National Planning Corporation’s Flaherty & Crumrine Total Return Fund FLC Stock Holding History

National Planning Corporation’s Portfolio FLC Stock Details FLC Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2016 Q1	–	Sell	-15,900	Closed	-$315K	–	683
2015 Q4	$315K	Buy	+15,900	New	+$307K	0.03%	504
2015 Q1	–	Sell	-96,225	Closed	-$1.96M	–	1129
2014 Q4	$1.96M	Buy	96,225 +28,400	+42%	+$576K	0.14%	141
2014 Q3	$1.33M	Buy	67,825 +6,450	+11%	+$127K	0.1%	196
2014 Q2	$1.23M	Buy	61,375 +6,990	+13%	+$142K	0.1%	207
2014 Q1	$1.09M	Buy	54,385 +4,250	+8%	+$81.3K	0.09%	218
2013 Q4	$934K	Buy	+50,135	New	+$909K	0.08%	239

Other funds holding FLC

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

LPL Financial San Diego, California $377B AUM 19.32% 1-Year Est. Return

Invesco Atlanta, Georgia $1.02T AUM 30.18% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return

Cohen & Steers New York $57.6B AUM 8.03% 1-Year Est. Return

Guggenheim Capital Chicago, Illinois $12.9B AUM 27.3% 1-Year Est. Return

Ameriprise Minneapolis, Minnesota $432B AUM 30.22% 1-Year Est. Return

Royal Bank of Canada Toronto, Ontario, Canada $570B AUM 27.57% 1-Year Est. Return

GWM

Geneos Wealth Management Englewood, Colorado $4.31B AUM 18.36% 1-Year Est. Return

YMRC

Yorktown Management & Research Company Forest, Virginia $163M AUM 68.53% 1-Year Est. Return

National Planning Corporation's FLC Position: Q1 2016 in Review

National Planning Corporation sold out of Flaherty & Crumrine Total Return Fund (FLC) in Q1 2016, closing a stake of 15,900 shares — an estimated $315K sold.

National Planning Corporation first reported a position in FLC in Q4 2013 and held it in 6 quarters. The position peaked at $1.96M in Q4 2014. 29 funds tracked by Wall St. Rank hold FLC as of Q1 2016.

National Planning Corporation reported no remaining Flaherty & Crumrine Total Return Fund position as of Q1 2016 after selling out during the quarter.
National Planning Corporation sold 15,900 Flaherty & Crumrine Total Return Fund shares in Q1 2016, an estimated $315K.
National Planning Corporation first reported a position in Flaherty & Crumrine Total Return Fund in Q4 2013 and held it in 6 quarters.
National Planning Corporation's Flaherty & Crumrine Total Return Fund position peaked at $1.96M in Q4 2014.
29 funds tracked by Wall St. Rank held Flaherty & Crumrine Total Return Fund as of Q1 2016.

Based on National Planning Corporation's 13F filing for Q1 2016, filed 16 May 2016.