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Nuveen Mortgage and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
SFS
26
Sowell Financial Services
Arkansas
$474K +$475K +20,575 New
Bank of New York Mellon
27
Bank of New York Mellon
New York
$469K +$139K +6,008 +42%
PAG
28
Private Advisor Group
New Jersey
$437K -$57.8K -2,502 -12%
M&T Bank
29
M&T Bank
New York
$345K
PFGIA
30
Patriot Financial Group Insurance Agency
Massachusetts
$340K -$4.29K -186 -1%
SB
31
Suntrust Banks
Georgia
$336K +$90.8K +3,932 +37%
QCMA
32
Quad Capital Management Advisors
New York
$217K +$218K +9,429 New
AWA
33
Arete Wealth Advisors
Illinois
$205K +$205K +8,896 New
AG
34
Advisor Group
Arizona
$167K +$72.2K +3,127 +76%
APA
35
American Portfolios Advisors
New York
$140K +$28.4K +1,231 +26%
Northwestern Mutual Wealth Management
36
Northwestern Mutual Wealth Management
Wisconsin
$115K
Rockefeller Capital Management
37
Rockefeller Capital Management
New York
$48K +$48.4K +2,095 New
JFA
38
JNBA Financial Advisors
Minnesota
$46K
LTFS
39
Ladenburg Thalmann Financial Services
Florida
$31K +$24.2K +1,050 +350%
ASN
40
Advisory Services Network
Georgia
$23K
PFO
41
Pathstone Family Office
New Jersey
$12K +$11.9K +516 New
FWM
42
Focused Wealth Management
New York
$11K
JCM
43
Jacobi Capital Management
Pennsylvania
$9K
AF
44
Advisornet Financial
Minnesota
$8K
WMA
45
Wealth Management Associates
New Jersey
-$2.67M -115,160 Closed
RGC
46
Roberts, Glore & Co
Illinois
-$383K -16,475 Closed
Stifel Financial
47
Stifel Financial
Missouri
-$332K -14,298 Closed
LJAC
48
L.J. Altfest & Co
New York
-$273K -11,771 Closed
Susquehanna International Group
49
Susquehanna International Group
Pennsylvania
-$237K -10,227 Closed
FA
50
Fortis Advisors
Pennsylvania
-$65K -2,800 Closed