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FFC

Flaherty & Crumrine Preferred and Income Securities Fund
FFC

Name Holding Trade Value Shares
Change 		Change in
Stake
CAN
26
Cetera Advisor Networks
California
$560K +$592K +29,537 New
FFA
27
First Foundation Advisors
California
$517K +$552K +27,565 New
OC
28
Oppenheimer & Co
New York
$479K +$511K +25,519 New
ACP
29
Aviance Capital Partners
Florida
$462K +$494K +24,644 New
RJFSA
30
Raymond James Financial Services Advisors
Florida
$449K +$480K +23,973 New
WAM
31
Wolverine Asset Management
Illinois
$413K +$442K +22,061 New
AIG
32
American International Group
New York
$400K +$428K +21,354 New
NAM
33
NTV Asset Management
West Virginia
$377K +$403K +20,128 New
SGCA
34
Steel Grove Capital Advisors
Tennessee
$311K +$333K +16,608 New
Comerica Bank
35
Comerica Bank
Texas
$281K +$301K +15,000 New
SIA
36
Sit Investment Associates
Minnesota
$281K +$301K +15,000 New
EWA
37
Exencial Wealth Advisors
Oklahoma
$263K +$288K +14,394 New
Ameriprise
38
Ameriprise
Minnesota
$207K +$219K +10,919 New
PP
39
Paloma Partners
Connecticut
$203K +$216K +10,800 New
Deutsche Bank
40
Deutsche Bank
Germany
$168K +$180K +8,974 New
PNC Financial Services Group
41
PNC Financial Services Group
Pennsylvania
$115K +$122K +6,081 New
SF
42
Synovus Financial
Georgia
$106K +$112K +5,600 New
Northwestern Mutual Wealth Management
43
Northwestern Mutual Wealth Management
Wisconsin
$102K +$109K +5,420 New
PSUF
44
People's United Financial
Connecticut
$93K +$99.3K +4,954 New
BRWA
45
B. Riley Wealth Advisors
Florida
$87K +$92.9K +4,639 New
US Bancorp
46
US Bancorp
Minnesota
$85K +$90.2K +4,500 New
DADC
47
D.A. Davidson & Co
Montana
$62K +$67.1K +3,350 New
GGPS
48
Gary Goldberg Planning Services
New York
$54K +$58.1K +2,900 New
Bank of Montreal
49
Bank of Montreal
Ontario, Canada
$52K +$56.1K +2,800 New
PTC
50
Private Trust Company
Ohio
$39K +$42.1K +2,100 New
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