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PFD

Flaherty & Crumrine Preferred and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
U
1
UBS
Switzerland
$684K +$5.96K +459 +0.9%
LPL Financial
2
LPL Financial
California
$672K +$203K +15,614 +48%
Invesco
3
Invesco
Georgia
$649K +$608K +46,802 New
Morgan Stanley
4
Morgan Stanley
New York
$374K -$7.35K -566 -2%
Bank of America
5
Bank of America
North Carolina
$344K +$1.88K +145 +0.6%
DADC
6
D.A. Davidson & Co
Montana
$339K +$38.9K +3,000 +14%
GC
7
Guggenheim Capital
Illinois
$321K +$151K +11,649 +101%
CCM
8
Covington Capital Management
California
$245K
NCM
9
Noesis Capital Mangement
Florida
$238K -$564K -43,450 -72%
OA
10
Oxbow Advisors
Texas
$144K +$1.34K +103 +1%
Wells Fargo
11
Wells Fargo
California
$68K -$10K -774 -14%
LTFS
12
Ladenburg Thalmann Financial Services
Florida
$46K +$169 +13 +0.4%
Citigroup
13
Citigroup
New York
$38K +$1K +77 +3%
SIA
14
Sit Investment Associates
Minnesota
$36K +$34K +2,619 New
AIG
15
American International Group
New York
$28.9K +$7.84K +604 +41%
Creative Planning
16
Creative Planning
Kansas
$28K
PNC Financial Services Group
17
PNC Financial Services Group
Pennsylvania
$24K
MFS
18
MSI Financial Services
Massachusetts
$23K +$441 +34 +2%
Royal Bank of Canada
19
Royal Bank of Canada
Ontario, Canada
$18K -$7.69K -592 -31%
VKH
20
Virtu KCG Holdings
New York
-$256K -20,867 Closed
SG Americas Securities
21
SG Americas Securities
New York
-$209K -17,087 Closed
PRCM
22
Pine River Capital Management
Minnesota
-$123K -10,084 Closed
CAPTRUST Financial Advisors
23
CAPTRUST Financial Advisors
North Carolina
-$25K -2,000 Closed
WAM
24
Wolverine Asset Management
Illinois
-$20K -1,672 Closed
US Bancorp
25
US Bancorp
Minnesota
-$18K -1,440 Closed