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Flaherty & Crumrine Preferred and Income Securities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
FAM
51
Formidable Asset Management
Ohio
$22K – – –
HF
52
Hoxton Financial
West Virginia
$20K – – –
NFG
53
Next Financial Group
Texas
$17K +$17.9K +900 New
CFA
54
Carroll Financial Associates
North Carolina
$16K – – –
Creative Planning
55
Creative Planning
Kansas
$14K -$76.8K -3,865 -85%
M&T Bank
56
M&T Bank
New York
$10K – – –
MSI Financial Services
57
MSI Financial Services
Massachusetts
$10K +$9.93K +500 New
Avior Wealth Management
58
Avior Wealth Management
Nebraska
$8K – – –
FANJ
59
Financial Architects (New Jersey)
New Jersey
$8K +$8.37K +421 New
OSNBOA
60
Old Second National Bank of Aurora
Illinois
$7K – – –
HR
61
Howe & Rusling
New York
$6K – – –
Deutsche Bank
62
Deutsche Bank
Germany
$2K – – –
FFA
63
First Foundation Advisors
California
– -$631K -32,793 Closed
Oppenheimer & Co
64
Oppenheimer & Co
New York
– -$506K -26,299 Closed
ACP
65
Aviance Capital Partners
Florida
– -$234K -12,169 Closed
Raymond James & Associates
66
Raymond James & Associates
Florida
– -$229K -11,927 Closed
Tower Research Capital (TRC)
67
Tower Research Capital (TRC)
New York
– -$166K -8,655 Closed
Capital Analysts LLC
68
Capital Analysts LLC
Pennsylvania
– -$15.2K -789 Closed
Fifth Third Bancorp
69
Fifth Third Bancorp
Ohio
– -$5K -256 Closed
Northwestern Mutual Wealth Management
70
Northwestern Mutual Wealth Management
Wisconsin
– -$2K -100 Closed
Barclays
71
Barclays
United Kingdom
– -$1K -41 Closed