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PFD

Flaherty & Crumrine Preferred and Income Fund
PFD

Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$2.63M +$158K +11,361 +7%
FDCDDQ
2
Federation des caisses Desjardins du Quebec
Quebec, Canada
$1.63M -$29K -2,083 -2%
Cohen & Steers
3
Cohen & Steers
New York
$1.53M – – –
UBS Group
4
UBS Group
Switzerland
$1.03M -$47.2K -3,387 -5%
Invesco
5
Invesco
Georgia
$618K -$8.28K -594 -1%
Wells Fargo
6
Wells Fargo
California
$610K +$273K +19,598 +90%
PAS
7
Partnervest Advisory Services
California
$574K -$199K -14,303 -27%
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$475K +$18.6K +1,334 +4%
DADC
9
D.A. Davidson & Co
Montana
$445K – – –
LPL Financial
10
LPL Financial
California
$426K +$18K +1,289 +5%
Bank of America
11
Bank of America
North Carolina
$253K -$123K -8,802 -34%
LTFS
12
Ladenburg Thalmann Financial Services
Florida
$249K +$21.7K +1,555 +10%
PAG
13
Private Advisor Group
New Jersey
$247K +$24K +1,721 +11%
CCM
14
Covington Capital Management
California
$222K – – –
Northwestern Mutual Wealth Management
15
Northwestern Mutual Wealth Management
Wisconsin
$213K +$169K +12,101 +511%
CRC
16
Curi RMB Capital
Illinois
$201K +$1.44K +103 +0.8%
WS
17
Wedbush Securities
California
$191K +$181K +12,970 New
Fiera Capital (Canada)
18
Fiera Capital (Canada)
Quebec, Canada
$185K +$13.6K +975 +8%
Cambridge Investment Research Advisors
19
Cambridge Investment Research Advisors
Iowa
$176K +$5.58K +400 +3%
RJFSA
20
Raymond James Financial Services Advisors
Florida
$161K -$13.3K -952 -8%
AG
21
Advisor Group
Arizona
$137K +$12.2K +876 +10%
NFG
22
Next Financial Group
Texas
$84K +$79.8K +5,723 New
CBT
23
Capital Bank & Trust
California
$80K +$76K +5,450 New
JPLA
24
Joseph P. Lucia & Associates
New York
$65K +$61.3K +4,400 New
CAC
25
Certified Advisory Corp
Florida
$62K +$976 +70 +2%
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