Chief Compliance Officer

0001398344-13-005390.txt : 20131114 0001398344-13-005390.hdr.sgml : 20131114 20131114144805 ACCESSION NUMBER: 0001398344-13-005390 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20131114 DATE AS OF CHANGE: 20131114 EFFECTIVENESS DATE: 20131114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TRUST & FIDUCIARY MANAGEMENT SERVICES INC CENTRAL INDEX KEY: 0001141800 IRS NUMBER: 043522132 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06643 FILM NUMBER: 131219182 BUSINESS ADDRESS: STREET 1: 50 FEDERAL STREET, 6TH FLOOR CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 617-896-3689 MAIL ADDRESS: STREET 1: 50 FEDERAL STREET, 6TH FLOOR CITY: BOSTON STATE: MA ZIP: 02110 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001141800 XXXXXXXX 09-30-2013 09-30-2013 false TRUST & FIDUCIARY MANAGEMENT SERVICES INC

50 Federal Street, 6th floor Boston MA 02110

13F HOLDINGS REPORT 028-06643 N James L. Copell Chief Compliance Officer 617-896-3689 /s/ James L. Copell Boston MA 11-14-2013 0 115 134113 INFORMATION TABLE 2 fp0008676_13fhr-table.xml 13F INFORMATION TABLE ABBOTT LABS COM 002824100 34 1018 SH SOLE 0 0 1018 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 53 724 SH SOLE 0 0 724 AERCAP HOLDINGS NV SHS N00985106 55 2830 SH SOLE 0 0 2830 ALTISOURCE PORTFOLIO SOLNS S REG SHS L0175J104 57 409 SH SOLE 0 0 409 AMERICAN CAP LTD COM 02503Y103 30 2178 SH SOLE 0 0 2178 AMERICAN CAP MTG INVT CORP COM 02504A104 5552 280836 SH SOLE 0 0 280836 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 54 544 SH SOLE 0 0 544 APOLLO COML REAL EST FIN INC COM 03762U105 2685 175851 SH SOLE 0 0 175851 ARES CAP CORP COM 04010L103 5560 321561 SH SOLE 0 0 321561 AT&T INC COM 00206R102 4 121 SH SOLE 0 0 121 ATHENAHEALTH INC COM 04685W103 96 881 SH SOLE 0 0 881 AVENUE INCOME CR STRATEGIES COM 05358E106 3484 206273 SH SOLE 0 0 206273 AVG TECHNOLOGIES N V SHS N07831105 57 2382 SH SOLE 0 0 2382 AVON PRODS INC COM 054303102 33 1620 SH SOLE 0 0 1620 BECTON DICKINSON & CO COM 075887109 35 351 SH SOLE 0 0 351 BLACKROCK CORPOR HI YLD FD V COM 09255N102 2233 184201 SH SOLE 0 0 184201 BLACKROCK DEBT STRAT FD INC COM 09255R103 2394 595496 SH SOLE 0 0 595496 BLACKROCK KELSO CAPITAL CORP COM 092533108 5 520 SH SOLE 0 0 520 BP PLC SPONSORED ADR 055622104 30 719 SH SOLE 0 0 719 BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 5595 64538 SH SOLE 0 0 64538 BRISTOL MYERS SQUIBB CO COM 110122108 68 1464 SH SOLE 0 0 1464 CAPSTEAD MTG CORP COM NO PAR 14067E506 2188 185920 SH SOLE 0 0 185920 CHEVRON CORP NEW COM 166764100 24 200 SH SOLE 0 0 200 COCA COLA CO COM 191216100 27 700 SH SOLE 0 0 700 CVR PARTNERS LP COM 126633106 1854 104734 SH SOLE 0 0 104734 CVR REFNG LP COMUNIT REP LT 12663P107 2851 114305 SH SOLE 0 0 114305 DANAHER CORP DEL COM 235851102 36 524 SH SOLE 0 0 524 DIAGEO P L C SPON ADR NEW 25243Q205 49 387 SH SOLE 0 0 387 EATON CORP PLC SHS G29183103 63 909 SH SOLE 0 0 909 EATON VANCE LTD DUR INCOME F COM 27828H105 4470 285811 SH SOLE 0 0 285811 EMERSON ELEC CO COM 291011104 51 796 SH SOLE 0 0 796 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 5814 111659 SH SOLE 0 0 111659 ENI S P A SPONSORED ADR 26874R108 45 969 SH SOLE 0 0 969 EPR PPTYS COM SH BEN INT 26884U109 5573 114333 SH SOLE 0 0 114333 FIFTH STREET FINANCE CORP COM 31678A103 2718 264298 SH SOLE 0 0 264298 FIRST TR ABERDEEN GLBL OPP F COM SHS 337319107 2418 166197 SH SOLE 0 0 166197 FLY LEASING LTD SPONSORED ADR 34407D109 47 3351 SH SOLE 0 0 3351 FRONTIER COMMUNICATIONS CORP COM 35906A108 5319 1272493 SH SOLE 0 0 1272493 GARMIN LTD SHS H2906T109 42 937 SH SOLE 0 0 937 GROUPE CGI INC CL A SUB VTG 39945C109 53 1517 SH SOLE 0 0 1517 HARRIS CORP DEL COM 413875105 69 1161 SH SOLE 0 0 1161 HEWLETT PACKARD CO COM 428236103 46 2185 SH SOLE 0 0 2185 HOSPITALITY PPTYS TR COM SH BEN INT 44106M102 5425 191699 SH SOLE 0 0 191699 INDUSTRIAS BACHOCO S A B DE SPON ADR B 456463108 52 1312 SH SOLE 0 0 1312 INTERNATIONAL BUSINESS MACHS COM 459200101 38 203 SH SOLE 0 0 203 INVESCO MORTGAGE CAPITAL INC COM 46131B100 2617 170045 SH SOLE 0 0 170045 INVESCO MUNI INCOME OPP TRST COM 46132X101 496 78390 SH SOLE 0 0 78390 JPMORGAN CHASE & CO COM 46625H100 33 646 SH SOLE 0 0 646 KKR & CO L P DEL COM UNITS 48248M102 5510 267714 SH SOLE 0 0 267714 MARTIN MIDSTREAM PRTNRS L P UNIT L P INT 573331105 5 110 SH SOLE 0 0 110 MCDONALDS CORP COM 580135101 34 348 SH SOLE 0 0 348 MERCK & CO INC NEW COM 58933Y105 48 1014 SH SOLE 0 0 1014 MOODYS CORP COM 615369105 18 260 SH SOLE 0 0 260 MYLAN INC COM 628530107 47 1231 SH SOLE 0 0 1231 NAVIOS MARITIME PARTNERS L P UNIT LPI Y62267102 3556 242921 SH SOLE 0 0 242921 NIPPON TELEG & TEL CORP SPONSORED ADR 654624105 51 1974 SH SOLE 0 0 1974 NISKA GAS STORAGE PARTNERS L UNIT LTD LIABI 654678101 3340 216175 SH SOLE 0 0 216175 NORTHERN TIER ENERGY LP COM UN REPR PART 665826103 2271 115180 SH SOLE 0 0 115180 NOVARTIS A G SPONSORED ADR 66987V109 56 731 SH SOLE 0 0 731 NUSTAR ENERGY LP UNIT COM 67058H102 3031 75562 SH SOLE 0 0 75562 NUVEEN DIVER CURRENCY OPPOR COM 67090N109 2661 253944 SH SOLE 0 0 253944 NUVEEN PFD INCOME OPPRTNY FD COM 67073B106 2327 268082 SH SOLE 0 0 268082 NUVEEN PREM INCOME MUN FD 2 COM 67063W102 12 900 SH SOLE 0 0 900 OCH ZIFF CAP MGMT GROUP CL A 67551U105 2755 250670 SH SOLE 0 0 250670 PRUDENTIAL PLC ADR 74435K204 55 1466 SH SOLE 0 0 1466 PUTNAM MANAGED MUN INCOM TR COM 746823103 247 36180 SH SOLE 0 0 36180 PVR PARTNERS L P COM UNIT REPTG L 693665101 2451 105999 SH SOLE 0 0 105999 REED ELSEVIER N V SPONS ADR NEW 758204200 59 1477 SH SOLE 0 0 1477 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 40 611 SH SOLE 0 0 611 SANOFI RIGHT 12/31/2020 80105N113 0 100 SH SOLE 0 0 100 SANOFI SPONSORED ADR 80105N105 58 1146 SH SOLE 0 0 1146 SAP AG SPON ADR 803054204 49 658 SH SOLE 0 0 658 SEADRILL LIMITED SHS G7945E105 5561 123350 SH SOLE 0 0 123350 SENIOR HSG PPTYS TR SH BEN INT 81721M109 4716 202038 SH SOLE 0 0 202038 SHIP FINANCE INTERNATIONAL L SHS G81075106 2560 167670 SH SOLE 0 0 167670 SPDR GOLD TRUST GOLD SHS 78463V107 22 170 SH SOLE 0 0 170 SPECTRA ENERGY CORP COM 847560109 34 999 SH SOLE 0 0 999 STONEMOR PARTNERS L P COM UNITS 86183Q100 3040 128539 SH SOLE 0 0 128539 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 51 5253 SH SOLE 0 0 5253 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 45 2670 SH SOLE 0 0 2670 TARO PHARMACEUTICAL INDS LTD SHS M8737E108 63 833 SH SOLE 0 0 833 TE CONNECTIVITY LTD REG SHS H84989104 60 1161 SH SOLE 0 0 1161 TEEKAY LNG PARTNERS L P PRTNRSP UNITS Y8564M105 2956 67004 SH SOLE 0 0 67004 TOTAL S A SPONSORED ADR 89151E109 52 898 SH SOLE 0 0 898 TYCO INTERNATIONAL LTD SHS H89128104 31 885 SH SOLE 0 0 885 UNITED PARCEL SERVICE INC CL B 911312106 33 363 SH SOLE 0 0 363 VANGUARD NAT RES LLC COM UNIT 92205F106 5294 189224 SH SOLE 0 0 189224 WELLS FARGO ADVANTAGE MULTI COM SHS 94987D101 20 1400 SH SOLE 0 0 1400 WESTERN ASSET GLB HI INCOME COM 95766B109 2410 195182 SH SOLE 0 0 195182 WINDSTREAM HLDGS INC COM 97382A101 31 3846 SH SOLE 0 0 3846 WPP PLC NEW ADR 92937A102 69 669 SH SOLE 0 0 669 XINYUAN REAL ESTATE CO LTD SPONS ADR 98417P105 57 9452 SH SOLE 0 0 9452 ABBVIE INC COM 00287Y109 44 981 SH SOLE 0 0 981 ASTRAZENECA PLC SPONSORED ADR 046353108 47 902 SH SOLE 0 0 902 CITIGROUP INC COM NEW 172967424 39 807 SH SOLE 0 0 807 CONOCOPHILLIPS COM 20825C104 41 587 SH SOLE 0 0 587 COVIDIEN PLC SHS G2554F113 49 801 SH SOLE 0 0 801 EXXON MOBIL CORP COM 30231G102 79 922 SH SOLE 0 0 922 GENERAL ELECTRIC CO COM 369604103 56 2324 SH SOLE 0 0 2324 GIANT INTERACTIVE GROUP INC ADR 374511103 70 7690 SH SOLE 0 0 7690 INTEL CORP COM 458140100 41 1810 SH SOLE 0 0 1810 JOHNSON & JOHNSON COM 478160104 43 500 SH SOLE 0 0 500 MAGNACHIP SEMICONDUCTOR CORP COM 55933J203 58 2715 SH SOLE 0 0 2715 MASCO CORP COM 574599106 45 2100 SH SOLE 0 0 2100 MICROSOFT CORP COM 594918104 43 1290 SH SOLE 0 0 1290 NU SKIN ENTERPRISES INC CL A 67018T105 82 859 SH SOLE 0 0 859 PFIZER INC COM 717081103 37 1274 SH SOLE 0 0 1274 PROCTER & GAMBLE CO COM 742718109 46 605 SH SOLE 0 0 605 SPX CORP COM 784635104 42 496 SH SOLE 0 0 496 SYNGENTA AG SPONSORED ADR 87160A100 50 609 SH SOLE 0 0 609 THERMO FISHER SCIENTIFIC INC COM 883556102 51 552 SH SOLE 0 0 552 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 65 505 SH SOLE 0 0 505 VERIZON COMMUNICATIONS INC COM 92343V104 38 812 SH SOLE 0 0 812 PROSPECT CAPITAL CORPORATION COM 74348T102 5391 482664 SH SOLE 0 0 482664 WHITESTONE REIT COM 966084204 1338 90840 SH SOLE 0 0 90840