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PFD

Flaherty & Crumrine Preferred and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
U
1
UBS
Switzerland
$785K +$64.2K +4,434 +9%
LPL Financial
2
LPL Financial
California
$742K +$34.4K +2,375 +5%
Invesco
3
Invesco
Georgia
$646K -$37.3K -2,574 -5%
Bank of America
4
Bank of America
North Carolina
$364K +$1.5K +104 +0.4%
DADC
5
D.A. Davidson & Co
Montana
$357K
GC
6
Guggenheim Capital
Illinois
$330K -$7.93K -548 -2%
CCM
7
Covington Capital Management
California
$254K
NCM
8
Noesis Capital Mangement
Florida
$249K -$1.45K -100 -0.6%
Morgan Stanley
9
Morgan Stanley
New York
$222K -$170K -11,722 -44%
OA
10
Oxbow Advisors
Texas
$153K +$1.36K +94 +0.9%
Wells Fargo
11
Wells Fargo
California
$96K +$23.9K +1,648 +34%
LTFS
12
Ladenburg Thalmann Financial Services
Florida
$48K +$130 +9 +0.3%
MFS
13
MSI Financial Services
Massachusetts
$45K +$20.2K +1,398 +83%
PAS
14
Partnervest Advisory Services
California
$35K +$34.7K +2,400 New
AIG
15
American International Group
New York
$30.7K +$159 +11 +0.5%
Creative Planning
16
Creative Planning
Kansas
$29K
TRCT
17
Tower Research Capital (TRC)
New York
$29K +$28.9K +1,994 +33,233%
PNC Financial Services Group
18
PNC Financial Services Group
Pennsylvania
$26K
NFG
19
Next Financial Group
Texas
$20K +$21.1K +1,460 New
Royal Bank of Canada
20
Royal Bank of Canada
Ontario, Canada
$14K -$4.88K -337 -25%
BRWM
21
B. Riley Wealth Management
Tennessee
$14K +$14.5K +1,000 New
NES
22
New England Securities
New York
$9K +$8.68K +600 New
GSC
23
Ground Swell Capital
South Carolina
$6K +$6.06K +419 New
Citigroup
24
Citigroup
New York
-$38K -2,723 Closed
SIA
25
Sit Investment Associates
Minnesota
-$36K -2,619 Closed