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Flaherty & Crumrine Preferred and Income Securities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
NSIM
76
North Star Investment Management
Illinois
$44K – – –
SPIA
77
Steward Partners Investment Advisory
New York
$32K +$12.7K +600 +66%
Bank of Montreal
78
Bank of Montreal
Ontario, Canada
$25K – – –
AF
79
Allworth Financial
California
$21K – – –
CFGS
80
Concourse Financial Group Securities
Alabama
$13K – – –
SWM
81
Sugarloaf Wealth Management
Georgia
$13K – – –
SIM
82
Sonora Investment Management
Arizona
$12K – – –
Carson Wealth (CWM LLC)
83
Carson Wealth (CWM LLC)
Nebraska
$10K – – –
AA
84
AlphaMark Advisors
Kentucky
$10K +$10.6K +500 New
PFS
85
Prospera Financial Services
Texas
$10K +$10.6K +500 New
FHA
86
Flagship Harbor Advisors
Massachusetts
$9K – – –
TFM
87
TFC Financial Management
Massachusetts
$8K +$7.65K +361 New
CPW
88
Catalyst Private Wealth
California
$8K +$8.22K +388 New
WC
89
Westwind Capital
New Mexico
$7K -$1.57K -74 -19%
AA
90
Ancora Advisors
Ohio
$7K +$7.27K +343 New
Barclays
91
Barclays
United Kingdom
$6K +$6.48K +306 New
S
92
SignatureFD
Georgia
$5K – – –
WT
93
Whittier Trust
California
$5K – – –
BFEC
94
Benjamin F. Edwards & Company
Missouri
$5K +$5.3K +250 New
TH
95
TCTC Holdings
Texas
$4K – – –
KFS
96
Kelly Financial Services
Massachusetts
$3.19K +$64 +3 +2%
ASN
97
Advisory Services Network
Georgia
$2K +$2.12K +100 New
UCFA
98
United Capital Financial Advisors
Texas
– -$1.4M -69,427 Closed
AWM
99
AE Wealth Management
Kansas
– -$1.21M -60,069 Closed
SS
100
Simplicity Solutions
Minnesota
– -$905K -44,980 Closed