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Flaherty & Crumrine Total Return Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Guggenheim Capital
1
Guggenheim Capital
Illinois
$7.34M -$1.35M -68,788 -16%
NWAM LLC
2
NWAM LLC
Washington
$6.78M +$413K +20,982 +7%
Cohen & Steers
3
Cohen & Steers
New York
$5.11M +$49.2K +2,500 +1%
Invesco
4
Invesco
Georgia
$4.84M +$159K +8,096 +3%
LPL Financial
5
LPL Financial
California
$2.85M -$60.4K -3,070 -2%
Bank of America
6
Bank of America
North Carolina
$1.98M -$140K -7,114 -7%
National Planning Corporation
7
National Planning Corporation
California
$1.33M +$127K +6,450 +11%
Morgan Stanley
8
Morgan Stanley
New York
$711K -$39.8K -2,025 -5%
UBS
9
UBS
Switzerland
$705K +$71.8K +3,651 +11%
Capital Investment Advisors
10
Capital Investment Advisors
Georgia
$628K -$31.2K -1,585 -5%
City of London Investment Management
11
City of London Investment Management
United Kingdom
$505K +$504K +25,615 New
Wells Fargo
12
Wells Fargo
California
$470K -$7.5K -381 -2%
Wolverine Asset Management
13
Wolverine Asset Management
Illinois
$424K +$424K +21,528 New
Mid Continent Capital
14
Mid Continent Capital
Illinois
$336K – – –
Ameriprise
15
Ameriprise
Minnesota
$272K +$103K +5,229 +61%
Raymond James & Associates
16
Raymond James & Associates
Florida
$254K – – –
Royal Bank of Canada
17
Royal Bank of Canada
Ontario, Canada
$244K +$17.6K +894 +8%
Sit Investment Associates
18
Sit Investment Associates
Minnesota
$197K – – –
Ladenburg Thalmann Financial Services
19
Ladenburg Thalmann Financial Services
Florida
$54K +$9.6K +490 +22%
First Horizon Advisors
20
First Horizon Advisors
Tennessee
$45K – – –
SRH Advisors
21
SRH Advisors
Kansas
$39K – – –
HF
22
Hoxton Financial
West Virginia
$20K – – –
Next Financial Group
23
Next Financial Group
Texas
$20K – – –
MSI Financial Services
24
MSI Financial Services
Massachusetts
$14K – – –
Fifth Third Bancorp
25
Fifth Third Bancorp
Ohio
$8K – – –