0001085146-22-000352.txt : 20220127 0001085146-22-000352.hdr.sgml : 20220127 20220126212832 ACCESSION NUMBER: 0001085146-22-000352 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220127 DATE AS OF CHANGE: 20220126 EFFECTIVENESS DATE: 20220127 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: 22559696 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 LIVE false false false 0000908195 XXXXXXXX 12-31-2021 12-31-2021 false SHUFRO ROSE & CO LLC

600 LEXINGTON AVENUE 15TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-04541 N Steven J. Glass 212-754-5100 /s/ Steven J. Glass New York NY 01-26-2022 0 311 1384225 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 180 DEGREE CAP CORP COM NEW 68235B208 198 27001 SH SOLE 0 0 27001 3M CO COM 88579Y101 4875 27447 SH SOLE 0 0 27447 ABB LTD SPONSORED ADR 000375204 8200 214833 SH SOLE 0 0 214833 ABBOTT LABS COM 002824100 594 4223 SH SOLE 0 0 4223 ABBVIE INC COM 00287Y109 264 1950 SH SOLE 0 0 1950 ABERDEEN GLOBAL INCOME FD IN COM 003013109 234 31900 SH SOLE 0 0 31900 ABERDEEN JAPAN EQUITY FD INC COM 00306J109 135 16625 SH SOLE 0 0 16625 ACACIA RESH CORP ACACIA TCH COM 003881307 92 18015 SH SOLE 0 0 18015 ACTIVISION BLIZZARD INC COM 00507V109 11434 171859 SH SOLE 0 0 171859 AFLAC INC COM 001055102 281 4818 SH SOLE 0 0 4818 AIR LEASE CORP CL A 00912X302 1539 34800 SH SOLE 0 0 34800 ALASKA AIR GROUP INC COM 011659109 365 7000 SH SOLE 0 0 7000 ALLEGHANY CORP MD COM 017175100 7751 11610 SH SOLE 0 0 11610 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 678 55903 SH SOLE 0 0 55903 ALLSTATE CORP COM 020002101 381 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ENTERPRISE PRODS PARTNERS L COM 293792107 273 12450 SH SOLE 0 0 12450 EQUINIX INC COM 29444U700 2207 2609 SH SOLE 0 0 2609 EQUUS TOTAL RETURN INC COM 294766100 42 17735 SH SOLE 0 0 17735 ETF SER SOLUTIONS DISTILLATE US 26922A321 14521 313760 SH SOLE 0 0 313760 EXPEDIA GROUP INC COM NEW 30212P303 297 1645 SH SOLE 0 0 1645 EXXON MOBIL CORP COM 30231G102 4241 69314 SH SOLE 0 0 69314 FIDELITY MERRIMACK STR TR LOW DURTIN ETF 316188408 223 4400 SH SOLE 0 0 4400 FIRST TR SR FLTG RATE INCOME COM 33733U108 254 21100 SH SOLE 0 0 21100 FREQUENCY ELECTRS INC COM 358010106 411 41161 SH SOLE 0 0 41161 FRIEDMAN INDS INC COM 358435105 402 42860 SH SOLE 0 0 42860 GARTNER INC COM 366651107 360 1078 SH SOLE 0 0 1078 GATX CORP COM 361448103 438 4200 SH SOLE 0 0 4200 GENCOR INDS INC COM 368678108 272 23608 SH SOLE 0 0 23608 GENERAL MLS INC COM 370334104 3020 44824 SH SOLE 0 0 44824 GENERAL MTRS CO COM 37045V100 3770 64306 SH SOLE 0 0 64306 GILEAD SCIENCES INC COM 375558103 388 5339 SH SOLE 0 0 5339 GLADSTONE LD CORP COM 376549101 1182 35000 SH SOLE 0 0 35000 GLOBAL MED REIT INC COM NEW 37954A204 1081 60900 SH SOLE 0 0 60900 GOLDMAN SACHS ETF TR ACES ULTRA SHR 381430230 1134 22472 SH SOLE 0 0 22472 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 5555 150102 SH SOLE 0 0 150102 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 673 7070 SH SOLE 0 0 7070 GOLDMAN SACHS ETF TR EQUAL WEIGHT US 381430438 13880 194156 SH SOLE 0 0 194156 GRAINGER W W INC COM 384802104 676 1305 SH SOLE 0 0 1305 HANNON ARMSTRONG SUST INFR C COM 41068X100 701 13193 SH SOLE 0 0 13193 HEALTHCARE SVCS GROUP INC COM 421906108 272 15310 SH SOLE 0 0 15310 HENRY SCHEIN INC COM 806407102 1692 21825 SH SOLE 0 0 21825 HOLOGIC INC COM 436440101 230 3000 SH SOLE 0 0 3000 HOME DEPOT INC COM 437076102 735 1771 SH SOLE 0 0 1771 HOWMET AEROSPACE INC COM 443201108 260 8165 SH SOLE 0 0 8165 HURCO CO COM 447324104 374 12600 SH SOLE 0 0 12600 IAC INTERACTIVECORP NEW COM NEW 44891N208 261 2000 SH SOLE 0 0 2000 II-VI INC COM 902104108 11924 174507 SH SOLE 0 0 174507 ILLINOIS TOOL WKS INC COM 452308109 7876 31913 SH SOLE 0 0 31913 IMMUCELL CORP COM PAR 452525306 143 17909 SH SOLE 0 0 17909 IMPINJ INC COM 453204109 266 3000 SH SOLE 0 0 3000 INTEL CORP COM 458140100 32787 636639 SH SOLE 0 0 636639 INTERNATIONAL BUSINESS MACHS COM 459200101 1644 12300 SH SOLE 0 0 12300 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 924 61626 SH SOLE 0 0 61626 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 CB 46138J882 7795 364437 SH SOLE 0 0 364437 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 HY 46138J874 537 23100 SH SOLE 0 0 23100 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 CB 46138J866 1988 92640 SH SOLE 0 0 92640 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 HY 46138J858 660 26100 SH SOLE 0 0 26100 INVESCO EXCH TRD SLF IDX FD BULSHS 2024 CB 46138J841 97142 4449935 SH SOLE 0 0 4449935 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 63244 388598 SH SOLE 0 0 388598 INVESCO MUN OPPORTUNITY TR COM 46132C107 138 10000 SH SOLE 0 0 10000 INVESCO QQQ TR 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40 ETF 464287390 277 11812 SH SOLE 0 0 11812 ISHARES TR MSCI EAFE MIN VL 46429B689 210 2740 SH SOLE 0 0 2740 ISHARES TR MSCI USA MIN VOL 46429B697 3423 42308 SH SOLE 0 0 42308 ISHARES TR MSCI USA MMENTM 46432F396 753 4143 SH SOLE 0 0 4143 ISHARES TR MSCI USA QLT FCT 46432F339 18666 128235 SH SOLE 0 0 128235 ISHARES TR PFD AND INCM SEC 464288687 1019 25845 SH SOLE 0 0 25845 ISHARES TR RESIDENTIAL MULT 464288562 295 3000 SH SOLE 0 0 3000 ISHARES TR RUS 1000 GRW ETF 464287614 744 2436 SH SOLE 0 0 2436 ISHARES TR RUSSELL 2000 ETF 464287655 1927 8664 SH SOLE 0 0 8664 ISHARES U S ETF TR BLACKROCK ST MAT 46431W507 18389 368155 SH SOLE 0 0 368155 J & J SNACK FOODS CORP COM 466032109 2670 16900 SH SOLE 0 0 16900 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 66477 1316901 SH SOLE 0 0 1316901 JACOBS ENGR GROUP INC COM 469814107 3000 21545 SH SOLE 0 0 21545 JETBLUE AWYS CORP COM 477143101 150 10550 SH SOLE 0 0 10550 JOHNSON & JOHNSON COM 478160104 5728 33481 SH SOLE 0 0 33481 JOHNSON CTLS INTL PLC SHS G51502105 34266 421422 SH SOLE 0 0 421422 JPMORGAN CHASE & CO COM 46625H100 31774 200657 SH SOLE 0 0 200657 KAR AUCTION SVCS INC COM 48238T109 9336 597723 SH SOLE 0 0 597723 KELLY SVCS INC CL A 488152208 894 53294 SH SOLE 0 0 53294 KIMBERLY-CLARK CORP COM 494368103 360 2521 SH SOLE 0 0 2521 KIRBY CORP COM 497266106 428 7200 SH SOLE 0 0 7200 KLA CORP COM NEW 482480100 1305 3034 SH SOLE 0 0 3034 L3HARRIS TECHNOLOGIES INC COM 502431109 644 3020 SH SOLE 0 0 3020 LAUDER ESTEE COS INC CL A 518439104 5046 13632 SH SOLE 0 0 13632 LENNAR CORP CL A 526057104 22741 195771 SH SOLE 0 0 195771 LIBERTY BROADBAND CORP COM SER C 530307305 2954 18339 SH SOLE 0 0 18339 LIBERTY MEDIA CORP DEL COM A SIRIUSXM 531229409 1479 29082 SH SOLE 0 0 29082 LIBERTY MEDIA CORP DEL COM C SIRIUSXM 531229607 8055 158405 SH SOLE 0 0 158405 LILLY ELI & CO COM 532457108 12754 46173 SH SOLE 0 0 46173 LINCOLN NATL CORP IND COM 534187109 722 10580 SH SOLE 0 0 10580 LISTED FD TR HORIZON KINETICS 53656F623 19145 613419 SH SOLE 0 0 613419 M & T BK CORP COM 55261F104 347 2259 SH SOLE 0 0 2259 MANHATTAN BRDG CAP INC COM 562803106 805 146344 SH SOLE 0 0 146344 MARATHON PETE CORP COM 56585A102 1092 17072 SH SOLE 0 0 17072 MARTIN MARIETTA MATLS INC COM 573284106 308 700 SH SOLE 0 0 700 MASTERCARD INCORPORATED CL A 57636Q104 216 601 SH SOLE 0 0 601 MCDONALDS CORP COM 580135101 274 1022 SH SOLE 0 0 1022 MCKESSON CORP COM 58155Q103 671 2700 SH SOLE 0 0 2700 MEDICAL PPTYS TRUST INC COM 58463J304 777 32900 SH SOLE 0 0 32900 MEDTRONIC PLC SHS G5960L103 1128 10904 SH SOLE 0 0 10904 MERCER INTL INC COM 588056101 2370 197700 SH SOLE 0 0 197700 MERCK & CO INC COM 58933Y105 1648 21502 SH SOLE 0 0 21502 META PLATFORMS INC CL A 30303M102 583 1734 SH SOLE 0 0 1734 METLIFE INC COM 59156R108 5156 82501 SH SOLE 0 0 82501 MICROSOFT CORP COM 594918104 40550 120570 SH SOLE 0 0 120570 MONMOUTH REAL ESTATE INVT CO CL A 609720107 672 32000 SH SOLE 0 0 32000 MONTROSE ENVIRONMENTAL GROUP COM 615111101 637 9031 SH SOLE 0 0 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811543107 858 218 SH SOLE 0 0 218 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 212 2753 SH SOLE 0 0 2753 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 231 1639 SH SOLE 0 0 1639 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 442 2543 SH SOLE 0 0 2543 SENECA FOODS CORP NEW CL A 817070501 1098 22900 SH SOLE 0 0 22900 SMUCKER J M CO COM NEW 832696405 539 3972 SH SOLE 0 0 3972 SONOCO PRODS CO COM 835495102 15620 269814 SH SOLE 0 0 269814 SPARK NETWORKS SE SPONSORED ADR 846517100 31 10000 SH SOLE 0 0 10000 SPDR GOLD TR GOLD SHS 78463V107 14685 85900 SH SOLE 0 0 85900 SPDR S&P 500 ETF TR TR UNIT 78462F103 696 1466 SH SOLE 0 0 1466 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1107 2139 SH SOLE 0 0 2139 SPDR SER TR BLOOMBERG 1-3 MO 78468R663 220 2405 SH SOLE 0 0 2405 SPDR SER TR S&P BIOTECH 78464A870 971 8669 SH SOLE 0 0 8669 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 31507 1776025 SH SOLE 0 0 1776025 STARBUCKS CORP COM 855244109 14509 124041 SH SOLE 0 0 124041 STRYKER CORPORATION COM 863667101 914 3417 SH SOLE 0 0 3417 SYNCHRONY FINANCIAL COM 87165B103 2064 44500 SH SOLE 0 0 44500 TEMPLETON GLOBAL INCOME FD COM 880198106 234 45000 SH SOLE 0 0 45000 TERADYNE INC COM 880770102 1622 9917 SH SOLE 0 0 9917 TEXAS INSTRS INC COM 882508104 36267 192427 SH SOLE 0 0 192427 THERMO FISHER SCIENTIFIC INC COM 883556102 48169 72191 SH SOLE 0 0 72191 TRINITY INDS INC COM 896522109 302 10000 SH SOLE 0 0 10000 UMH PPTYS INC COM 903002103 2145 78500 SH SOLE 0 0 78500 UNILEVER PLC SPON ADR NEW 904767704 5974 111057 SH SOLE 0 0 111057 UNION PAC CORP COM 907818108 1267 5028 SH SOLE 0 0 5028 UNITED PARCEL SERVICE INC CL B 911312106 547 2550 SH SOLE 0 0 2550 UNITEDHEALTH GROUP INC COM 91324P102 25878 51535 SH SOLE 0 0 51535 UNITY SOFTWARE INC COM 91332U101 200 1400 SH SOLE 0 0 1400 UNIVERSAL STAINLESS & ALLOY COM 913837100 113 14197 SH SOLE 0 0 14197 US FOODS HLDG CORP COM 912008109 274 7860 SH SOLE 0 0 7860 VALERO ENERGY CORP COM 91913Y100 368 4903 SH SOLE 0 0 4903 VALLEY NATL BANCORP 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CL B 92556H206 591 19582 SH SOLE 0 0 19582 VILLAGE SUPER MKT INC CL A NEW 927107409 639 27300 SH SOLE 0 0 27300 VIRNETX HLDG CORP COM 92823T108 32 12200 SH SOLE 0 0 12200 VISA INC COM CL A 92826C839 337 1554 SH SOLE 0 0 1554 VISHAY PRECISION GROUP INC COM 92835K103 1737 46800 SH SOLE 0 0 46800 WALKER & DUNLOP INC COM 93148P102 16212 107452 SH SOLE 0 0 107452 WALMART INC COM 931142103 526 3637 SH SOLE 0 0 3637 WATERS CORP COM 941848103 298 800 SH SOLE 0 0 800 WENDYS CO COM 95058W100 2385 99981 SH SOLE 0 0 99981 WESTERN ASSET GBL HIGH INC F COM 95766B109 133 13185 SH SOLE 0 0 13185 WESTERN ASSET GLOBAL CORP DE COM 95790C107 1125 64300 SH SOLE 0 0 64300 WESTERN ASSET MUN PARTNERS F COM 95766P108 186 11941 SH SOLE 0 0 11941 WILLSCOT MOBIL MINI HLDNG CO COM CL A 971378104 400 9800 SH SOLE 0 0 9800 WIRELESS TELECOM GROUP INC COM 976524108 50 22726 SH SOLE 0 0 22726 XYLEM INC COM 98419M100 1430 11925 SH SOLE 0 0 11925 YUM BRANDS INC COM 988498101 1592 11468 SH SOLE 0 0 11468 YUM CHINA HLDGS 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