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