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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
$1.23M +$493K +37,829 +68%
UBS Group
2
UBS Group
Switzerland
$581K +$33.4K +2,560 +6%
Curi RMB Capital
3
Curi RMB Capital
Illinois
$506K -$93K -7,141 -15%
Bank of America
4
Bank of America
North Carolina
$369K +$65K +4,989 +21%
D.A. Davidson & Co
5
D.A. Davidson & Co
Montana
$348K – – –
Private Advisor Group
6
Private Advisor Group
New Jersey
$339K +$9.2K +706 +3%
Morgan Stanley
7
Morgan Stanley
New York
$325K +$114K +8,782 +54%
Covington Capital Management
8
Covington Capital Management
California
$229K – – –
Wells Fargo
9
Wells Fargo
California
$204K +$20.8K +1,594 +11%
Citigroup
10
Citigroup
New York
$157K +$158K +12,149 New
Oxbow Advisors
11
Oxbow Advisors
Texas
$144K +$1.51K +116 +1%
Northwestern Mutual Wealth Management
12
Northwestern Mutual Wealth Management
Wisconsin
$31K – – –
Ladenburg Thalmann Financial Services
13
Ladenburg Thalmann Financial Services
Florida
$29K -$19.5K -1,500 -39%
Creative Planning
14
Creative Planning
Kansas
$26K – – –
IFP Advisors
15
IFP Advisors
Florida
$26K +$26.1K +2,000 New
American International Group
16
American International Group
New York
$25K +$182 +14 +0.8%
MSI Financial Services
17
MSI Financial Services
Massachusetts
$25K +$326 +25 +1%
PNC Financial Services Group
18
PNC Financial Services Group
Pennsylvania
$24K – – –
Royal Bank of Canada
19
Royal Bank of Canada
Ontario, Canada
$20K +$2.61K +200 +14%
Mosaic Family Wealth
20
Mosaic Family Wealth
Missouri
$18K +$18.7K +1,436 New
Winslow Evans & Crocker
21
Winslow Evans & Crocker
Massachusetts
$11.4K – – –
Noesis Capital Mangement
22
Noesis Capital Mangement
Florida
– -$201K -16,000 Closed
Wolverine Asset Management
23
Wolverine Asset Management
Illinois
– -$186K -14,846 Closed
First City Capital Management
24
First City Capital Management
Georgia
– -$6.6K -643 Closed
Windsor Capital Management
25
Windsor Capital Management
Arizona
– -$2K -200 Closed