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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
$777K -$85.2K -6,650 -10%
U
2
UBS
Switzerland
$606K +$85.6K +6,675 +16%
LPL Financial
3
LPL Financial
California
$454K -$202K -15,739 -30%
Bank of America
4
Bank of America
North Carolina
$335K +$6.58K +513 +2%
CCM
5
Covington Capital Management
California
$220K
Morgan Stanley
6
Morgan Stanley
New York
$211K -$352K -27,466 -62%
WAM
7
Wolverine Asset Management
Illinois
$175K +$181K +14,150 New
GC
8
Guggenheim Capital
Illinois
$147K -$2.67K -208 -2%
DADC
9
D.A. Davidson & Co
Montana
$142K +$147K +11,500 New
OA
10
Oxbow Advisors
Texas
$127K +$131K +10,199 New
Wells Fargo
11
Wells Fargo
California
$71K +$13 +1 +0%
Ameriprise
12
Ameriprise
Minnesota
$63K
Citigroup
13
Citigroup
New York
$32K +$692 +54 +2%
MFS
14
MSI Financial Services
Massachusetts
$32K +$13.2K +1,033 +66%
Creative Planning
15
Creative Planning
Kansas
$25K +$12.8K +1,000 +100%
Royal Bank of Canada
16
Royal Bank of Canada
Ontario, Canada
$24K -$6.43K -502 -21%
PNC Financial Services Group
17
PNC Financial Services Group
Pennsylvania
$22K
Nomura Holdings
18
Nomura Holdings
Japan
$22K +$23K +1,798 New
AIG
19
American International Group
New York
$18.4K
US Bancorp
20
US Bancorp
Minnesota
$18K
LTFS
21
Ladenburg Thalmann Financial Services
Florida
$16K +$128 +10 +0.8%
TRCT
22
Tower Research Capital (TRC)
New York
$13K +$11.8K +920 +920%
FA
23
Financial Advantage
Maryland
$9K
Cambridge Investment Research Advisors
24
Cambridge Investment Research Advisors
Iowa
-$184K -13,077 Closed