0001085146-20-002018.txt : 20200806
0001085146-20-002018.hdr.sgml : 20200806
20200805194958
ACCESSION NUMBER: 0001085146-20-002018
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200630
FILED AS OF DATE: 20200806
DATE AS OF CHANGE: 20200805
EFFECTIVENESS DATE: 20200806
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: SHUFRO ROSE & CO LLC
CENTRAL INDEX KEY: 0000908195
IRS NUMBER: 135390713
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-04541
FILM NUMBER: 201079320
BUSINESS ADDRESS:
STREET 1: 600 LEXINGTON AVENUE
STREET 2: 15TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-754-5111
MAIL ADDRESS:
STREET 1: 600 LEXINGTON AVENUE
STREET 2: 15TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER COMPANY:
FORMER CONFORMED NAME: SHUFRO ROSE EHRMAN
DATE OF NAME CHANGE: 19930624
13F-HR
1
primary_doc.xml
13F-HR
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false
false
false
0000908195
XXXXXXXX
06-30-2020
06-30-2020
false
SHUFRO ROSE & CO LLC
600 Lexington Avenue
15th Floor
NEW YORK
NY
10022
13F HOLDINGS REPORT
028-04541
N
Steven J. Glass
Managing Director
212-754-5100
/s/ Steven J. Glass
New York
NY
08-04-2020
0
287
1013259
INFORMATION TABLE
2
infotable.xml
INFORMATION TABLE
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COM
00206R102
388
12848
SH
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BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
21451
120165
SH
SOLE
0
0
120165
NUVEEN NEW YORK QLT MUN INC
COM
67066X107
175
13000
SH
SOLE
0
0
13000
ACACIA RESH CORP
ACACIA TCH COM
003881307
74
18015
SH
SOLE
0
0
18015
VANGUARD WORLD FD
ESG US STK ETF
921910733
327
5800
SH
SOLE
0
0
5800
KENNAMETAL INC
COM
489170100
9072
315971
SH
SOLE
0
0
315971
NATIONAL WESTN LIFE GROUP IN
CL A
638517102
10393
51149
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SOLE
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0
51149
REGENERON PHARMACEUTICALS
COM
75886F107
374
600
SH
SOLE
0
0
600
SEABOARD CORP
COM
811543107
640
218
SH
SOLE
0
0
218
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
5346
20
SH
SOLE
0
0
20
TRI POINTE GROUP INC
COM
87265H109
1454
98950
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REALTY INCOME CORP
COM
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399
6700
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ABB LTD
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232253
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232253
GENERAL MLS INC
COM
370334104
2846
46167
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WENDYS CO
COM
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103004
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AMETEK INC
COM
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382
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BOEING CO
COM
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672
3667
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MAGAL SECURITY SYS LTD
ORD
M6786D104
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17835
A MARK PRECIOUS METALS INC
COM
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KELLY SVCS INC
CL A
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NOVARTIS AG
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PIMCO INCOME STRATEGY FD
COM
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JOHNSON CTLS INTL PLC
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UNION PAC CORP
COM
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STARBUCKS CORP
COM
855244109
11196
152139
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152139
PDC ENERGY INC
COM
69327R101
554
44500
SH
SOLE
0
0
44500
INVESCO MUN OPPORTUNITY TR
COM
46132C107
184
15500
SH
SOLE
0
0
15500
ARTS WAY MFG INC
COM
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44
18784
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PACIFIC ETHANOL INC
COM
69423U305
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10000
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WALMART INC
COM
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311
2597
SH
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0
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NVIDIA CORPORATION
COM
67066G104
488
1285
SH
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EATON VANCE SR FLTNG RTE TR
COM
27828Q105
328
29000
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29000
NUVEEN PFD & INCOME OPPORTUN
COM
67073B106
82
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LIBERTY MEDIA CORP DEL
COM C SIRIUSXM
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6404
185887
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185887
MFS INTER INCOME TR
SH BEN INT
55273C107
380
102690
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0
102690
CHENIERE ENERGY INC
COM NEW
16411R208
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LIBERTY MEDIA CORP DEL
COM A SIRIUSXM
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52855
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OPKO HEALTH INC
COM
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197
57700
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SYNCHRONY FINANCIAL
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1045
47175
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FIRST TR SR FLG RTE INCM FD
COM
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314
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SONOCO PRODS CO
COM
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18306
350092
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UNITED PARCEL SERVICE INC
CL B
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637
5725
SH
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ISHARES TR
CORE MSCI TOTAL
46432F834
466
8548
SH
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FACEBOOK INC
CL A
30303M102
557
2455
SH
SOLE
0
0
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SANDERSON FARMS INC
COM
800013104
5229
45116
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AMERICAN FINL GROUP INC OHIO
COM
025932104
247
3900
SH
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ILLINOIS TOOL WKS INC
COM
452308109
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SH
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MCKESSON CORP
COM
58155Q103
414
2700
SH
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CITIGROUP INC
COM NEW
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CHEVRON CORP NEW
COM
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ISHARES TR
RESIDNL REAL EST
464288562
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TOWNSQUARE MEDIA INC
CL A
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ONESPAWORLD HOLDINGS LIMITED
COM
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BLACKROCK MUNIYIELD N Y QUAL
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L3HARRIS TECHNOLOGIES INC
COM
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840
4950
SH
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MORGAN STANLEY
COM NEW
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374
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SH
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ALLEGHANY CORP DEL
COM
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26254
SH
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APPLE INC
COM
037833100
547
1500
SH
Put
SOLE
0
0
1500
UMH PPTYS INC
COM
903002103
1283
99250
SH
SOLE
0
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99250
BUILDERS FIRSTSOURCE INC
COM
12008R107
1712
82700
SH
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0
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ORBCOMM INC
COM
68555P100
139
36100
SH
SOLE
0
0
36100
BLACKROCK CAP INVT CORP
COM
092533108
55
20500
SH
SOLE
0
0
20500
AMERICAN NATL INS CO
COM
028591105
908
12603
SH
SOLE
0
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PURE STORAGE INC
CL A
74624M102
1052
60700
SH
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ALPHABET INC
CAP STK CL A
02079K305
611
431
SH
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INVESCO EXCH TRD SLF IDX FD
BULSHS 2020 CB
46138J502
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MERCER INTL INC
COM
588056101
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182900
M & T BK CORP
COM
55261F104
369
3550
SH
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0
3550
EATON VANCE MUNI INCOME TRUS
SH BEN INT
27826U108
125
10000
SH
SOLE
0
0
10000
GENERAL MTRS CO
COM
37045V100
1780
70354
SH
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0
70354
XYLEM INC
COM
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1230
18938
SH
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0
0
18938
UNIVERSAL STAINLESS & ALLOY
COM
913837100
122
14197
SH
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VOYA PRIME RATE TR
SH BEN INT
92913A100
908
223000
SH
SOLE
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GENCOR INDS INC
COM
368678108
298
23608
SH
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HURCO COMPANIES INC
COM
447324104
324
11600
SH
SOLE
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NUVEEN MUN VALUE FD INC
COM
670928100
143
14000
SH
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14000
WIRELESS TELECOM GROUP INC
COM
976524108
23
22726
SH
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GOLDMAN SACHS ETF TR
EQUAL WEIGHT US
381430438
3712
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PUBLIC SVC ENTERPRISE GRP IN
COM
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474
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CORNING INC
COM
219350105
40039
1545924
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ISHARES TR
CORE US AGGBD ET
464287226
483
4086
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COHEN & STEERS INFRASTRUCTUR
COM
19248A109
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SCHNITZER STL INDS
CL A
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SOLE
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VILLAGE SUPER MKT INC
CL A NEW
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806
29078
SH
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29078
ENBRIDGE INC
COM
29250N105
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SH
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ISHARES TR
USA QUALITY FCTR
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SENECA FOODS CORP NEW
CL A
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PUTNAM PREMIER INCOME TR
SH BEN INT
746853100
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DANA INCORPORATED
COM
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SH
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II-VI INC
COM
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ARES CAPITAL CORP
COM
04010L103
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ALLIANCEBERNSTEIN GLOBAL HIG
COM
01879R106
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VISA INC
COM CL A
92826C839
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SH
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1073
TESLA INC
COM
88160R101
842
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SH
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DUPONT DE NEMOURS INC
COM
26614N102
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ISHARES TR
CORE S&P SCP ETF
464287804
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ISHARES TR
RUS 1000 GRW ETF
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LINCOLN NATL CORP IND
COM
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DOMINION ENERGY INC
COM
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GOLDMAN SACHS ETF TR
ACES ULTRA SHR
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ABERDEEN ASIA-PACIFIC INCOME
COM
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MERCK & CO. INC
COM
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SONOS INC
COM
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SH
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S&P GLOBAL INC
COM
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CVS HEALTH CORP
COM
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INVESCO QQQ TR
UNIT SER 1
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401
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CERUS CORP
COM
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SH
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PHILLIPS 66
COM
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234
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SH
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TERADYNE INC
COM
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MERITAGE HOMES CORP
COM
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UNITEDHEALTH GROUP INC
COM
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HONEYWELL INTL INC
COM
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283
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CLOROX CO DEL
COM
189054109
219
1000
SH
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0
0
1000
FINJAN HLDGS INC
COM NEW
31788H303
72
46500
SH
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0
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ABBVIE INC
COM
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INGREDION INC
COM
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SH
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APPLE INC
COM
037833100
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SH
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MONMOUTH REAL ESTATE INVT CO
CL A
609720107
893
61600
SH
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SPDR SER TR
S&P BIOTECH
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952
8505
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0
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MANHATTAN BRIDGE CAPITAL INC
COM
562803106
532
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SH
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PUTNAM MASTER INTER INCOME T
SH BEN INT
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45
11000
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0
11000
SPDR GOLD TR
GOLD SHS
78463V107
222
1325
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SOLE
0
0
1325
PERMA PIPE INTL HLDGS INC
COM
714167103
340
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SH
SOLE
0
0
60591
LIBERTY BROADBAND CORP
COM SER C
530307305
1793
14465
SH
SOLE
0
0
14465
PIMCO INCOME STRATEGY FD II
COM
72201J104
311
35650
SH
SOLE
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0
35650
BLACKROCK MUNIYIELD ARIZ FD
COM
09254K109
141
10000
SH
SOLE
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0
10000
GOLDFIELD CORP
COM
381370105
875
235753
SH
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WESTERN ASSET MUN PARTNERS F
COM
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COMCAST CORP NEW
CL A
20030N101
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NORTONLIFELOCK INC
COM
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64638
SH
SOLE
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64638
VALERO ENERGY CORP
COM
91913Y100
306
5208
SH
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0
5208
RAYTHEON TECHNOLOGIES CORP
COM
75513E101
62
1000
SH
Put
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1000
HENRY SCHEIN INC
COM
806407102
1312
22475
SH
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0
22475
FEDEX CORP
COM
31428X106
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INTEL CORP
COM
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DISNEY WALT CO
COM DISNEY
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56135
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CHARTER COMMUNICATIONS INC N
CL A
16119P108
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BRISTOL-MYERS SQUIBB CO
COM
110122108
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COVETRUS INC
COM
22304C100
528
29500
SH
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0
0
29500
RAYTHEON TECHNOLOGIES CORP
COM
75513E101
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61092
SH
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0
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INVESCO EXCH TRD SLF IDX FD
BULSHS 2023 HY
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388
16200
SH
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16200
INVESCO EXCH TRD SLF IDX FD
BULSHS 2021 HY
46138J809
443
19533
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19533
INVESCO EXCH TRD SLF IDX FD
BULSHS 2024 CB
46138J841
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46319
180 DEGREE CAP CORP
COM
68235B109
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75006
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75006
FREQUENCY ELECTRS INC
COM
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CONSOLIDATED EDISON INC
COM
209115104
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VIACOMCBS INC
CL B
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17452
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NEW YORK CMNTY BANCORP INC
COM
649445103
373
36550
SH
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0
0
36550
DARLING INGREDIENTS INC
COM
237266101
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SH
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VERIZON COMMUNICATIONS INC
COM
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10318
SH
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0
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NETFLIX INC
COM
64110L106
425
935
SH
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EMERSON ELEC CO
COM
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SH
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SMUCKER J M CO
COM NEW
832696405
304
2877
SH
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AMGEN INC
COM
031162100
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63169
SH
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COHEN & STEERS QUALITY INCOM
COM
19247L106
140
12800
SH
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0
0
12800
ALASKA AIR GROUP INC
COM
011659109
54
1500
SH
Call
SOLE
0
0
1500
BIG LOTS INC
COM
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20100
SH
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ISHARES INC
MSCI EQUAL WEITE
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273
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NORWEGIAN CRUISE LINE HLDG L
SHS
G66721104
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27100
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27100
RESEARCH FRONTIERS INC
COM
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159750
SH
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MANITEX INTL INC
COM
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152500
SH
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152500
SALESFORCE COM INC
COM
79466L302
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48345
SH
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VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
207
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SANOFI
SPONSORED ADR
80105N105
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BELLICUM PHARMACEUTICALS INC
COM NEW
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SH
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KIMBERLY CLARK CORP
COM
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0
3000
BK OF AMERICA CORP
COM
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58971
PFIZER INC
COM
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85630
BRIXMOR PPTY GROUP INC
COM
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BECTON DICKINSON & CO
COM
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AMERICAN EXPRESS CO
COM
025816109
317
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SH
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0
0
3333
CBRE GROUP INC
CL A
12504L109
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19225
SH
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19225
NUVEEN ARIZONA QLTY MUN INC
COM
67061W104
136
10000
SH
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10000
ISHARES TR
ULTR SH TRM BD
46434V878
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22615
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22615
VANGUARD BD INDEX FDS
INTERMED TERM
921937819
213
2288
SH
SOLE
0
0
2288
AIR LEASE CORP
CL A
00912X302
1027
35075
SH
SOLE
0
0
35075
DUNKIN BRANDS GROUP INC
COM
265504100
946
14500
SH
SOLE
0
0
14500
EQUUS TOTAL RETURN INC
COM
294766100
21
17735
SH
SOLE
0
0
17735
SERVICE PPTYS TR
COM SH BEN INT
81761L102
145
20400
SH
SOLE
0
0
20400
INVESCO EXCH TRD SLF IDX FD
BULSHS 2022 HY
46138J874
602
27000
SH
SOLE
0
0
27000
ROYAL DUTCH SHELL PLC
SPONS ADR A
780259206
428
13090
SH
SOLE
0
0
13090
AVERY DENNISON CORP
COM
053611109
25582
224223
SH
SOLE
0
0
224223
ENTERPRISE PRODS PARTNERS L
COM
293792107
232
12750
SH
SOLE
0
0
12750
DOW INC
COM
260557103
269
6596
SH
SOLE
0
0
6596
INVESCO EXCH TRD SLF IDX FD
BULSHS 2023 CB
46138J866
29768
1368035
SH
SOLE
0
0
1368035
INVESCO EXCHANGE TRADED FD T
S&P500 EQL WGT
46137V357
46375
455730
SH
SOLE
0
0
455730
GENERAL ELECTRIC CO
COM
369604103
564
82505
SH
SOLE
0
0
82505
HEALTHCARE SVCS GROUP INC
COM
421906108
358
14650
SH
SOLE
0
0
14650
INVESCO SR INCOME TR
COM
46131H107
35
10000
SH
SOLE
0
0
10000
ALASKA AIR GROUP INC
COM
011659109
847
23360
SH
SOLE
0
0
23360
WESTLAKE CHEM CORP
COM
960413102
201
3750
SH
SOLE
0
0
3750
INVESCO TR INVT GRADE MUNS
COM
46131M106
207
17200
SH
SOLE
0
0
17200
LAUDER ESTEE COS INC
CL A
518439104
2747
14558
SH
SOLE
0
0
14558
COEUR MNG INC
COM NEW
192108504
224
44000
SH
SOLE
0
0
44000
MEDTRONIC PLC
SHS
G5960L103
779
8494
SH
SOLE
0
0
8494
BIOGEN INC
COM
09062X103
407
1521
SH
SOLE
0
0
1521
MARATHON PETE CORP
COM
56585A102
551
14744
SH
SOLE
0
0
14744
CANADIAN IMP BK COMM
COM
136069101
3081
46002
SH
SOLE
0
0
46002
NORFOLK SOUTHERN CORP
COM
655844108
373
2125
SH
SOLE
0
0
2125
EXPEDIA GROUP INC
COM NEW
30212P303
209
2542
SH
SOLE
0
0
2542
LIBERTY BROADBAND CORP
COM SER A
530307107
252
2064
SH
SOLE
0
0
2064
CISCO SYS INC
COM
17275R102
22748
487727
SH
SOLE
0
0
487727
MEDICAL PPTYS TRUST INC
COM
58463J304
1013
53900
SH
SOLE
0
0
53900
LENNAR CORP
CL A
526057104
16088
261078
SH
SOLE
0
0
261078
TRINITY INDS INC
COM
896522109
447
21000
SH
SOLE
0
0
21000
EQUINIX INC
COM
29444U700
2574
3665
SH
SOLE
0
0
3665
ABERDEEN JAPAN EQUITY FD INC
COM
00306J109
135
17375
SH
SOLE
0
0
17375
FORD MTR CO DEL
COM
345370860
62
10158
SH
SOLE
0
0
10158
HANNON ARMSTRONG SUST INFR C
COM
41068X100
582
20436
SH
SOLE
0
0
20436
SPDR S&P 500 ETF TR
TR UNIT
78462F103
469
1520
SH
SOLE
0
0
1520
D R HORTON INC
COM
23331A109
543
9802
SH
SOLE
0
0
9802
AUTOMATIC DATA PROCESSING IN
COM
053015103
778
5228
SH
SOLE
0
0
5228
JACOBS ENGR GROUP INC
COM
469814107
2144
25280
SH
SOLE
0
0
25280
ANTHEM INC
COM
036752103
381
1450
SH
SOLE
0
0
1450
ARCONIC CORPORATION
COM
03966V107
747
53608
SH
SOLE
0
0
53608
VODAFONE GROUP PLC NEW
SPONSORED ADR
92857W308
296
18539
SH
SOLE
0
0
18539
EATON VANCE FLTING RATE INC
COM
278279104
320
28100
SH
SOLE
0
0
28100
COCA COLA CO
COM
191216100
524
11732
SH
SOLE
0
0
11732
WALGREENS BOOTS ALLIANCE INC
COM
931427108
215
5074
SH
SOLE
0
0
5074
APOLLO SR FLOATING RATE FD I
COM
037636107
547
44000
SH
SOLE
0
0
44000
BLACKROCK MUNIHLDGS NY QLTY
COM
09255C106
216
16300
SH
SOLE
0
0
16300
INTERNATIONAL BUSINESS MACHS
COM
459200101
1600
13249
SH
SOLE
0
0
13249
VALMONT INDS INC
COM
920253101
1239
10903
SH
SOLE
0
0
10903
FACEBOOK INC
CL A
30303M102
114
500
SH
Put
SOLE
0
0
500
QUEST DIAGNOSTICS INC
COM
74834L100
868
7615
SH
SOLE
0
0
7615
CONOCOPHILLIPS
COM
20825C104
1012
24075
SH
SOLE
0
0
24075
RPT REALTY
SH BEN INT
74971D101
498
71600
SH
SOLE
0
0
71600
FIDELITY MERRIMACK STR TR
LOW DURTIN ETF
316188408
249
4900
SH
SOLE
0
0
4900
BAR HBR BANKSHARES
COM
066849100
367
16384
SH
SOLE
0
0
16384
J & J SNACK FOODS CORP
COM
466032109
2285
17973
SH
SOLE
0
0
17973
JOHNSON & JOHNSON
COM
478160104
4065
28904
SH
SOLE
0
0
28904
QUALCOMM INC
COM
747525103
21399
234609
SH
SOLE
0
0
234609
GILEAD SCIENCES INC
COM
375558103
485
6307
SH
SOLE
0
0
6307
INVESCO EXCH TRD SLF IDX FD
BULSHS 2022 CB
46138J882
44504
2039604
SH
SOLE
0
0
2039604
HUBBELL INC
COM
443510607
248
1975
SH
SOLE
0
0
1975
BLACKROCK ENHANCED EQUITY DI
COM
09251A104
215
29285
SH
SOLE
0
0
29285
AON PLC
SHS CL A
G0403H108
4815
25000
SH
SOLE
0
0
25000
SPDR S&P MIDCAP 400 ETF TR
UTSER1 S&PDCRP
78467Y107
707
2179
SH
SOLE
0
0
2179
ISHARES TR
MSCI MIN VOL ETF
46429B697
30532
503581
SH
SOLE
0
0
503581
ADOBE INC
COM
00724F101
440
1010
SH
SOLE
0
0
1010
PROSPECT CAP CORP
COM
74348T102
60
11800
SH
SOLE
0
0
11800
SELECT SECTOR SPDR TR
TECHNOLOGY
81369Y803
214
2050
SH
SOLE
0
0
2050
STRYKER CORPORATION
COM
863667101
1257
6977
SH
SOLE
0
0
6977
PEDEVCO CORP
COM PAR
70532Y303
118
146095
SH
SOLE
0
0
146095
VISHAY PRECISION GROUP INC
COM
92835K103
3331
135519
SH
SOLE
0
0
135519
NUVEEN PFD & INCM SECURTIES
COM
67072C105
200
23716
SH
SOLE
0
0
23716
HOME DEPOT INC
COM
437076102
755
3015
SH
SOLE
0
0
3015
FRIEDMAN INDS INC
COM
358435105
569
112691
SH
SOLE
0
0
112691
PROCTER AND GAMBLE CO
COM
742718109
228
1909
SH
SOLE
0
0
1909
ABBOTT LABS
COM
002824100
307
3360
SH
SOLE
0
0
3360
UNILEVER PLC
SPON ADR NEW
904767704
2959
53923
SH
SOLE
0
0
53923
WALKER & DUNLOP INC
COM
93148P102
9921
195258
SH
SOLE
0
0
195258
ISHARES TR
LATN AMER 40 ETF
464287390
430
19940
SH
SOLE
0
0
19940
S&W SEED CO
COM
785135104
133
58500
SH
SOLE
0
0
58500
ISHARES U S ETF TR
SHT MAT BD ETF
46431W507
62265
1245054
SH
SOLE
0
0
1245054
SONOS INC
COM
83570H108
0
19
SH
SOLE
0
0
19
ISHARES TR
CALIF MUN BD ETF
464288356
449
7216
SH
SOLE
0
0
7216
THERMO FISHER SCIENTIFIC INC
COM
883556102
27829
76803
SH
SOLE
0
0
76803
INVESCO EXCH TRD SLF IDX FD
BULSHS 2021 CB
46138J700
5076
237539
SH
SOLE
0
0
237539
TEXAS INSTRS INC
COM
882508104
25793
203146
SH
SOLE
0
0
203146
ATLANTIC AMERN CORP
COM
048209100
60
35992
SH
SOLE
0
0
35992
BLACKROCK FLOATING RATE INCO
COM
09255X100
671
60050
SH
SOLE
0
0
60050
GATX CORP
COM
361448103
256
4200
SH
SOLE
0
0
4200
BORGWARNER INC
COM
099724106
15784
447125
SH
SOLE
0
0
447125
AUTOZONE INC
COM
053332102
8670
7685
SH
SOLE
0
0
7685
TEMPLETON GLOBAL INCOME FD
COM
880198106
338
63000
SH
SOLE
0
0
63000
GENERAL DYNAMICS CORP
COM
369550108
448
3000
SH
SOLE
0
0
3000
METLIFE INC
COM
59156R108
10938
299512
SH
SOLE
0
0
299512
HOWMET AEROSPACE INC
COM
443201108
1488
93907
SH
SOLE
0
0
93907
ANTHEM INC
COM
036752103
79
300
SH
Call
SOLE
0
0
300
NUTRIEN LTD
COM
67077M108
5993
186703
SH
SOLE
0
0
186703
JETBLUE AWYS CORP
COM
477143101
429
39350
SH
SOLE
0
0
39350
3M CO
COM
88579Y101
5108
32744
SH
SOLE
0
0
32744
BP PLC
SPONSORED ADR
055622104
625
26790
SH
SOLE
0
0
26790
EXXON MOBIL CORP
COM
30231G102
8861
198134
SH
SOLE
0
0
198134
KLA CORP
COM NEW
482480100
637
3274
SH
SOLE
0
0
3274
RAND CAP CORP
COM NEW
752185207
173
15764
SH
SOLE
0
0
15764
VIACOMCBS INC
CL B
92556H206
70
3000
SH
Call
SOLE
0
0
3000
MICROSOFT CORP
COM
594918104
27155
133433
SH
SOLE
0
0
133433
ABERDEEN GLOBAL INCOME FD IN
COM
003013109
197
31900
SH
SOLE
0
0
31900
IMMUCELL CORP
COM PAR
452525306
240
50670
SH
SOLE
0
0
50670
ALPHABET INC
CAP STK CL C
02079K107
1091
772
SH
SOLE
0
0
772
AMAZON COM INC
COM
023135106
7148
2591
SH
SOLE
0
0
2591
GLADSTONE LD CORP
COM
376549101
1098
69200
SH
SOLE
0
0
69200
JPMORGAN CHASE & CO
COM
46625H100
19418
206440
SH
SOLE
0
0
206440
INTERCONTINENTAL EXCHANGE IN
COM
45866F104
504
5500
SH
SOLE
0
0
5500
LILLY ELI & CO
COM
532457108
7571
46112
SH
SOLE
0
0
46112