NorthRock Partners’s Flaherty & Crumrine Preferred and Income Securities Fund FFC Stock Holding History

NorthRock Partners’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
2020 Q4	–	Sell	-13,768	Closed	-$289K	–	239
2020 Q3	$289K	Buy	13,768 +143	+1%	+$3.03K	0.03%	166
2020 Q2	$274K	Buy	13,625 +273	+2%	+$5.23K	0.03%	167
2020 Q1	$223K	Sell	13,352 -6,657	-33%	-$136K	0.03%	173
2019 Q4	$434K	Buy	+20,009	New	+$428K	0.05%	167

Other funds holding FFC

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

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

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

CCM

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

Ameriprise Minneapolis, Minnesota $495B AUM 43.24% 1-Year Est. Return

Commonwealth Equity Services Waltham, Massachusetts $79.5B AUM 27.1% 1-Year Est. Return

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

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

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

Cohen & Steers New York $63.2B AUM 17.15% 1-Year Est. Return

NorthRock Partners's FFC Position: Q4 2020 in Review

NorthRock Partners sold out of Flaherty & Crumrine Preferred and Income Securities Fund (FFC) in Q4 2020, closing a stake of 13,768 shares — an estimated $289K sold.

NorthRock Partners first reported a position in FFC in Q4 2019 and held it in 4 quarters. The position peaked at $434K in Q4 2019. 104 funds tracked by Wall St. Rank hold FFC as of Q4 2020.

NorthRock Partners reported no remaining Flaherty & Crumrine Preferred and Income Securities Fund position as of Q4 2020 after selling out during the quarter.
NorthRock Partners sold 13,768 Flaherty & Crumrine Preferred and Income Securities Fund shares in Q4 2020, an estimated $289K.
NorthRock Partners first reported a position in Flaherty & Crumrine Preferred and Income Securities Fund in Q4 2019 and held it in 4 quarters.
NorthRock Partners's Flaherty & Crumrine Preferred and Income Securities Fund position peaked at $434K in Q4 2019.
104 funds tracked by Wall St. Rank held Flaherty & Crumrine Preferred and Income Securities Fund as of Q4 2020.

Based on NorthRock Partners's 13F filing for Q4 2020, filed 8 Feb 2021.