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PFD

Flaherty & Crumrine Preferred and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
NCM
1
Noesis Capital Mangement
Florida
$974K +$1.03M +69,250 New
LPL Financial
2
LPL Financial
California
$729K +$770K +51,830 New
Morgan Stanley
3
Morgan Stanley
New York
$626K +$661K +44,492 New
U
4
UBS
Switzerland
$593K +$626K +42,138 New
Bank of America
5
Bank of America
North Carolina
$373K +$393K +26,481 New
CCM
6
Covington Capital Management
California
$249K +$263K +17,700 New
Cambridge Investment Research Advisors
7
Cambridge Investment Research Advisors
Iowa
$184K +$194K +13,077 New
GC
8
Guggenheim Capital
Illinois
$170K +$179K +12,041 New
Wells Fargo
9
Wells Fargo
California
$80K +$84.6K +5,697 New
Ameriprise
10
Ameriprise
Minnesota
$72K +$75.9K +5,113 New
Citigroup
11
Citigroup
New York
$35K +$37.4K +2,521 New
Royal Bank of Canada
12
Royal Bank of Canada
Ontario, Canada
$34K +$35.7K +2,402 New
PNC Financial Services Group
13
PNC Financial Services Group
Pennsylvania
$26K +$26.7K +1,800 New
MFS
14
MSI Financial Services
Massachusetts
$22K +$23.2K +1,563 New
AIG
15
American International Group
New York
$20.9K +$22K +1,483 New
US Bancorp
16
US Bancorp
Minnesota
$20K +$21.4K +1,440 New
LTFS
17
Ladenburg Thalmann Financial Services
Florida
$18K +$18.5K +1,249 New
Creative Planning
18
Creative Planning
Kansas
$14K +$14.8K +1,000 New
FA
19
Financial Advantage
Maryland
$10K +$10.4K +700 New
TRCT
20
Tower Research Capital (TRC)
New York
$1K +$1.49K +100 New
Barclays
21
Barclays
United Kingdom
+$15 +1 New