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NQM

NUVEEN INVESTMENT QLTY MUNI FD
NQM

Delisted

NQM was delisted on the 9th of September, 2016.

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Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
– -$6.72M -402,152 Closed
Royal Bank of Canada
2
Royal Bank of Canada
Ontario, Canada
– -$3.44M -205,507 Closed
LPL Financial
3
LPL Financial
California
– -$2.27M -136,084 Closed
VanEck Associates
4
VanEck Associates
New York
– -$1.74M -103,819 Closed
Bank of America
5
Bank of America
North Carolina
– -$1.66M -99,252 Closed
Fiera Capital (Canada)
6
Fiera Capital (Canada)
Quebec, Canada
– -$1.55M -92,559 Closed
RCM
7
Robinson Capital Management
Michigan
– -$1.35M -80,560 Closed
Wells Fargo
8
Wells Fargo
California
– -$1.19M -71,241 Closed
LTFS
9
Ladenburg Thalmann Financial Services
Florida
– -$1.17M -69,435 Closed
RJFSA
10
Raymond James Financial Services Advisors
Florida
– -$1.05M -62,566 Closed
TCM
11
Tradewinds Capital Management
Washington
– -$1.02M -60,798 Closed
Baird Financial Group
12
Baird Financial Group
Wisconsin
– -$1.01M -60,643 Closed
SWP
13
Stratos Wealth Partners
Ohio
– -$701K -41,900 Closed
UBS Group
14
UBS Group
Switzerland
– -$642K -38,385 Closed
RJA
15
Raymond James & Associates
Florida
– -$553K -33,046 Closed
NFC
16
Northeast Financial Consultants
Connecticut
– -$480K -28,700 Closed
PMG
17
ProVise Management Group
Florida
– -$459K -27,449 Closed
Creative Planning
18
Creative Planning
Kansas
– -$445K -26,631 Closed
BFEC
19
Benjamin F. Edwards & Company
Missouri
– -$436K -26,070 Closed
HK
20
Horizon Kinetics
New York
– -$404K -24,174 Closed
Northern Trust
21
Northern Trust
Illinois
– -$4K -22,910 Closed
CIA
22
Capital Investment Advisors
Georgia
– -$272K -16,259 Closed
WS
23
Wedbush Securities
California
– -$269K -16,070 Closed
PNC Financial Services Group
24
PNC Financial Services Group
Pennsylvania
– -$257K -15,320 Closed
ICOA
25
Investment Centers of America
North Dakota
– -$239K -14,370 Closed
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