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FLC

Flaherty & Crumrine Total Return Fund

Name Holding Trade Value Shares
Change
Change in
Stake
GC
1
Guggenheim Capital
Illinois
$11.2M -$158K -8,720 -1%
Cohen & Steers
2
Cohen & Steers
New York
$4.75M -$133K -7,319 -3%
Invesco
3
Invesco
Georgia
$3.51M +$1.41M +77,810 +70%
LPL Financial
4
LPL Financial
California
$2.66M +$103K +5,698 +4%
Bank of America
5
Bank of America
North Carolina
$2.17M -$258K -14,254 -11%
NPC
6
National Planning Corporation
California
$934K +$909K +50,135 New
Morgan Stanley
7
Morgan Stanley
New York
$676K -$89.3K -4,926 -12%
CIA
8
Capital Investment Advisors
Georgia
$637K +$622K +34,312 New
Wells Fargo
9
Wells Fargo
California
$397K -$19.5K -1,077 -5%
PRCM
10
Pine River Capital Management
Minnesota
$321K +$313K +17,274 New
MCC
11
Mid Continent Capital
Illinois
$316K +$10.9K +600 +4%
U
12
UBS
Switzerland
$241K +$121K +6,686 +106%
RJA
13
Raymond James & Associates
Florida
$239K
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$227K +$21.8K +1,205 +11%
SG Americas Securities
15
SG Americas Securities
New York
$216K +$211K +11,640 New
SIA
16
Sit Investment Associates
Minnesota
$186K
Ameriprise
17
Ameriprise
Minnesota
$85K -$17.8K -984 -18%
LTFS
18
Ladenburg Thalmann Financial Services
Florida
$62K
FHA
19
First Horizon Advisors
Tennessee
$37K +$7.25K +400 +25%
SA
20
SRH Advisors
Kansas
$37K +$36.2K +2,000 New
HF
21
Hoxton Financial
West Virginia
$19K
ASN
22
Advisory Services Network
Georgia
$10K +$9.46K +522 New
BIM
23
BlackRock Investment Management
Delaware
$9K +$9.19K +507 New
Fifth Third Bancorp
24
Fifth Third Bancorp
Ohio
$7K +$7.25K +400 New
MFS
25
MSI Financial Services
Massachusetts
$4K