438516·10·6

0.01%

Sh.

148.15

Sole

–

Sole

–

ICICI Bank Ltd

ADR

–

45104G·10·4

0.00%

845

Sh.

≈9.47

Sole

–

Sole

–

IDEX Corp.

COM

–

45167R·10·4

0.00%

Sh.

≈176.47

Sole

–

Sole

–

Illinois Tool Works, Inc.

COM

–

452308·10·9

0.00%

Sh.

≈200.00

Sole

–

Sole

–

Incyte Corp

COM

–

45337C·10·2

0.01%

266

Sh.

97.74

Sole

–

Sole

–

Inovio Pharmaceuticals Inc

COM NEW

–

45773H·20·1

0.05%

5,000

Sh.

19.40

Sole

–

Sole

–

Insulet Corp.

COM

–

45784P·10·1

0.00%

Sh.

≈181.82

Sole

–

Sole

–

Intel Corp.

COM

–

458140·10·0

0.00%

Sh.

≈35.71

Sole

–

Sole

–

Intercontinental Exchange Group, Inc.

COM

–

45866F·10·4

0.00%

Sh.

≈95.24

Sole

–

Sole

–

InterContinental Hotels Group plc ADR

SPONSORED ADR

–

45857P·80·6

0.00%

Sh.

≈60.61

Sole

–

Sole

–

Intuitive Surgical, Inc.

COM

–

46120E·60·2

0.00%

Sh.

≈727.27

Sole

–

Sole

–

Invesco Dynamic Credit Opportunities Fund

COM

–

46132R·10·4

977

0.48%

109,280

Sh.

8.94

Sole

–

Sole

–

Invesco QQQ Tr

UNIT SER 1

–

46090E·10·3

0.04%

270

Sh.

266.67

Sole

–

Sole

–

iShares Nasdaq Biotechnology ETF

NASDAQ BIOTECH

–

464287·55·6

746

0.37%

5,550

Sh.

134.41

Sole

–

Sole

–

Ishares Tr 13 Yr

1 3 YR TREAS BD

–

464287·45·7

648

0.32%

7,481

Sh.

86.62

Sole

–

Sole

–

iShares U.S. Medical Devices ETF

U.S. MED DVC ETF

–

464288·81·0

679

0.33%

2,316

Sh.

293.18

Sole

–

Sole

–

Itau Unibanco Holding S.A.

SPON ADR REP PFD

–

465562·10·6

0.00%

1,119

Sh.

≈5.36

Sole

–

Sole

–

Japan Smaller Capitalization Fund Inc

COM

–

47109U·10·4

0.00%

321

Sh.

≈6.23

Sole

–

Sole

–

Johnson & Johnson

COM

–

478160·10·4

0.00%

Sh.

≈138.46

Sole

–

Sole

–

JPMorgan Chase & Co

COM

–

46625H·10·0

0.01%

186

Sh.

96.77

Sole

–

Sole

–

Karyopharm Therapeutics Inc

COM

–

48576U·10·6

0.01%

1,500

Sh.

16.00

Sole

–

Sole

–

Lennar Corp

CL A

–

526057·10·4

1,140

0.56%

18,500

Sh.

61.62

Sole

–

Sole

–

Liberty All Star Equity Fund

SH BEN INT

–

530158·10·4

0.01%

4,971

Sh.

5.83

Sole

–

Sole

–

Liberty All Star Growth Fund Inc

COM

–

529900·10·2

0.02%

5,548

Sh.

7.21

Sole

–

Sole

–

Linde plc

SHS

–

G5494J·10·3

0.00%

Sh.

≈200.00

Sole

–

Sole

–

LivaNova PLC

SHS

–

G5509L·10·1

388

0.19%

8,330

Sh.

46.58

Sole

–

Sole

–

Lockheed Martin Corp.

COM

–

539830·10·9

0.01%

Sh.

387.10

Sole

–

Sole

–

LyondellBasell Industries N.V. Class A

SHS – A –

–

N53745·10·0

0.00%

Sh.

≈55.56

Sole

–

Sole

–

Marriott Vacations Worldwide Corp

COM

–

57164Y·10·7

555

0.27%

6,745

Sh.

82.28

Sole

–

Sole

–

Marsh & McLennan Companies, Inc.

COM

–

571748·10·2

0.00%

Sh.

≈117.65

Sole

–

Sole

–

Martin Marietta Materials Inc

COM

–

573284·10·6

620

0.30%

3,000

Sh.

206.67

Sole

–

Sole

–

Marvell Technology Group Ltd

ORD SHS

–

G5876H·10·5

0.01%

305

Sh.

36.07

Sole

–

Sole

–

MasTec Inc

COM

–

576323·10·9

4,590

2.25%

102,297

Sh.

44.87

Sole

–

Sole

–

MasterCard, Inc.

CL A

–

57636Q·10·4

0.01%

Sh.

305.08

Sole

–

Sole

–

Maxim Integrated Products, Inc.

COM

–

57772K·10·1

0.00%

Sh.

≈71.43

Sole

–

Sole

–

McDonald’s Corp

COM

–

580135·10·1

0.00%

Sh.

≈190.48

Sole

–

Sole

–

Medley Capital Corporation

COM

–

58503F·50·2

1,447

0.71%

102,371

Sh.

14.13

Sole

–

Sole

–

Medtronic plc

SHS

–

G5960L·10·3

0.00%

Sh.

≈95.89

Sole

–

Sole

–

MercadoLibre, Inc.

COM

–

58733R·10·2

0.00%

Sh.

≈1,000.00

Sole

–

Sole

–

Merck & Co Inc

COM

–

58933Y·10·5

223

0.11%

2,776

Sh.

80.33

Sole

–

Sole

–

MFS High Yield Municipal Trust

SH BEN INT

–

59318E·10·2

0.03%

12,637

Sh.

4.35

Sole

–

Sole

–

MFS Investment Grade Municipal Trust

SH BEN INT

–

59318B·10·8

720

0.35%

73,658

Sh.

9.77

Sole

–

Sole

–

MFS Municipal Income Trust

SH BEN INT

–

552738·10·6

121

0.06%

18,322

Sh.

6.60

Sole

–

Sole

–

Microsoft Corp

COM

–

594918·10·4

0.01%

124

Sh.

201.61

Sole

–

Sole

–

Mondelez International, Inc.

CL A

–

609207·10·5

0.02%

887

Sh.

55.24

Sole

–

Sole

–

Moody’s Corp.

COM

–

615369·10·5

0.00%

Sh.

≈266.67

Sole

–

Sole

–

Morgan Stanley India Investment Fund Inc

COM

–

61745C·10·5

0.00%

211

Sh.

≈18.96

Sole

–

Sole

–

MorphoSys AG

SPONSORED ADR

–

66987V·10·9

101

0.05%

1,232

Sh.

81.98

Sole

–

Sole

–

Novo Nordisk A/S ADR

ADR

–

670100·20·5

0.00%

Sh.

≈64.52

Sole

–

Sole

–

Nuveen Amt – Free Mun Value Fd

COM

–

670695·10·5

0.04%

5,000

Sh.

16.40

Sole

–

Sole

–

Nuveen AMT-Free Quality Municipal Income Fund

COM

–

670657·10·5

168

0.08%

11,528

Sh.

14.57

Sole

–

Sole

–

Nuveen Core Equity Alpha Fund

COM

–

67090X·10·7

0.02%

2,769

Sh.

12.64

Sole

–

Sole

–

Nuveen Credit Strategies Income Fund

COM SHS

–

67073D·10·2

10,088

4.94%

1,715,643

Sh.

5.88

Shared

1,478,700

236,943

–

Nuveen Mortgage and Income Fund

COM

–

670735·10·9

161

0.08%

8,508

Sh.

18.92

Sole

–

Sole

–

Nuveen Multi-Market Income Fund Inc

COM

–

67075J·10·7

0.02%

6,719

Sh.

6.85

Sole

–

Sole

–

Nuveen Muni High Income Opp Fund

COM

–

670682·10·3

167

0.08%

12,335

Sh.

13.54

Sole

–

Sole

–

Nuveen Municipal Credit Opp Fund

COM

–

670663·10·3

0.04%

6,372

Sh.

12.87

Sole

–

Sole

–

Nuveen NASDAQ 100 Dynamic Overwrite Fund

COM SHS

–

670699·10·7

0.02%

1,818

Sh.

24.20

Sole

–

Sole

–

Nuveen New Jersey Quality Municipal Income Fund

COM

–

67069Y·10·2

0.04%

6,456

Sh.

13.79

Sole

–

Sole

–

Nuveen Ohio Qlty Mun Income

COM

–

670980·10·1

234

0.11%

15,331

Sh.

15.26

Sole

–

Sole

–

Nuveen Pfd Securities Income Fund

COM

–

67072C·10·5

0.03%

6,781

Sh.

9.14

Sole

–

Sole

–

Nuveen Quality Municipal Income Fund

COM

–

67066V·10·1

309

0.15%

21,100

Sh.

14.64

Sole

–

Sole

–

Nuveen Real Asset Income and Growth Fund

COM

–

67074Y·10·5

224

0.11%

18,344

Sh.

12.21

Sole

–

Sole

–

OFS Credit Company Inc

COM

–

67111Q·10·7

504

0.25%

58,769

Sh.

8.58

Sole

–

Sole

–

ON Semiconductor Corporation

COM

–

682189·10·5

0.01%

1,149

Sh.

20.89

Sole

–

Sole

–

Opes Acquisition Corp.

COM

–

68373P·10·0

0.00%

500

Sh.

≈12.00

Sole

–

Sole

–

Otis Worldwide Corp

COM

–

68902V·10·7

0.01%

269

Sh.

63.20

Sole

–

Sole

–

Oxford Square Capital Corp.

COM

–

69181V·10·7

141

0.07%

50,759

Sh.

2.78

Sole

–

Sole

–

Paychex, Inc

COM

–

704326·10·7

0.00%

102

Sh.

≈68.63

Sole

–

Sole

–

PayPal Holdings, Inc.

COM

–

70450Y·10·3

0.03%

351

Sh.

196.58

Sole

–

Sole

–

PepsiCo, Inc.

COM

–

713448·10·8

0.01%

Sh.

141.18

Sole

–

Sole

–

PGIM Global Short Duration High Yield Fund, Inc.

COM

–

69346J·10·6

8,771

4.30%

665,465

Sh.

13.18

Shared

530,284

135,181

–

PGIM Short Duration High Yield Fund, Inc.

COM

–

69346H·10·0

8,604

4.22%

628,021

Sh.

13.70

Shared

486,223

141,798

–

PGT Innovations Inc

COM

–

69336V·10·1

1,209

0.59%

77,117

Sh.

15.68

Sole

–

Sole

–

Phillips 66

COM

–

718546·10·4

0.00%

Sh.

≈52.63

Sole

–

Sole

–

PIMCO California Municipal Income Fund III

COM

–

72201C·10·9

116

0.06%

10,814

Sh.

10.73

Sole

–

Sole

–

PIMCO Dynamic Credit and Mortgage Income Fund

COM SHS

–

72202D·10·6

2,684

1.32%

138,436

Sh.

19.39

Sole

–

Sole

–

PIMCO Enhanced Short Maturity Active Exchange-Traded Fund

ENHAN SHRT MA AC

–

72201R·83·3

550

0.27%

5,400

Sh.

101.85

Sole

–

Sole

–

PIMCO Global StocksPLS Inc.

COM

–

722011·10·3

0.00%

589

Sh.

≈8.49

Sole

–

Sole

–

PIMCO High Income Fund

COM SHS

–

722014·10·7

1,181

0.58%

228,027

Sh.

5.18

Shared

128,027

100,000

–

Pimco New York Municipal Income Fund II

COM

–

72200Y·10·2

368

0.18%

33,841

Sh.

10.87

Sole

–

Sole

–

PIMCO NY Municipal Income Fd

COM

–

72200T·10·3

0.03%

5,966

Sh.

11.90

Shared

–

Shared

–

PIMCO Strategic Income Fd

COM

–

72200X·10·4

158

0.08%

24,363

Sh.

6.49

Sole

–

Sole

–

Pioneer Diversified High Income Trust

COM

–

723653·10·1

0.01%

2,141

Sh.

12.61

Sole

–

Sole

–

Pioneer Municipal High Income Advantage Trust

COM

–

723762·10·0

2,801

1.37%

249,160

Sh.

11.24

Shared

208,683

40,477

–

Pioneer Municipal High Income Trust

COM SHS

–

723763·10·8

352

0.17%

29,344

Sh.

12.00

Sole

–

Sole

–

Popular Inc

COM NEW

–

733174·70·0

2,053

1.01%

55,230

Sh.

37.17

Sole

–

Sole

–

Principal Real Estate Income Fund

SHS BEN INT

–

74255X·10·4

211

0.10%

18,112

Sh.

11.65

Sole

–

Sole

–

Procter & Gamble Co. (The)

COM

–

742718·10·9

0.00%

Sh.

≈129.03

Sole

–

Sole

–

ProLogis, Inc.

COM

–

74340W·10·3

0.00%

Sh.

≈114.29

Sole

–

Sole

–

ProShares Short VIX Short-Term Futures ETF

SHT VIX ST TRM

–

74347W·13·0

0.00%

110

Sh.

≈36.36

Sole

–

Sole

–

ProShares UltraShort S&P50

ULTRASHRT S&P500

–

74347B·38·3

3,175

1.56%

184,385

Sh.

17.22

Sole

–

Sole

–

PTC Inc.

COM

–

69370C·10·0

0.00%

113

Sh.

88.50

Sole

–

Sole

–

Ranpak Hldgs Corp

COM CL A

–

75321W·10·3

0.01%

1,309

Sh.

8.40

Sole

–

Sole

–

Realty Income Corp.

COM

–

756109·10·4

0.00%

Sh.

≈54.55

Sole

–

Sole

–

Regeneron Pharmaceuticals, Inc.

COM

–

75886F·10·7

0.00%

Sh.

≈571.43

Sole

–

Sole

–

Restaurant Brands International Inc

COM

–

76131D·10·3

0.00%

Sh.

≈52.63

Sole

–

Sole

–

Rivernorth Doubleline Strate

COM

–

76882G·10·7

1,918

0.94%

134,602

Sh.

14.25

Shared

85,446

49,156

–

Rivernorth Managed Duration Municipal Income Fund Inc.

COM

–

76882H·10·5

190

0.09%

10,947

Sh.

17.36

Sole

–

Sole

–

Rivernorth Opportunistic Mun

COM

–

76883F·10·8

787

0.39%

36,895

Sh.

21.33

Sole

–

Sole

–

RMR Real Estate Income Fund

COM

–

76970B·10·1

1,700

0.83%

148,366

Sh.

11.46

Sole

–

Sole

–

Rogers Communications Inc

CL B

–

775109·20·0

0.01%

573

Sh.

40.14

Sole

–

Sole

–

Royal Caribbean Cruises Ltd

COM

–

V7780T·10·3

1,767

0.87%

35,120

Sh.

50.31

Sole

–

Sole

–

ROYAL DUTCH SHELL PLC

SPON ADR B

–

780259·10·7

0.04%

Sh.

1,075.00

Sole

–

Sole

–

Royce Value Trust Inc

COM

–

780910·10·5

374

0.18%

28,544

Sh.

13.10

Sole

–

Sole

–

Ryanair Holdings plc ADR

SPONSORED ADR

–

835699·30·7

0.03%

763

Sh.

77.33

Sole

–

Sole

–

Source Capital Inc

COM

–

836144·10·5

957

0.47%

26,689

Sh.

35.86

Sole

–

Sole

–

SPDR S&P 500 ETF Tr

TR UNIT

–

78462F·10·3

0.04%

220

Sh.

327.27

Sole

–

Sole

–

SPDR S&P MidCap 400 ETF Tr

UTSER1 S&PDCRP

–

78467Y·10·7

0.02%

150

Sh.

340.00

Sole

–

Sole

–

SPDR Ser Tr

SPDR BLOOMBERG

–

78468R·66·3

1,000

0.49%

10,919

Sh.

91.58

Sole

–

Sole

–

Sprott Physical Gold and Silver Trust

TR UNIT

–

85208R·10·1

135

0.07%

8,000

Sh.

16.88

Sole

–

Sole

–

Starbucks Corp.

COM

–

855244·10·9

0.00%

110

Sh.

≈72.73

Sole

–

Sole

–

Sutter Rock Cap Corp

COM

–

86887Q·10·9

202

0.10%

16,000

Sh.

12.63

Sole

–

Sole

–

Taiwan Semiconductor Manufacturing Company Limited

SPONSORED ADR

–

874039·10·0

0.01%

187

Sh.

80.21

Sole

–

Sole

–

Takeda Pharmaceutical Co Ltd

SPONSORED ADR

–

874060·20·5

0.04%

4,000

Sh.

18.25

Sole

–

Sole

–

TCW Strategic Income Fund Inc

COM

–

872340·10·4

0.01%

2,000

Sh.

6.00

Sole

–

Sole

–

Templeton Emerging Markets Fund

COM

–

880191·10·1

0.00%

238

Sh.

≈16.81

Sole

–

Sole

–

Tesla Inc

COM

–

88160R·10·1

0.01%

Sh.

1,428.57

Sole

–

Sole

–

Texas Instruments, Inc

COM

–

882508·10·4

0.01%

111

Sh.

126.13

Sole

–

Sole

–

The European Equity Fund Inc

COM

–

298768·10·2

0.00%

617

Sh.

≈8.10

Sole

–

Sole

–

The Gabelli Dividend & Income Trust

COM

–

36242H·10·4

0.01%

1,260

Sh.

18.25

Sole

–

Sole

–

The GDL Fund

COM SH BEN IT

–

361570·10·4

0.02%

4,531

Sh.

8.17

Sole

–

Sole

–

The Herzfeld Caribbean Basin Fund Inc

COM

–

42804T·10·6

1,702

0.83%

489,193

Sh.

3.48

Sole

–

Sole

–

The Home Depot Inc

COM

–

437076·10·2

0.01%

Sh.

262.30

Sole

–

Sole

–

The India Fund Inc

COM

–

454089·10·3

0.00%

215

Sh.

≈13.95

Sole

–

Sole

–

The Korea Fund Inc

COM NEW

–

500634·20·9

0.00%

Sh.

≈23.53

Sole

–

Sole

–

The Mexico Fund, Inc.

COM

–

592835·10·2

0.00%

309

Sh.

≈9.71

Sole

–

Sole

–

The New Germany Fund Inc

COM

–

644465·10·6

0.00%

648

Sh.

15.43

Sole

–

Sole

–

The New Ireland Fund Inc

COM

–

645673·10·4

0.00%

605

Sh.

≈8.26

Sole

–

Sole

–

The PNC Financial Services Group Inc

COM

–

693475·10·5

0.00%

Sh.

≈100.00

Sole

–

Sole

–

Thermo Fisher Scientific, Inc.

COM

–

883556·10·2

0.00%

Sh.

≈428.57

Sole

–

Sole

–

Tri-Continental Corp

COM

–

895436·10·3

102

0.05%

3,947

Sh.

25.84

Sole

–

Sole

–

Trimble, Inc.

COM

–

896239·10·0

0.00%

Sh.

≈50.00

Sole

–

Sole

–

Trip.com Group Ltd ADR

ADS

–

89677Q·10·7

0.00%

Sh.

≈20.83

Sole

–

Sole

–

Truist Financial Corp

COM

–

89832Q·10·9

0.00%

221

Sh.

≈36.20

Sole

–

Sole

–

U.S. Bancorp

COM

–

902973·30·4

0.00%

112

Sh.

≈35.71

Sole

–

Sole

–

Unilever N.V.

N Y SHS NEW

–

904784·70·9

0.02%

831

Sh.

58.97

Sole

–

Sole

–

United States Oil Fund LP

UNITS

–

91232N·20·7

0.02%

1,250

Sh.

28.80

Sole

–

Sole

–

UnitedHealth Group Inc

COM

–

91324P·10·2

0.03%

225

Sh.

302.22

Sole

–

Sole

–

Vale SA

ADR

–

91912E·10·5

0.00%

271

Sh.

≈11.07

Sole

–

Sole

–

VanEck Vectors Gold Miners ETF

GOLD MINERS ETF

–

92189F·10·6

112

0.05%

3,059

Sh.

36.61

Sole

–

Sole

–

Verizon Communications Inc

COM

–

92343V·10·4

0.00%

120

Sh.

≈58.33

Sole

–

Sole

–

Vertex Pharmaceuticals, Inc.

COM

–

92532F·10·0

0.00%

Sh.

≈285.71

Sole

–

Sole

–

Vertical Capital Income Fund

SHS BEN INT

–

92535C·10·4

2,279

1.12%

235,680

Sh.

9.67

Sole

–

Sole

–

Viacom Inc.

COM

–

925550·10·5

0.01%

829

Sh.

13.27

Sole

–

Sole

–

Virgin Galactic Holdings, Inc.

COM

–

92766K·10·6

0.02%

1,500

Sh.

22.67

Sole

–

Sole

–

Virtus Total Return Fund Inc.

COM

–

92835W·10·7

0.01%

1,453

Sh.

8.26

Sole

–

Sole

–

Visa Inc

COM CL A

–

92826C·83·9

0.00%

Sh.

≈194.44

Sole

–

Sole

–

Vivint Smart Home Inc.

W EXP 01/17/202

–

928542·11·7

0.01%

4,000

Sh.

4.25

Sole

–

Sole

–

Vodafone Group plc ADR

SPONSORED ADR

–

92857W·30·8

0.01%

816

Sh.

14.71

Sole

–

Sole

–

Vulcan Materials Co

COM

–

929160·10·9

579

0.28%

5,000

Sh.

115.80

Sole

–

Sole

–

WEC Energy Group, Inc.

COM

–

92939U·10·6

0.00%

Sh.

≈100.00

Sole

–

Sole

–

Wells Fargo Advantage Multi-Sector Income Fund

COM

–

94987D·10·1

0.02%

2,953

Sh.

11.18

Sole

–

Western Assest Intm Muni Fd

COM

–

958435·10·9

305

0.15%

34,163

Sh.

8.93

Sole

–

Sole

–

Western Asset High Incm Fd

COM

–

95766J·10·2

2,280

1.12%

348,617

Sh.

6.54

Sole

–

Sole

–

Western Asset Mortgage Opp Fund Inc.

COM

–

95790B·10·9

1,089

0.53%

76,897

Sh.

14.16

Shared

31,100

45,797

–

Western Asset Mun Hi Incm Fd

COM

–

95766N·10·3

519

0.25%

70,684

Sh.

7.34

Sole

–

Sole

–

Western Asset Municipal Partners Fund

COM

–

95766P·10·8

0.03%

3,793

Sh.

14.76

Sole

–

Sole

–

Western Asset/Claymore Inflation-Linked Opportunities & Income Fund

COM

–

95766R·10·4

1,783

0.87%

157,900

Sh.

11.29

Sole

–

Sole

–

Western Asset/Claymore Inflation-Linked Securities & Income Fund

COM SH BEN INT

–

95766Q·10·6

320

0.16%

25,291

Sh.

12.65

Sole

–

Sole

–

Whole Earth Brands, Inc.

COM CL A

–

96684W·10·0

0.00%

1,000

Sh.

≈7.00

Sole

–

Sole

–

XP Inc.

CL A

–

G98239·10·9

0.00%

134

Sh.

≈44.78

Sole

–

Sole

–

Zoetis Inc.

CL A

–

98978V·10·3

0.00%

Sh.

≈160.00

Sole

–

Sole

–

— 289 Issuers —

— 290 Issues —

— 290 Holdings: $204,031,000 —

— 2 Managersº —

____________
ª No market value of any Holding was adjusted.
º Other Included Managers with whom investment discretion is shared as to any Holding: 1 Other Included Manager...

Other Included Manager

Securities

Assets Managed

SEC File #

Related Manager

Issuers

Issues

Holdings

$1000s

Of Above

#1:

028-00085

Virtus Investment Advisers, Inc.

107,430

52.7%

See: Recent Holdings Reports for this and Related Money Managers

↑Top

Filing Submission 0001398344-20-015613 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Thomas J. Herzfeld Advisors, Inc. – ‘13F-HR’ for 6/30/20 – ‘INFO-TABLE’

On: Wednesday, 8/12/20, at 4:14pm ET · Effective: 8/12/20 · For: 6/30/20 · Accession #: 1398344-20-15613 · File #: 28-14375

Previous ‘13F-HR’: ‘13F-HR’ on 5/13/20 for 3/31/20 · Next: ‘13F-HR’ on 11/12/20 for 9/30/20 · Latest: ‘13F-HR’ on 2/14/24 for 12/31/23

Quarterly Holdings and Combination Report by a Money Manager — Form 13FFiling Table of Contents

‘INFO-TABLE’ — 13F Information Table — fp0056536_13fhr-table.xml

This ‘INFO-TABLE’ Document is an XML Data File that may be rendered in various formats:

Thomas J. Herzfeld Advisors, Inc. FL · Form 13F Holdings Report

§13(f) Securities Holdings · For: 6/30/20 · Assets: $204,031,000 · History: Assets Under Management

Quarterly Holdings and Combination Report by a Money Manager — Form 13F
Filing Table of Contents

Thomas J. Herzfeld Advisors, Inc.
FL
· Form 13F Holdings Report