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PFD

Flaherty & Crumrine Preferred and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$1.68M +$172K +10,981 +11%
LPL Financial
2
LPL Financial
California
$1.44M +$125K +7,976 +9%
UBS Group
3
UBS Group
Switzerland
$667K +$11.8K +750 +2%
Bank of America
4
Bank of America
North Carolina
$575K +$121K +7,719 +26%
DADC
5
D.A. Davidson & Co
Montana
$374K
HK
6
Horizon Kinetics
New York
$348K -$62.2K -3,970 -15%
PAG
7
Private Advisor Group
New Jersey
$278K +$5.3K +338 +2%
CCM
8
Covington Capital Management
California
$268K
Royal Bank of Canada
9
Royal Bank of Canada
Ontario, Canada
$238K +$140K +8,938 +132%
NCM
10
Noesis Capital Mangement
Florida
$222K
Wells Fargo
11
Wells Fargo
California
$218K +$41.8K +2,670 +23%
LTFS
12
Ladenburg Thalmann Financial Services
Florida
$80K +$55.1K +3,518 +195%
MFS
13
MSI Financial Services
Massachusetts
$49K -$10.1K -646 -17%
AG
14
Advisor Group
Arizona
$39K +$14.2K +908 +54%
Northwestern Mutual Wealth Management
15
Northwestern Mutual Wealth Management
Wisconsin
$36K
Creative Planning
16
Creative Planning
Kansas
$30K -$106K -6,770 -77%
PNC Financial Services Group
17
PNC Financial Services Group
Pennsylvania
$28K
NFG
18
Next Financial Group
Texas
$22K +$22.9K +1,460 New
WEC
19
Winslow Evans & Crocker
Massachusetts
$18.7K +$2.35K +150 +14%
GWM
20
Geneos Wealth Management
Colorado
$9K
IA
21
IFP Advisors
Florida
$7K
US Bancorp
22
US Bancorp
Minnesota
$4K +$3.65K +233 New
TRCT
23
Tower Research Capital (TRC)
New York
$3K +$2.69K +172 New