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Nuveen Floating Rate Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
GWSG
151
GPS Wealth Strategies Group
Colorado
$25.1K – – –
AF
152
Allworth Financial
California
$22.3K +$17.3K +2,022 +270%
BC
153
Barrett & Company
Rhode Island
$20.9K – – –
BF
154
BOK Financial
Oklahoma
$20.1K +$20.4K +2,376 New
TWC
155
TD Waterhouse Canada
Ontario, Canada
$17K – – –
Carson Wealth (CWM LLC)
156
Carson Wealth (CWM LLC)
Nebraska
$16K – – –
KB
157
Kimelman & Baird
New York
$15.4K – – –
BWL
158
Bogart Wealth LLC
Virginia
$13.4K – – –
FIA
159
FNY Investment Advisers
New York
$10K +$10.3K +1,200 New
CCM
160
Coldstream Capital Management
Washington
$8.5K +$8.6K +1,004 New
WPA
161
Wealth Preservation Advisors
Tennessee
$8.17K +$8.27K +965 New
NWMP
162
Noble Wealth Management PBC
Colorado
$7.62K +$7.71K +900 New
Northwestern Mutual Wealth Management
163
Northwestern Mutual Wealth Management
Wisconsin
$7.37K -$36.4K -4,250 -83%
BAM
164
Byrne Asset Management
New Jersey
$5.64K -$1.26M -146,559 -100%
NS
165
NBC Securities
Alabama
$4K +$4.68K +546 +13,650%
S
166
SignatureFD
Georgia
$1.12K -$46.7K -5,454 -98%
AssetMark Inc
167
AssetMark Inc
California
$1.12K – – –
LC
168
Lindbrook Capital
California
$1.02K – – –
QL
169
Quarry LP
New York
$551 +$557 +65 New
AAP
170
Arax Advisory Partners
Colorado
$195 +$197 +23 New
HNB
171
Huntington National Bank
Ohio
$8 – – –
CIBC Private Wealth Group
172
CIBC Private Wealth Group
Georgia
$4 -$4.86K -567 -100%
DJSG
173
D.J. St. Germain
Massachusetts
$1 – – –
Pathstone Holdings
174
Pathstone Holdings
New Jersey
– -$4.91M -549,904 Closed
N
175
Natixis
France
– -$1.04M -116,009 Closed