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Nuveen Mortgage and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
UR
26
USCA RIA
Texas
$470K +$471K +20,200 New
RJFSA
27
Raymond James Financial Services Advisors
Florida
$469K -$23.8K -1,020 -5%
RGC
28
Roberts, Glore & Co
Illinois
$432K +$35K +1,500 +9%
LPL Financial
29
LPL Financial
California
$395K -$17.7K -759 -4%
DA
30
Doliver Advisors
Texas
$310K -$63.3K -2,714 -17%
CAN
31
Cetera Advisor Networks
California
$284K -$10.4K -444 -3%
Bank of Montreal
32
Bank of Montreal
Ontario, Canada
$102K +$102K +4,374 New
Cohen & Steers
33
Cohen & Steers
New York
$89K
DBT
34
Dubuque Bank & Trust
Iowa
$69K +$10.4K +447 +18%
AIG
35
American International Group
New York
$66.5K
Deutsche Bank
36
Deutsche Bank
Germany
$46K +$23.6K +1,012 +100%
MFS
37
MSI Financial Services
Massachusetts
$41K +$8.77K +376 +27%
US Bancorp
38
US Bancorp
Minnesota
$30K
ASN
39
Advisory Services Network
Georgia
$23K +$23.3K +1,000 New
FWM
40
Focused Wealth Management
New York
$20K
LTFS
41
Ladenburg Thalmann Financial Services
Florida
$12K
PWPCM
42
Perella Weinberg Partners Capital Management
New York
-$6.7M -289,436 Closed
SG Americas Securities
43
SG Americas Securities
New York
-$481K -20,762 Closed
BFM
44
Boothbay Fund Management
New York
-$282K -12,180 Closed
CAS
45
CTC Alternative Strategies
Illinois
-$239K -10,320 Closed
RC
46
RegentAtlantic Capital
New Jersey
-$59.7K -2,580 Closed
BRWA
47
B. Riley Wealth Advisors
Florida
-$53K -2,271 Closed
BIM
48
BlackRock Investment Management
Delaware
-$5K -199 Closed