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GGM

GUGGENHEIM CREDIT ALLOCATION FUND
GGM

Delisted

GGM was delisted on the 22nd of October, 2021.

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Name Holding Trade Value Shares
Change 		Change in
Stake
Royal Bank of Canada
1
Royal Bank of Canada
Ontario, Canada
$3.69M -$423 -21 -0%
Invesco
2
Invesco
Georgia
$1.85M -$138K -6,842 -6%
Morgan Stanley
3
Morgan Stanley
New York
$1.75M +$1.54M +76,170 +404%
UBS Group
4
UBS Group
Switzerland
$1.71M -$487K -24,172 -21%
LTFS
5
Ladenburg Thalmann Financial Services
Florida
$1.03M -$358K -17,751 -24%
SFS
6
Shaker Financial Services
Virginia
$867K +$950K +47,130 New
BTS
7
BB&T Securities
Virginia
$712K +$51.4K +2,551 +7%
Cetera Investment Advisers
8
Cetera Investment Advisers
Illinois
$409K +$46.6K +2,314 +12%
MAFM
9
Mid Atlantic Financial Management
Pennsylvania
$409K +$448K +22,255 New
HighTower Advisors
10
HighTower Advisors
Illinois
$400K – – –
WAM
11
Wolverine Asset Management
Illinois
$284K +$311K +15,456 New
Cambridge Investment Research Advisors
12
Cambridge Investment Research Advisors
Iowa
$247K +$15.7K +779 +6%
Bank of America
13
Bank of America
North Carolina
$234K -$9.71K -482 -4%
LPL Financial
14
LPL Financial
California
$229K +$24.1K +1,194 +11%
CIBC Private Wealth Group
15
CIBC Private Wealth Group
Georgia
$225K -$184K -9,127 -43%
WAM
16
Weiss Asset Management
Massachusetts
$212K +$233K +11,548 New
IWM
17
IHT Wealth Management
Illinois
$203K +$222K +11,008 New
BBI
18
Baxter Bros Inc
Connecticut
$102K +$302K +15,000 New
SIA
19
Sit Investment Associates
Minnesota
$97K +$106K +5,259 New
SWM
20
SeaCrest Wealth Management
New York
$85K +$2.18K +108 +2%
AG
21
Advisor Group
Arizona
$69K +$55.9K +2,775 +278%
BFEC
22
Benjamin F. Edwards & Company
Missouri
$44K – – –
QCIG
23
Quad-Cities Investment Group
Iowa
$36K +$1.01K +50 +3%
Wells Fargo
24
Wells Fargo
California
$32K +$14.3K +711 +69%
Northwestern Mutual Wealth Management
25
Northwestern Mutual Wealth Management
Wisconsin
$31K – – –
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