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Highland Opportunities and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Raymond James Trust
51
Raymond James Trust
Florida
$155K – – –
TJHA
52
Thomas J. Herzfeld Advisors
Florida
$143K – – –
Regions Financial Corp
53
Regions Financial Corp
Alabama
$121K – – –
Penserra Capital Management
54
Penserra Capital Management
California
$107K -$36.6K -2,327 -25%
Wilbanks Smith & Thomas Asset Management
55
Wilbanks Smith & Thomas Asset Management
Virginia
$107K +$109K +6,919 New
Mount Yale Investment Advisors
56
Mount Yale Investment Advisors
Colorado
$93K – – –
Bank of America
57
Bank of America
North Carolina
$80K – – –
PNC Financial Services Group
58
PNC Financial Services Group
Pennsylvania
$72K – – –
Citigroup
59
Citigroup
New York
$66K +$22.3K +1,415 +50%
Allworth Financial
60
Allworth Financial
California
$47K – – –
Northwestern Mutual Wealth Management
61
Northwestern Mutual Wealth Management
Wisconsin
$29K -$1.15K -73 -4%
MSA
62
Marino Stram & Associates
Massachusetts
$23K +$110 +7 +0.5%
Stratos Wealth Partners
63
Stratos Wealth Partners
Ohio
$15K +$15.6K +990 New
HI
64
Hudock Inc
Pennsylvania
$11K – – –
NFG
65
Next Financial Group
Texas
$9K +$9.1K +578 New
SIS
66
Sound Income Strategies
Florida
$6K – – –
FHA
67
Flagship Harbor Advisors
Massachusetts
$6K +$6.51K +414 New
LA
68
Legacy Advisors
Pennsylvania
$4K +$47 +3 +1%
TCM
69
Tradewinds Capital Management
Washington
$3K – – –
MCM
70
Mainstay Capital Management
Michigan
$2K – – –
CFD
71
Creative Financial Designs
Indiana
$1K – – –
Citadel Advisors
72
Citadel Advisors
Florida
– -$301K -19,262 Closed
SEI Investments
73
SEI Investments
Pennsylvania
– -$288K -18,440 Closed
Susquehanna International Group
74
Susquehanna International Group
Pennsylvania
– -$159K -10,162 Closed
FANJ
75
Financial Architects (New Jersey)
New Jersey
– -$72K -4,628 Closed