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High Income Securities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Advisors Asset Management
1
Advisors Asset Management
Colorado
$4.28M -$889K -98,262 -17%
Bulldog Investors
2
Bulldog Investors
New Jersey
$1.99M -$15M -1,662,423 -88%
Invesco
3
Invesco
Georgia
$872K +$70.3K +7,772 +9%
Wells Fargo
4
Wells Fargo
California
$398K -$1.15M -127,439 -74%
Bank of America
5
Bank of America
North Carolina
$186K -$6.64K -734 -3%
Wolverine Asset Management
6
Wolverine Asset Management
Illinois
$156K -$555K -61,343 -78%
ProVise Management Group
7
ProVise Management Group
Florida
$152K – – –
Two Sigma Securities
8
Two Sigma Securities
New York
$127K +$128K +14,089 New
Raymond James Financial Services Advisors
9
Raymond James Financial Services Advisors
Florida
$92K -$15.4K -1,702 -14%
PNC Financial Services Group
10
PNC Financial Services Group
Pennsylvania
$90K – – –
Ladenburg Thalmann Financial Services
11
Ladenburg Thalmann Financial Services
Florida
$71K -$2.88K -318 -4%
Morgan Stanley
12
Morgan Stanley
New York
$45K -$31.9K -3,525 -41%
UBS Group
13
UBS Group
Switzerland
$22K -$103K -11,392 -82%
BRC
14
Bell Rock Capital
Delaware
$20K – – –
Blue Bell Private Wealth Management
15
Blue Bell Private Wealth Management
Pennsylvania
$15K – – –
Quad-Cities Investment Group
16
Quad-Cities Investment Group
Iowa
$15K – – –
Patriot Financial Group Insurance Agency
17
Patriot Financial Group Insurance Agency
Massachusetts
$11K – – –
Valeo Financial Advisors
18
Valeo Financial Advisors
Indiana
$7K – – –
First Hawaiian Bank
19
First Hawaiian Bank
Hawaii
$6K – – –
Royal Bank of Canada
20
Royal Bank of Canada
Ontario, Canada
$4K – – –
Karpus Investment Management
21
Karpus Investment Management
New York
– -$10.8M -1,219,000 Closed
Rivernorth Capital Management
22
Rivernorth Capital Management
Florida
– -$5.77M -646,600 Closed
Icon Advisers
23
Icon Advisers
Colorado
– -$5.09M -571,911 Closed
Whitney & Co
24
Whitney & Co
New York
– -$365K -40,402 Closed
LPL Financial
25
LPL Financial
California
– -$113K -12,679 Closed