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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
$743K -$25K -2,000 -3%
U
2
UBS
Switzerland
$599K +$100 +8 +0%
LPL Financial
3
LPL Financial
California
$403K -$40.8K -3,260 -9%
Morgan Stanley
4
Morgan Stanley
New York
$337K +$131K +10,429 +61%
Bank of America
5
Bank of America
North Carolina
$302K -$29.6K -2,362 -9%
DADC
6
D.A. Davidson & Co
Montana
$263K +$125K +10,000 +87%
VKH
7
Virtu KCG Holdings
New York
$256K +$261K +20,867 New
CCM
8
Covington Capital Management
California
$217K
SG Americas Securities
9
SG Americas Securities
New York
$209K +$214K +17,087 New
GC
10
Guggenheim Capital
Illinois
$141K -$4.41K -352 -3%
OA
11
Oxbow Advisors
Texas
$126K +$1.29K +103 +1%
PRCM
12
Pine River Capital Management
Minnesota
$123K +$126K +10,084 New
Wells Fargo
13
Wells Fargo
California
$69K -$175 -14 -0.2%
LTFS
14
Ladenburg Thalmann Financial Services
Florida
$40K +$25.2K +2,010 +160%
Citigroup
15
Citigroup
New York
$32K +$889 +71 +3%
Creative Planning
16
Creative Planning
Kansas
$25K
CAPTRUST Financial Advisors
17
CAPTRUST Financial Advisors
North Carolina
$25K +$25K +2,000 New
Royal Bank of Canada
18
Royal Bank of Canada
Ontario, Canada
$24K +$263 +21 +1%
PNC Financial Services Group
19
PNC Financial Services Group
Pennsylvania
$22K
WAM
20
Wolverine Asset Management
Illinois
$20K -$156K -12,478 -88%
MFS
21
MSI Financial Services
Massachusetts
$20K -$12K -955 -37%
AIG
22
American International Group
New York
$18.2K
US Bancorp
23
US Bancorp
Minnesota
$18K
TRCT
24
Tower Research Capital (TRC)
New York
$17K +$4.73K +378 +37%
FA
25
Financial Advantage
Maryland
$9K