B. Riley Wealth Advisors’s Flaherty & Crumrine Preferred and Income Securities Fund FFC Stock Holding History

B. Riley Wealth Advisors’s Portfolio FFC Stock Details FFC Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2015 Q4	–	Sell	-10,480	Closed	-$197K	–	584
2015 Q3	$197K	Sell	10,480 -499	-5%	-$9.33K	0.05%	480
2015 Q2	$205K	Hold	10,979	–	–	0.05%	451
2015 Q1	$223K	Sell	10,979 -11,579	-51%	-$237K	0.05%	437
2014 Q4	$2.36M	Buy	22,558 +11,279	+100%	+$226K	0.05%	500
2014 Q3	$218K	Sell	11,279 -11,263	-50%	-$217K	0.06%	481
2014 Q2	$221K	Buy	22,542 +11,271	+100%	+$224K	0.05%	418
2014 Q1	$217K	Hold	11,271	–	–	0.07%	362
2013 Q4	$197K	Buy	11,271 +6,230	+124%	+$110K	0.06%	352
2013 Q3	$91K	Buy	5,041 +402	+9%	+$7.34K	0.03%	568
2013 Q2	$87K	Buy	+4,639	New	+$92.9K	0.03%	583

Other funds holding FFC

Morgan Stanley New York $1.89T AUM 35.08% 1-Year Est. Return

Royal Bank of Canada Toronto, Ontario, Canada $672B AUM 33.48% 1-Year Est. Return

LPL Financial San Diego, California $445B AUM 25.58% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.55T AUM 33.47% 1-Year Est. Return

Envestnet Asset Management Chicago, Illinois $424B AUM 22.96% 1-Year Est. Return

Oxbow Advisors Austin, Texas $1.23B AUM 23.59% 1-Year Est. Return

Invesco Atlanta, Georgia $1.26T AUM 61.52% 1-Year Est. Return

CCM

Covington Capital Management Los Angeles, California $2.32B AUM 12.18% 1-Year Est. Return

Wells Fargo San Francisco, California $617B AUM 30.33% 1-Year Est. Return

NWAM LLC Mercer Island, Washington $2B AUM 34.81% 1-Year Est. Return

B. Riley Wealth Advisors's FFC Position: Q4 2015 in Review

B. Riley Wealth Advisors sold out of Flaherty & Crumrine Preferred and Income Securities Fund (FFC) in Q4 2015, closing a stake of 10,480 shares — an estimated $197K sold.

B. Riley Wealth Advisors first reported a position in FFC in Q2 2013 and held it in 10 quarters. The position peaked at $2.36M in Q4 2014. 77 funds tracked by Wall St. Rank hold FFC as of Q4 2015.

B. Riley Wealth Advisors reported no remaining Flaherty & Crumrine Preferred and Income Securities Fund position as of Q4 2015 after selling out during the quarter.
B. Riley Wealth Advisors sold 10,480 Flaherty & Crumrine Preferred and Income Securities Fund shares in Q4 2015, an estimated $197K.
B. Riley Wealth Advisors first reported a position in Flaherty & Crumrine Preferred and Income Securities Fund in Q2 2013 and held it in 10 quarters.
B. Riley Wealth Advisors's Flaherty & Crumrine Preferred and Income Securities Fund position peaked at $2.36M in Q4 2014.
77 funds tracked by Wall St. Rank held Flaherty & Crumrine Preferred and Income Securities Fund as of Q4 2015.

Based on B. Riley Wealth Advisors's 13F filing for Q4 2015, filed 16 Feb 2016.