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FAV

FIRST TRUST DIVIDEND AND INCOME FD COM
FAV

Delisted

FAV was delisted on the 21st of October, 2016.

Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$3.52M +$3.56M +432,608 New
SFS
2
Shaker Financial Services
Virginia
$3.06M +$3.1M +376,268 New
OC
3
Oppenheimer & Co
New York
$1M +$1.01M +122,920 New
DA
4
Doliver Advisors
Texas
$828K +$837K +101,729 New
RJFSA
5
Raymond James Financial Services Advisors
Florida
$550K +$556K +67,625 New
CA
6
Cornerstone Advisors
North Carolina
$372K +$376K +45,718 New
RJA
7
Raymond James & Associates
Florida
$367K +$371K +45,117 New
LPL Financial
8
LPL Financial
California
$338K +$341K +41,494 New
Wells Fargo
9
Wells Fargo
California
$251K +$254K +30,832 New
ACP
10
Aviance Capital Partners
Florida
$249K +$252K +30,649 New
GC
11
Guggenheim Capital
Illinois
$237K +$239K +29,049 New
TC
12
TFS Capital
Pennsylvania
$235K +$238K +28,870 New
Deutsche Bank
13
Deutsche Bank
Germany
$186K +$188K +22,900 New
FAAS
14
First Allied Advisory Services
California
$128K +$132K +16,074 New
Ameriprise
15
Ameriprise
Minnesota
$108K +$109K +13,236 New
WI
16
Western Investment
Utah
$92K +$92.8K +11,277 New
U
17
UBS
Switzerland
$85K +$86.2K +10,478 New
Bank of America
18
Bank of America
North Carolina
$77K +$77.4K +9,411 New
PNC Financial Services Group
19
PNC Financial Services Group
Pennsylvania
$66K +$65.8K +8,000 New
Barclays
20
Barclays
United Kingdom
$61K +$61.5K +7,478 New
Royal Bank of Canada
21
Royal Bank of Canada
Ontario, Canada
$36K +$36.5K +4,434 New
WAM
22
Wolverine Asset Management
Illinois
$32K +$32.4K +3,936 New
AIG
23
American International Group
New York
$24.4K +$24.7K +3,000 New
Citigroup
24
Citigroup
New York
$6K +$5.72K +695 New
MFS
25
MSI Financial Services
Massachusetts
$3K +$3.29K +400 New