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PFD

Flaherty & Crumrine Preferred and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
LPL Financial
1
LPL Financial
California
$909K +$211K +15,073 +30%
U
2
UBS
Switzerland
$755K +$18.8K +1,346 +3%
Invesco
3
Invesco
Georgia
$686K +$81.3K +5,824 +13%
DADC
4
D.A. Davidson & Co
Montana
$342K +$6.98K +500 +2%
Bank of America
5
Bank of America
North Carolina
$314K -$27.8K -1,991 -8%
GC
6
Guggenheim Capital
Illinois
$288K -$21.8K -1,559 -7%
CCM
7
Covington Capital Management
California
$243K
NCM
8
Noesis Capital Mangement
Florida
$219K -$14.7K -1,050 -6%
Morgan Stanley
9
Morgan Stanley
New York
$168K -$40.9K -2,928 -19%
OA
10
Oxbow Advisors
Texas
$145K +$1.35K +97 +0.9%
Wells Fargo
11
Wells Fargo
California
$90K +$28 +2 +0%
Royal Bank of Canada
12
Royal Bank of Canada
Ontario, Canada
$62K +$49K +3,505 +353%
LTFS
13
Ladenburg Thalmann Financial Services
Florida
$45K +$140 +10 +0.3%
AIG
14
American International Group
New York
$31.7K +$2.96K +212 +10%
Creative Planning
15
Creative Planning
Kansas
$27K
MFS
16
MSI Financial Services
Massachusetts
$24K -$18.6K -1,334 -43%
PNC Financial Services Group
17
PNC Financial Services Group
Pennsylvania
$24K
NFG
18
Next Financial Group
Texas
$20K
BRWM
19
B. Riley Wealth Management
Tennessee
$13K
PAS
20
Partnervest Advisory Services
California
-$35K -2,400 Closed
TRCT
21
Tower Research Capital (TRC)
New York
-$29K -2,000 Closed
NES
22
New England Securities
New York
-$9K -600 Closed
GSC
23
Ground Swell Capital
South Carolina
-$6K -419 Closed