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Flaherty & Crumrine Preferred and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
LPL Financial
1
LPL Financial
California
$1.03M +$101K +7,103 +11%
UBS Group
2
UBS Group
Switzerland
$720K +$729K +51,111 New
D.A. Davidson & Co
3
D.A. Davidson & Co
Montana
$352K – – –
Bank of America
4
Bank of America
North Carolina
$314K -$8.73K -612 -3%
Morgan Stanley
5
Morgan Stanley
New York
$278K +$107K +7,518 +61%
Covington Capital Management
6
Covington Capital Management
California
$249K – – –
Jane Street
7
Jane Street
New York
$233K +$236K +16,548 New
Noesis Capital Mangement
8
Noesis Capital Mangement
Florida
$225K – – –
Private Advisor Group
9
Private Advisor Group
New Jersey
$191K +$193K +13,558 New
Oxbow Advisors
10
Oxbow Advisors
Texas
$151K +$1.41K +99 +0.9%
Guggenheim Capital
11
Guggenheim Capital
Illinois
$143K -$155K -10,874 -52%
Wells Fargo
12
Wells Fargo
California
$92K – – –
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$70K +$6.72K +471 +10%
Ladenburg Thalmann Financial Services
14
Ladenburg Thalmann Financial Services
Florida
$61K +$14.4K +1,010 +31%
National Planning Corporation
15
National Planning Corporation
California
$57.9K +$57.7K +4,040 New
American International Group
16
American International Group
New York
$55.6K +$23.4K +1,642 +71%
Creative Planning
17
Creative Planning
Kansas
$49K +$21.4K +1,500 +75%
PNC Financial Services Group
18
PNC Financial Services Group
Pennsylvania
$26K – – –
MSI Financial Services
19
MSI Financial Services
Massachusetts
$25K +$471 +33 +2%
B. Riley Wealth Management
20
B. Riley Wealth Management
Tennessee
$14K – – –
Tower Research Capital (TRC)
21
Tower Research Capital (TRC)
New York
$3K +$2.85K +200 New
Invesco
22
Invesco
Georgia
– -$686K -50,052 Closed
Next Financial Group
23
Next Financial Group
Texas
– -$20K -1,460 Closed