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Western Asset Investment Grade Defined Opportunity Trust

Name Holding Trade Value Shares
Change
Change in
Stake
UBS Group
1
UBS Group
Switzerland
$11.5M -$573K -28,331 -5%
First Manhattan
2
First Manhattan
New York
$10M -$4.84M -239,162 -33%
Bank of America
3
Bank of America
North Carolina
$3.82M -$419K -20,714 -10%
Morgan Stanley
4
Morgan Stanley
New York
$1.89M +$10.1K +501 +0.6%
Invesco
5
Invesco
Georgia
$1.83M +$2.04K +101 +0.1%
Advocacy Wealth Management Services
6
Advocacy Wealth Management Services
Georgia
$1.56M +$1.5M +74,386 New
Guggenheim Capital
7
Guggenheim Capital
Illinois
$1.16M -$292K -14,439 -21%
Cetera Advisor Networks
8
Cetera Advisor Networks
California
$1.02M +$11.7K +579 +1%
LPL Financial
9
LPL Financial
California
$707K +$204K +10,080 +42%
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$477K +$73.4K +3,629 +19%
Raymond James & Associates
11
Raymond James & Associates
Florida
$393K -$12.1K -600 -3%
Commonwealth Equity Services
12
Commonwealth Equity Services
Massachusetts
$269K +$364 +18 +0.1%
YP
13
Yellowstone Partners
Idaho
$227K +$219K +10,854 New
Citigroup
14
Citigroup
New York
$207K – – –
Ameriprise
15
Ameriprise
Minnesota
$201K +$194K +9,613 New
Drexel Morgan & Co
16
Drexel Morgan & Co
Pennsylvania
$201K +$194K +9,615 New
Wells Fargo
17
Wells Fargo
California
$162K -$3.46K -171 -2%
MSI Financial Services
18
MSI Financial Services
Massachusetts
$73K +$14.5K +715 +26%
Focused Wealth Management
19
Focused Wealth Management
New York
$15K – – –
Ladenburg Thalmann Financial Services
20
Ladenburg Thalmann Financial Services
Florida
$15K – – –
American International Group
21
American International Group
New York
$10K – – –
Formidable Asset Management
22
Formidable Asset Management
Ohio
$10K – – –
Next Financial Group
23
Next Financial Group
Texas
$3K -$2.02K -100 -40%
Penserra Capital Management
24
Penserra Capital Management
California
$3K +$3.26K +161 New
Tower Research Capital (TRC)
25
Tower Research Capital (TRC)
New York
– -$15K -737 Closed