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Flaherty & Crumrine Total Return Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Bank of America
1
Bank of America
North Carolina
$10.6M -$731K -35,647 -7%
NWAM LLC
2
NWAM LLC
Washington
$6.5M +$155K +7,582 +3%
LPL Financial
3
LPL Financial
California
$2.86M -$19.8K -964 -0.7%
Invesco
4
Invesco
Georgia
$1.68M -$63.3K -3,086 -4%
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$1.36M +$224K +10,940 +21%
Ameriprise
6
Ameriprise
Minnesota
$1.03M -$25.4K -1,239 -2%
Wells Fargo
7
Wells Fargo
California
$872K +$24.4K +1,190 +3%
Geneos Wealth Management
8
Geneos Wealth Management
Colorado
$796K -$413K -20,148 -35%
Cohen & Steers
9
Cohen & Steers
New York
$729K +$383K +18,693 +119%
IFC Holdings
10
IFC Holdings
Florida
$347K -$882 -43 -0.3%
Capital Investment Advisors
11
Capital Investment Advisors
Georgia
$327K – – –
Guggenheim Capital
12
Guggenheim Capital
Illinois
$322K -$84.9K -4,139 -21%
M&T Bank
13
M&T Bank
New York
$231K +$224K +10,899 New
Raymond James & Associates
14
Raymond James & Associates
Florida
$229K -$34.9K -1,700 -14%
Sit Investment Associates
15
Sit Investment Associates
Minnesota
$212K – – –
Morgan Stanley
16
Morgan Stanley
New York
$167K -$192K -9,342 -54%
UBS Group
17
UBS Group
Switzerland
$145K +$32.1K +1,563 +30%
Ladenburg Thalmann Financial Services
18
Ladenburg Thalmann Financial Services
Florida
$64K – – –
Whittier Trust
19
Whittier Trust
California
$63K – – –
SRH Advisors
20
SRH Advisors
Kansas
$42K – – –
D.A. Davidson & Co
21
D.A. Davidson & Co
Montana
$31K – – –
IFP Advisors
22
IFP Advisors
Florida
$15K – – –
Plante Moran Financial Advisors
23
Plante Moran Financial Advisors
Michigan
$13K +$12.3K +600 New
Fifth Third Bancorp
24
Fifth Third Bancorp
Ohio
$8K – – –
Next Financial Group
25
Next Financial Group
Texas
$7K -$20.5K -1,000 -75%