0001085146-22-003579.txt : 20221024 0001085146-22-003579.hdr.sgml : 20221024 20221024154905 ACCESSION NUMBER: 0001085146-22-003579 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220930 FILED AS OF DATE: 20221024 DATE AS OF CHANGE: 20221024 EFFECTIVENESS DATE: 20221024 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: 221326053 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 09-30-2022 09-30-2022 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 10-24-2022 0 333 1001176 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 180 DEGREE CAP CORP COM NEW 68235B208 423 77001 SH SOLE 0 0 77001 3M CO COM 88579Y101 2605 23571 SH SOLE 0 0 23571 ABB LTD SPONSORED ADR 000375204 5495 214156 SH SOLE 0 0 214156 ABBOTT LABS COM 002824100 308 3182 SH SOLE 0 0 3182 ABBVIE INC COM 00287Y109 465 3465 SH SOLE 0 0 3465 ABRDN GLOBAL INCOME FUND INC COM 003013109 123 25900 SH SOLE 0 0 25900 ABRDN JAPAN EQUITY FUND INC COM 00306J109 80 16025 SH SOLE 0 0 16025 ACACIA RESH CORP ACACIA TCH COM 003881307 144 35552 SH SOLE 0 0 35552 ACTIVISION BLIZZARD INC COM 00507V109 3296 44342 SH SOLE 0 0 44342 AFLAC INC COM 001055102 496 8818 SH SOLE 0 0 8818 AIR LEASE CORP CL A 00912X302 1061 34200 SH SOLE 0 0 34200 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 500 56300 SH SOLE 0 0 56300 ALLSTATE CORP COM 020002101 374 3000 SH SOLE 0 0 3000 ALNYLAM PHARMACEUTICALS INC COM 02043Q107 220 1100 SH SOLE 0 0 1100 ALPHABET INC CAP STK CL A 02079K305 1066 11140 SH SOLE 0 0 11140 ALPHABET INC CAP STK CL C 02079K107 1533 15940 SH SOLE 0 0 15940 ALTO INGREDIENTS INC COM 021513106 51 14000 SH SOLE 0 0 14000 A-MARK PRECIOUS METALS INC COM 00181T107 397 14000 SH SOLE 0 0 14000 AMAZON COM INC COM 023135106 9087 80420 SH SOLE 0 0 80420 AMERICAN CENTY ETF TR INTL SMCP VLU 025072802 227 4773 SH SOLE 0 0 4773 AMERICAN EAGLE OUTFITTERS IN COM 02553E106 221 22668 SH SOLE 0 0 22668 AMERICAN EAGLE OUTFITTERS IN COM 02553E106 49 5000 PRN Call SOLE 0 0 5000 AMERICAN EXPRESS CO COM 025816109 413 3061 SH SOLE 0 0 3061 AMETEK INC COM 031100100 349 3074 SH SOLE 0 0 3074 AMGEN INC COM 031162100 10749 47688 SH SOLE 0 0 47688 ANSYS INC COM 03662Q105 288 1300 SH SOLE 0 0 1300 AON PLC SHS CL A G0403H108 4822 18000 SH SOLE 0 0 18000 APOLLO SR FLOATING RATE FD I COM 037636107 634 50700 SH SOLE 0 0 50700 APPLE INC COM 037833100 29576 214012 SH SOLE 0 0 214012 ARES CAPITAL CORP COM 04010L103 15733 932042 SH SOLE 0 0 932042 ARTS WAY MFG INC COM 043168103 47 25639 SH SOLE 0 0 25639 AT&T INC COM 00206R102 555 36175 SH SOLE 0 0 36175 AUTOMATIC DATA PROCESSING IN COM 053015103 1388 6135 SH SOLE 0 0 6135 AUTOZONE INC COM 053332102 7544 3522 SH SOLE 0 0 3522 AVERY DENNISON CORP COM 053611109 23692 145616 SH SOLE 0 0 145616 AZEK CO INC CL A 05478C105 256 15400 SH SOLE 0 0 15400 BALLANTYNE STRONG INC COM 058516105 125 60563 SH SOLE 0 0 60563 BAR HBR BANKSHARES COM 066849100 257 9702 SH SOLE 0 0 9702 BELLICUM PHARMACEUTICALS INC COM NEW 079481404 16 12941 SH SOLE 0 0 12941 BERKSHIRE HATHAWAY INC DEL CL A 084670108 406 1 SH SOLE 0 0 1 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 18743 70192 SH SOLE 0 0 70192 BK OF AMERICA CORP COM 060505104 1569 51949 SH SOLE 0 0 51949 BLACKROCK CAP INVT CORP COM 092533108 74 21783 SH SOLE 0 0 21783 BLACKROCK ENHANCED EQUITY DI COM 09251A104 221 27285 SH SOLE 0 0 27285 BLACKROCK FLOATING RATE INCO COM 09255X100 640 58150 SH SOLE 0 0 58150 BLACKROCK MUNIHLDGS NY QLTY COM 09255C106 252 25700 SH SOLE 0 0 25700 BLACKROCK MUNIYIELD N Y QUAL COM 09255E102 218 23100 SH SOLE 0 0 23100 BLACKSTONE SECD LENDING FD COMMON STOCK 09261X102 11755 516950 SH SOLE 0 0 516950 BOEING CO COM 097023105 301 2490 SH SOLE 0 0 2490 BORGWARNER INC COM 099724106 8041 256069 SH SOLE 0 0 256069 BRISTOL-MYERS SQUIBB CO COM 110122108 680 9564 SH SOLE 0 0 9564 BROADCOM INC COM 11135F101 223 503 SH SOLE 0 0 503 BUILDERS FIRSTSOURCE INC COM 12008R107 1102 18700 SH SOLE 0 0 18700 CANADIAN IMPERIAL BK COMM TO COM 136069101 2180 49810 SH SOLE 0 0 49810 CANNAE HLDGS INC COM 13765N107 310 15000 SH SOLE 0 0 15000 CBRE GROUP INC CL A 12504L109 1044 15463 SH SOLE 0 0 15463 CERUS CORP COM 157085101 139 38500 SH SOLE 0 0 38500 CHARTER COMMUNICATIONS INC N CL A 16119P108 818 2698 SH SOLE 0 0 2698 CHENIERE ENERGY INC COM NEW 16411R208 1983 11950 SH SOLE 0 0 11950 CHEVRON CORP NEW COM 166764100 2597 18076 SH SOLE 0 0 18076 CISCO SYS INC COM 17275R102 16917 422924 SH SOLE 0 0 422924 CITIGROUP INC COM NEW 172967424 621 14914 SH SOLE 0 0 14914 CLEVELAND-CLIFFS INC NEW COM 185899101 189 14000 SH SOLE 0 0 14000 COCA COLA CO COM 191216100 457 8164 SH SOLE 0 0 8164 COEUR MNG INC COM NEW 192108504 51 15000 SH SOLE 0 0 15000 COHEN & STEERS QUALITY INCOM COM 19247L106 164 14600 SH SOLE 0 0 14600 COHEN & STEERS REIT & PFD & COM 19247X100 725 37400 SH SOLE 0 0 37400 COHEN & STEERS TOTAL RETURN COM 19247R103 153 12700 SH SOLE 0 0 12700 COHERENT CORP COM 19247G107 6163 176858 SH SOLE 0 0 176858 COMCAST CORP NEW CL A 20030N101 257 8775 SH SOLE 0 0 8775 CONOCOPHILLIPS COM 20825C104 1597 15600 SH SOLE 0 0 15600 CONSOLIDATED EDISON INC COM 209115104 349 4067 SH SOLE 0 0 4067 CORNING INC COM 219350105 29623 1020784 SH SOLE 0 0 1020784 CSX CORP COM 126408103 324 12146 SH SOLE 0 0 12146 CVD EQUIP CORP COM 126601103 53 10135 SH SOLE 0 0 10135 CVS HEALTH CORP COM 126650100 1300 13631 SH SOLE 0 0 13631 DANA INC COM 235825205 528 46200 SH SOLE 0 0 46200 DEERE & CO COM 244199105 735 2200 SH SOLE 0 0 2200 DIREXION SHS ETF TR DLY SCOND 3XBU 25459W458 44 5000 SH SOLE 0 0 5000 DIREXION SHS ETF TR DLY SCOND 3XBU 25459W458 44 5000 PRN Call SOLE 0 0 5000 DISNEY WALT CO COM 254687106 4581 48566 SH SOLE 0 0 48566 DOLLAR GEN CORP NEW COM 256677105 256 1068 SH SOLE 0 0 1068 DOMINION ENERGY INC COM 25746U109 2452 35476 SH SOLE 0 0 35476 DOW INC COM 260557103 268 6093 SH SOLE 0 0 6093 DUKE ENERGY CORP NEW COM NEW 26441C204 217 2332 SH SOLE 0 0 2332 EATON VANCE FLTING RATE INC COM 278279104 201 17680 SH SOLE 0 0 17680 EATON VANCE MUNI INCOME TRUS SH BEN INT 27826U108 98 10000 SH SOLE 0 0 10000 EATON VANCE SR FLTNG RTE TR COM 27828Q105 384 34600 SH SOLE 0 0 34600 EL PASO ENERGY CAP TR I PFD CV TR SEC 28 283678209 225 4900 SH SOLE 0 0 4900 ELEVANCE HEALTH INC COM 036752103 641 1412 SH SOLE 0 0 1412 ENBRIDGE INC COM 29250N105 745 20093 SH SOLE 0 0 20093 ENTERPRISE PRODS PARTNERS L COM 293792107 382 16050 SH SOLE 0 0 16050 EQUINIX INC COM 29444U700 1441 2534 SH SOLE 0 0 2534 EQUUS TOTAL RETURN INC COM 294766100 127 77735 SH SOLE 0 0 77735 ETF SER SOLUTIONS DISTILLATE US 26922A321 13814 374359 SH SOLE 0 0 374359 EXPEDIA GROUP INC COM NEW 30212P303 342 3645 SH SOLE 0 0 3645 EXXON MOBIL CORP COM 30231G102 6046 69243 SH SOLE 0 0 69243 FIDELITY MERRIMACK STR TR LOW DURTIN ETF 316188408 217 4400 SH SOLE 0 0 4400 FIRST TR SR FLTG RATE INCOME COM 33733U108 236 23600 SH SOLE 0 0 23600 FIRSTHAND TECHNOLOGY VALUE F COM 33766Y100 18 13708 SH SOLE 0 0 13708 FREQUENCY ELECTRS INC COM 358010106 519 90181 SH SOLE 0 0 90181 FRIEDMAN INDS INC COM 358435105 320 45000 SH SOLE 0 0 45000 GALLAGHER ARTHUR J & CO COM 363576109 240 1400 SH SOLE 0 0 1400 GARTNER INC COM 366651107 243 878 SH SOLE 0 0 878 GENCOR INDS INC COM 368678108 213 23608 SH SOLE 0 0 23608 GENERAL ELECTRIC CO COM NEW 369604301 349 5635 SH SOLE 0 0 5635 GENERAL MLS INC COM 370334104 3337 43559 SH SOLE 0 0 43559 GENERAL MTRS CO COM 37045V100 2080 64831 SH SOLE 0 0 64831 GILEAD SCIENCES INC COM 375558103 288 4668 SH SOLE 0 0 4668 GLADSTONE LD CORP COM 376549101 400 22100 SH SOLE 0 0 22100 GLOBAL MED REIT INC COM NEW 37954A204 871 102200 SH SOLE 0 0 102200 GLOBAL X FDS LITHIUM BTRY ETF 37954Y855 527 7975 SH SOLE 0 0 7975 GOLDMAN SACHS ETF TR ACES ULTRA SHR 381430230 1110 22341 SH SOLE 0 0 22341 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 3487 134993 SH SOLE 0 0 134993 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 761 10710 SH SOLE 0 0 10710 GOLDMAN SACHS ETF TR EQUAL WEIGHT US 381430438 9023 169283 SH SOLE 0 0 169283 GRAINGER W W INC COM 384802104 636 1300 SH SOLE 0 0 1300 GSI TECHNOLOGY INC COM 36241U106 86 30000 SH SOLE 0 0 30000 HANNON ARMSTRONG SUST INFR C COM 41068X100 455 15188 SH SOLE 0 0 15188 HAYWARD HLDGS INC COM 421298100 195 22000 SH SOLE 0 0 22000 HEALTHCARE SVCS GROUP INC COM 421906108 190 15710 SH SOLE 0 0 15710 HENRY SCHEIN INC COM 806407102 508 7725 SH SOLE 0 0 7725 HERSHEY CO COM 427866108 246 1114 SH SOLE 0 0 1114 HOME DEPOT INC COM 437076102 506 1833 SH SOLE 0 0 1833 HOWMET AEROSPACE INC COM 443201108 253 8165 SH SOLE 0 0 8165 HURCO CO COM 447324104 288 12800 SH SOLE 0 0 12800 ILLINOIS TOOL WKS INC COM 452308109 5361 29676 SH SOLE 0 0 29676 IMMUCELL CORP COM PAR 452525306 467 62408 SH SOLE 0 0 62408 IMPINJ INC COM 453204109 240 3000 SH SOLE 0 0 3000 INTEL CORP COM 458140100 15546 603253 SH SOLE 0 0 603253 INTERNATIONAL BUSINESS MACHS COM 459200101 1706 14358 SH SOLE 0 0 14358 INTRUSION INC COM NEW 46121E205 59 12250 SH SOLE 0 0 12250 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 832 70006 SH SOLE 0 0 70006 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 CB 46138J882 617 29153 SH SOLE 0 0 29153 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 CB 46138J866 1635 78355 SH SOLE 0 0 78355 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 HY 46138J858 573 25100 SH SOLE 0 0 25100 INVESCO EXCH TRD SLF IDX FD BULSHS 2024 CB 46138J841 3286 161151 SH SOLE 0 0 161151 INVESCO EXCH TRD SLF IDX FD BULSHS 2024 HY 46138J833 212 9800 SH SOLE 0 0 9800 INVESCO EXCH TRD SLF IDX FD BULSHS 2025 CB 46138J825 8632 432787 SH SOLE 0 0 432787 INVESCO EXCH TRD SLF IDX FD BULSHS 2025 HY 46138J817 248 11400 SH SOLE 0 0 11400 INVESCO EXCH TRD SLF IDX FD BULSHS 2026 CB 46138J791 328 17580 SH SOLE 0 0 17580 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 41250 324088 SH SOLE 0 0 324088 INVESCO MUN OPPORTUNITY TR COM 46132C107 100 11000 SH SOLE 0 0 11000 INVESCO QQQ TR UNIT SER 1 46090E103 709 2652 SH SOLE 0 0 2652 INVESCO SR INCOME TR COM 46131H107 74 20000 SH SOLE 0 0 20000 INVESCO TR INVT GRADE MUNS COM 46131M106 323 34500 SH SOLE 0 0 34500 INVESCO TR INVT GRADE NEW YO COM 46131T101 177 18500 SH SOLE 0 0 18500 ISHARES INC MSCI EQUAL WEITE 464286681 1119 16759 SH SOLE 0 0 16759 ISHARES TR 0-5YR INVT GR CP 46434V100 1752 36960 SH SOLE 0 0 36960 ISHARES TR 1 3 YR TREAS BD 464287457 243 2998 SH SOLE 0 0 2998 ISHARES TR CORE MSCI EAFE 46432F842 1692 32130 SH SOLE 0 0 32130 ISHARES TR CORE MSCI TOTAL 46432F834 383 7530 SH SOLE 0 0 7530 ISHARES TR CORE S&P MCP ETF 464287507 346 1577 SH SOLE 0 0 1577 ISHARES TR CORE US AGGBD ET 464287226 342 3546 SH SOLE 0 0 3546 ISHARES TR EAFE VALUE ETF 464288877 445 11541 SH SOLE 0 0 11541 ISHARES TR GL CLEAN ENE ETF 464288224 1068 55934 SH SOLE 0 0 55934 ISHARES TR IBONDS DEC2026 46435GAA0 124549 5391717 SH SOLE 0 0 5391717 ISHARES TR ISHS 1-5YR INVS 464288646 17416 353400 SH SOLE 0 0 353400 ISHARES TR LATN AMER 40 ETF 464287390 279 11750 SH SOLE 0 0 11750 ISHARES TR MSCI EAFE MIN VL 46429B689 276 4845 SH SOLE 0 0 4845 ISHARES TR MSCI INTL MOMENT 46434V449 346 12891 SH SOLE 0 0 12891 ISHARES TR MSCI INTL QUALTY 46434V456 246 8862 SH SOLE 0 0 8862 ISHARES TR MSCI USA MIN VOL 46429B697 2726 41244 SH SOLE 0 0 41244 ISHARES TR MSCI USA MMENTM 46432F396 836 6375 SH SOLE 0 0 6375 ISHARES TR MSCI USA QLT FCT 46432F339 12775 122910 SH SOLE 0 0 122910 ISHARES TR PFD AND INCM SEC 464288687 1781 56245 SH SOLE 0 0 56245 ISHARES TR RESIDENTIAL MULT 464288562 215 3000 SH SOLE 0 0 3000 ISHARES TR RUS 1000 GRW ETF 464287614 543 2581 SH SOLE 0 0 2581 ISHARES TR RUSSELL 2000 ETF 464287655 1529 9272 SH SOLE 0 0 9272 ISHARES TR SHRT NAT MUN ETF 464288158 1515 14756 SH SOLE 0 0 14756 ISHARES TR U.S. MED DVC ETF 464288810 307 6500 SH SOLE 0 0 6500 ISHARES U S ETF TR BLACKROCK ST MAT 46431W507 8213 166723 SH SOLE 0 0 166723 J & J SNACK FOODS CORP COM 466032109 2183 16860 SH SOLE 0 0 16860 J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 46641Q837 4713 93969 SH SOLE 0 0 93969 JACOBS SOLUTIONS INC COM 46982L108 2316 21346 SH SOLE 0 0 21346 JETBLUE AWYS CORP COM 477143101 150 22651 SH SOLE 0 0 22651 JOHNSON & JOHNSON COM 478160104 5393 33014 SH SOLE 0 0 33014 JOHNSON CTLS INTL PLC SHS G51502105 19940 405105 SH SOLE 0 0 405105 JPMORGAN CHASE & CO COM 46625H100 20555 196697 SH SOLE 0 0 196697 KAR AUCTION SVCS INC COM 48238T109 8389 751061 SH SOLE 0 0 751061 KELLOGG CO COM 487836108 518 7442 SH SOLE 0 0 7442 KEY TRONIC CORP COM 493144109 61 15000 SH SOLE 0 0 15000 KIRBY CORP COM 497266106 438 7200 SH SOLE 0 0 7200 KLA CORP COM NEW 482480100 1162 3840 SH SOLE 0 0 3840 L3HARRIS TECHNOLOGIES INC COM 502431109 316 1520 SH SOLE 0 0 1520 LAM RESEARCH CORP COM 512807108 256 700 SH SOLE 0 0 700 LAUDER ESTEE COS INC CL A 518439104 2996 13876 SH SOLE 0 0 13876 LENNAR CORP CL A 526057104 14651 196522 SH SOLE 0 0 196522 LIBERTY BROADBAND CORP COM SER C 530307305 1444 19566 SH SOLE 0 0 19566 LIBERTY MEDIA CORP DEL COM A SIRIUSXM 531229409 998 26216 SH SOLE 0 0 26216 LIBERTY MEDIA CORP DEL COM C SIRIUSXM 531229607 6157 163266 SH SOLE 0 0 163266 LILLY ELI & CO COM 532457108 14991 46362 SH SOLE 0 0 46362 LINCOLN NATL CORP IND COM 534187109 430 9799 SH SOLE 0 0 9799 LISTED FD TR HORIZON KINETICS 53656F623 22316 801855 SH SOLE 0 0 801855 LOCKHEED MARTIN CORP COM 539830109 376 973 SH SOLE 0 0 973 M & T BK CORP COM 55261F104 381 2159 SH SOLE 0 0 2159 MANHATTAN BRDG CAP INC COM 562803106 1093 193810 SH SOLE 0 0 193810 MANITEX INTL INC COM 563420108 945 165002 SH SOLE 0 0 165002 MARATHON PETE CORP COM 56585A102 901 9072 SH SOLE 0 0 9072 MARTIN MARIETTA MATLS INC COM 573284106 225 700 SH SOLE 0 0 700 MASTERCARD INCORPORATED CL A 57636Q104 592 2083 SH SOLE 0 0 2083 MCDONALDS CORP COM 580135101 248 1073 SH SOLE 0 0 1073 MEDICAL PPTYS TRUST INC COM 58463J304 321 27100 SH SOLE 0 0 27100 MEDTRONIC PLC SHS G5960L103 1171 14502 SH SOLE 0 0 14502 MERCER INTL INC COM 588056101 2304 187300 SH SOLE 0 0 187300 MERCK & CO INC COM 58933Y105 1852 21510 SH SOLE 0 0 21510 META PLATFORMS INC CL A 30303M102 221 1629 SH SOLE 0 0 1629 METLIFE INC COM 59156R108 4737 77929 SH SOLE 0 0 77929 MICROSOFT CORP COM 594918104 30421 130617 SH SOLE 0 0 130617 MONTROSE ENVIRONMENTAL GROUP COM 615111101 304 9031 SH SOLE 0 0 9031 MORGAN STANLEY COM NEW 617446448 594 7512 SH SOLE 0 0 7512 MP MATERIALS CORP COM CL A 553368101 225 8250 SH SOLE 0 0 8250 NANO DIMENSION LTD SPONSORD ADS NEW 63008G203 60 25000 SH SOLE 0 0 25000 NATIONAL WESTN LIFE GROUP IN CL A 638517102 885 5180 SH SOLE 0 0 5180 NEOGEN CORP COM 640491106 351 25136 SH SOLE 0 0 25136 NEW YORK CMNTY BANCORP INC COM 649445103 711 83300 SH SOLE 0 0 83300 NEW YORK TIMES CO CL A 650111107 1068 37165 SH SOLE 0 0 37165 NEXTERA ENERGY INC COM 65339F101 452 5768 SH SOLE 0 0 5768 NORTHROP GRUMMAN CORP COM 666807102 325 690 SH SOLE 0 0 690 NORTONLIFELOCK INC COM 668771108 775 38478 SH SOLE 0 0 38478 NOVARTIS AG SPONSORED ADR 66987V109 310 4080 SH SOLE 0 0 4080 NU HLDGS LTD ORD SHS CL A G6683N103 75 17045 SH SOLE 0 0 17045 NUTRIEN LTD COM 67077M108 8151 97754 SH SOLE 0 0 97754 NUVEEN AMT FREE QLTY MUN INC COM 670657105 106 10043 SH SOLE 0 0 10043 NUVEEN MUN VALUE FD INC COM 670928100 123 14500 SH SOLE 0 0 14500 NUVEEN NEW YORK QLT MUN INC COM 67066X107 173 16500 SH SOLE 0 0 16500 NUVEEN PFD & INCOME OPPORTUN COM 67073B106 122 17500 SH SOLE 0 0 17500 NUVEEN PFD & INCOME SECS FD COM 67072C105 107 16327 SH SOLE 0 0 16327 NVIDIA CORPORATION COM 67066G104 223 1841 SH SOLE 0 0 1841 OCCIDENTAL PETE CORP COM 674599105 227 3700 SH SOLE 0 0 3700 OPKO HEALTH INC COM 68375N103 45 23600 SH SOLE 0 0 23600 ORACLE CORP COM 68389X105 202 3315 SH SOLE 0 0 3315 ORGANON & CO COMMON STOCK 68622V106 363 15530 SH SOLE 0 0 15530 P & F INDS INC CL A NEW 692830508 89 16783 SH SOLE 0 0 16783 PARAMOUNT GLOBAL CLASS B COM 92556H206 394 20680 SH SOLE 0 0 20680 PDC ENERGY INC COM 69327R101 2984 51638 SH SOLE 0 0 51638 PEPSICO INC COM 713448108 4229 25902 SH SOLE 0 0 25902 PERMA-PIPE INTL HLDGS INC COM 714167103 961 101668 SH SOLE 0 0 101668 PFIZER INC COM 717081103 3717 84930 SH SOLE 0 0 84930 PHYSICIANS RLTY TR COM 71943U104 1050 69800 SH SOLE 0 0 69800 PIMCO INCOME STRATEGY FD COM 72201H108 308 38600 SH SOLE 0 0 38600 PIMCO INCOME STRATEGY FD II COM 72201J104 231 33400 SH SOLE 0 0 33400 PLX PHARMA INC COM 72942A107 53 82100 SH SOLE 0 0 82100 PROCTER AND GAMBLE CO COM 742718109 644 5099 SH SOLE 0 0 5099 PROSPECT CAP CORP COM 74348T102 62 10000 SH SOLE 0 0 10000 PRUDENTIAL FINL INC COM 744320102 240 2794 SH SOLE 0 0 2794 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 463 8234 SH SOLE 0 0 8234 PURE STORAGE INC CL A 74624M102 2138 78100 SH SOLE 0 0 78100 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 36 11000 SH SOLE 0 0 11000 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 596 166500 SH SOLE 0 0 166500 QUALCOMM INC COM 747525103 16830 148967 SH SOLE 0 0 148967 QUEST DIAGNOSTICS INC COM 74834L100 896 7300 SH SOLE 0 0 7300 RAND CAP CORP COM NEW 752185207 629 42911 SH SOLE 0 0 42911 RAYTHEON TECHNOLOGIES CORP COM 75513E101 555 6779 SH SOLE 0 0 6779 REALTY INCOME CORP COM 756109104 1371 23550 SH SOLE 0 0 23550 REDWOOD TR INC COM 758075402 462 80500 SH SOLE 0 0 80500 REGENERON PHARMACEUTICALS COM 75886F107 305 443 SH SOLE 0 0 443 REGENERON PHARMACEUTICALS COM 75886F107 138 200 PRN Put SOLE 0 0 200 RENN FD INC COM 759720105 64 30000 SH SOLE 0 0 30000 RESEARCH FRONTIERS INC COM 760911107 325 152750 SH SOLE 0 0 152750 S&P GLOBAL INC COM 78409V104 204 667 SH SOLE 0 0 667 S&W SEED CO COM 785135104 152 208009 SH SOLE 0 0 208009 SABA CAPITAL INCOME & OPRNT SHS NEW 78518H202 401 50653 SH SOLE 0 0 50653 SAFEGUARD SCIENTIFICS INC COM NEW 786449207 130 34891 SH SOLE 0 0 34891 SALESFORCE INC COM 79466L302 4341 30179 SH SOLE 0 0 30179 SANOFI SPONSORED ADR 80105N105 205 5380 SH SOLE 0 0 5380 SEABOARD CORP DEL COM 811543107 487 143 SH SOLE 0 0 143 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 464 3834 SH SOLE 0 0 3834 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 272 2290 SH SOLE 0 0 2290 SENECA FOODS CORP NEW CL A 817070501 767 15200 SH SOLE 0 0 15200 SHELL PLC SPON ADS 780259305 998 20050 SH SOLE 0 0 20050 SIGMATRON INTL INC COM 82661L101 59 12368 SH SOLE 0 0 12368 SMUCKER J M CO COM NEW 832696405 536 3903 SH SOLE 0 0 3903 SONDER HOLDINGS INC CLASS A COM 83542D102 18 11068 SH SOLE 0 0 11068 SONOCO PRODS CO COM 835495102 1127 19874 SH SOLE 0 0 19874 SPARK NETWORKS SE SPONSORED ADS 846517100 19 10000 SH SOLE 0 0 10000 SPDR GOLD TR GOLD SHS 78463V107 12723 82259 SH SOLE 0 0 82259 SPDR S&P 500 ETF TR TR UNIT 78462F103 494 1382 SH SOLE 0 0 1382 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 878 2186 SH SOLE 0 0 2186 SPDR SER TR S&P BIOTECH 78464A870 664 8369 SH SOLE 0 0 8369 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 28628 1838641 SH SOLE 0 0 1838641 STARBUCKS CORP COM 855244109 17174 203823 SH SOLE 0 0 203823 STEEL CONNECT INC COM 858098106 14 10000 SH SOLE 0 0 10000 STRYKER CORPORATION COM 863667101 460 2269 SH SOLE 0 0 2269 SYNCHRONY FINANCIAL COM 87165B103 1274 45200 SH SOLE 0 0 45200 TEMPLETON GLOBAL INCOME FD COM 880198106 183 45000 SH SOLE 0 0 45000 TERADYNE INC COM 880770102 692 9207 SH SOLE 0 0 9207 TEXAS INSTRS INC COM 882508104 23283 150427 SH SOLE 0 0 150427 THERMO FISHER SCIENTIFIC INC COM 883556102 32707 64487 SH SOLE 0 0 64487 TRINITY INDS INC COM 896522109 214 10000 SH SOLE 0 0 10000 UMH PPTYS INC COM 903002103 1465 90700 SH SOLE 0 0 90700 UNIFI INC COM NEW 904677200 96 10100 SH SOLE 0 0 10100 UNILEVER PLC SPON ADR NEW 904767704 5271 120225 SH SOLE 0 0 120225 UNION PAC CORP COM 907818108 1121 5752 SH SOLE 0 0 5752 UNITED PARCEL SERVICE INC CL B 911312106 412 2553 SH SOLE 0 0 2553 UNITEDHEALTH GROUP INC COM 91324P102 19742 39091 SH SOLE 0 0 39091 UNIVERSAL STAINLESS & ALLOY COM 913837100 126 17697 SH SOLE 0 0 17697 US FOODS HLDG CORP COM 912008109 208 7860 SH SOLE 0 0 7860 VALERO ENERGY CORP COM 91913Y100 470 4403 SH SOLE 0 0 4403 VALLEY NATL BANCORP COM 919794107 243 22500 SH SOLE 0 0 22500 VALMONT INDS INC COM 920253101 322 1200 SH SOLE 0 0 1200 VANECK ETF TRUST GOLD MINERS ETF 92189F106 381 15792 SH SOLE 0 0 15792 VANECK MERK GOLD TR GOLD TRUST 921078101 355 22025 SH SOLE 0 0 22025 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 10973 146662 SH SOLE 0 0 146662 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 3472 48673 SH SOLE 0 0 48673 VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 92203J407 410 8582 SH SOLE 0 0 8582 VANGUARD INDEX FDS MID CAP ETF 922908629 5816 30940 SH SOLE 0 0 30940 VANGUARD INDEX FDS SM CP VAL ETF 922908611 1795 12517 SH SOLE 0 0 12517 VANGUARD INDEX FDS TOTAL STK MKT 922908769 853 4752 SH SOLE 0 0 4752 VANGUARD INDEX FDS VALUE ETF 922908744 214 1732 SH SOLE 0 0 1732 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 629 17239 SH SOLE 0 0 17239 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 334 3601 SH SOLE 0 0 3601 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 3902 52532 SH SOLE 0 0 52532 VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 921943858 797 21921 SH SOLE 0 0 21921 VANGUARD WORLD FD ESG US STK ETF 921910733 302 4800 SH SOLE 0 0 4800 VERIZON COMMUNICATIONS INC COM 92343V104 460 12123 SH SOLE 0 0 12123 VILLAGE SUPER MKT INC CL A NEW 927107409 450 23300 SH SOLE 0 0 23300 VIRNETX HLDG CORP COM 92823T108 40 34200 SH SOLE 0 0 34200 VISA INC COM CL A 92826C839 266 1499 SH SOLE 0 0 1499 VISHAY PRECISION GROUP INC COM 92835K103 1314 44401 SH SOLE 0 0 44401 WALKER & DUNLOP INC COM 93148P102 8308 99226 SH SOLE 0 0 99226 WALMART INC COM 931142103 407 3139 SH SOLE 0 0 3139 WARNER BROS DISCOVERY INC COM SER A 934423104 974 84671 SH SOLE 0 0 84671 WATERS CORP COM 941848103 216 800 SH SOLE 0 0 800 WENDYS CO COM 95058W100 1862 99631 SH SOLE 0 0 99631 WESTERN ASSET GBL HIGH INC F COM 95766B109 86 13185 SH SOLE 0 0 13185 WESTERN ASSET GLOBAL CORP DE COM 95790C107 750 67300 SH SOLE 0 0 67300 WESTERN ASSET MUN PARTNERS F COM 95766P108 166 14836 SH SOLE 0 0 14836 WILLSCOT MOBIL MINI HLDNG CO COM CL A 971378104 415 10281 SH SOLE 0 0 10281 WIRELESS TELECOM GROUP INC COM 976524108 66 50500 SH SOLE 0 0 50500 XYLEM INC COM 98419M100 1021 11685 SH SOLE 0 0 11685 YUM BRANDS INC COM 988498101 1220 11468 SH SOLE 0 0 11468 YUM CHINA HLDGS INC COM 98850P109 576 12168 SH SOLE 0 0 12168