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Highland Opportunities and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
First Allied Advisory Services
51
First Allied Advisory Services
California
$390K -$41.9K -3,136 -10%
CWS
52
Cypress Wealth Services
California
$362K +$362K +27,090 New
Stephens Inc
53
Stephens Inc
Arkansas
$359K – – –
Boothbay Fund Management
54
Boothbay Fund Management
New York
$347K -$390K -29,219 -53%
BB&T Securities
55
BB&T Securities
Virginia
$332K -$13.2K -987 -4%
CCA
56
Cruiser Capital Advisors
Connecticut
$316K – – –
CF
57
Centaurus Financial
California
$272K – – –
WC
58
Winmill & Co
New Hampshire
$258K +$258K +19,330 New
TW
59
Transform Wealth
Colorado
$252K -$69.8K -5,225 -22%
HighTower Advisors
60
HighTower Advisors
Illinois
$237K -$17.8K -1,331 -7%
YCM
61
Yakira Capital Management
Connecticut
$226K +$38.7K +2,894 +21%
Private Advisor Group
62
Private Advisor Group
New Jersey
$218K -$6.16K -461 -3%
Stifel Financial
63
Stifel Financial
Missouri
$178K -$229K -17,123 -56%
DAM
64
Deltec Asset Management
New York
$174K +$174K +13,000 New
Clifford Swan Investment Counsel
65
Clifford Swan Investment Counsel
California
$146K +$147K +10,966 New
Raymond James Trust
66
Raymond James Trust
Florida
$134K – – –
QOP
67
Quinn Opportunity Partners
Virginia
$134K +$134K +10,000 New
Belpointe Asset Management
68
Belpointe Asset Management
Nevada
$118K +$13.4K +1,000 +13%
US Bancorp
69
US Bancorp
Minnesota
$111K +$111K +8,319 New
Citigroup
70
Citigroup
New York
$63K +$334 +25 +0.5%
Bank of America
71
Bank of America
North Carolina
$60K -$9.27K -694 -13%
LC
72
Lindbrook Capital
California
$51K – – –
PNC Financial Services Group
73
PNC Financial Services Group
Pennsylvania
$47K -$14.9K -1,115 -24%
Allworth Financial
74
Allworth Financial
California
$41K +$40.6K +3,035 New
UBS Group
75
UBS Group
Switzerland
$38K -$86.5K -6,474 -69%