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High Income Securities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Kerntke Otto McGlone Wealth Management Group
1
Kerntke Otto McGlone Wealth Management Group
Wisconsin
$578K -$39.9K -4,873 -7%
Bank of America
2
Bank of America
North Carolina
$352K -$20K -2,444 -6%
Yakira Capital Management
3
Yakira Capital Management
Connecticut
$328K +$313K +38,215 New
Millennium Management
4
Millennium Management
New York
$266K +$253K +30,958 New
Wells Fargo
5
Wells Fargo
California
$251K +$8 +1 +0%
Kestra Advisory Services
6
Kestra Advisory Services
Texas
$232K +$222K +27,159 New
Bulldog Investors
7
Bulldog Investors
New Jersey
$206K -$115K -14,118 -37%
SeaCrest Wealth Management
8
SeaCrest Wealth Management
New York
$165K +$157K +19,161 New
ProVise Management Group
9
ProVise Management Group
Florida
$144K – – –
Cetera Investment Advisers
10
Cetera Investment Advisers
Illinois
$113K +$107K +13,100 New
Morgan Stanley
11
Morgan Stanley
New York
$108K -$8.24K -1,007 -7%
Osaic Holdings
12
Osaic Holdings
Arizona
$72K +$9.02K +1,102 +15%
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$43K -$9.6K -1,171 -19%
McClarren Financial Advisors
14
McClarren Financial Advisors
Pennsylvania
$24K +$23.6K +2,888 New
UBS Group
15
UBS Group
Switzerland
$11K +$1.66K +203 +21%
Blue Bell Private Wealth Management
16
Blue Bell Private Wealth Management
Pennsylvania
$10K – – –
Fifth Third Bancorp
17
Fifth Third Bancorp
Ohio
$10K +$9.41K +1,150 New
Patriot Financial Group Insurance Agency
18
Patriot Financial Group Insurance Agency
Massachusetts
$9K – – –
Valeo Financial Advisors
19
Valeo Financial Advisors
Indiana
$7K – – –
Winmill & Co
20
Winmill & Co
New Hampshire
$3K – – –
Diversified
21
Diversified
Delaware
$2K +$2.13K +260 New
Ameriprise
22
Ameriprise
Minnesota
– -$572K -68,409 Closed
Rivernorth Capital Management
23
Rivernorth Capital Management
Florida
– -$328K -39,338 Closed
Founders Financial Alliance
24
Founders Financial Alliance
North Carolina
– -$4K -500 Closed
APA
25
American Portfolios Advisors
New York
– -$2.5K -300 Closed