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PFO

Flaherty & Crumrine Preferred and Income Opportunity Fund

Name Holding Trade Value Shares
Change
Change in
Stake
SXL
1
Summit X LLC
Missouri
$2.02M +$105K +9,436 +5%
Morgan Stanley
2
Morgan Stanley
New York
$1.64M +$58.5K +5,240 +4%
WAM
3
Wolverine Asset Management
Illinois
$1.48M +$1.39M +124,919 +1,077%
Fifth Third Bancorp
4
Fifth Third Bancorp
Ohio
$753K -$838K -75,146 -52%
COLIM
5
City of London Investment Management
United Kingdom
$612K +$629K +56,400 New
CHA
6
Cedar Hill Associates
Illinois
$598K +$615K +55,100 New
US Bancorp
7
US Bancorp
Minnesota
$571K +$75.7K +6,790 +15%
CCM
8
Covington Capital Management
California
$537K +$8.37K +750 +2%
Wells Fargo
9
Wells Fargo
California
$416K +$90.3K +8,098 +27%
DADC
10
D.A. Davidson & Co
Montana
$346K +$110K +9,840 +45%
PAG
11
Private Advisor Group
New Jersey
$275K +$154K +13,834 +121%
Cambridge Investment Research Advisors
12
Cambridge Investment Research Advisors
Iowa
$267K +$274K +24,545 New
LPL Financial
13
LPL Financial
California
$208K +$11.1K +996 +5%
FAAS
14
First Allied Advisory Services
California
$195K -$4.67K -419 -2%
Stifel Financial
15
Stifel Financial
Missouri
$189K +$61.4K +5,500 +46%
GC
16
Guggenheim Capital
Illinois
$175K -$319K -28,641 -64%
Commonwealth Equity Services
17
Commonwealth Equity Services
Massachusetts
$158K +$446 +40 +0.3%
MFW
18
Mosaic Family Wealth
Missouri
$152K +$759 +68 +0.5%
LF
19
Lee Financial
Texas
$144K +$148K +13,300 New
Northwestern Mutual Wealth Management
20
Northwestern Mutual Wealth Management
Wisconsin
$142K
CSIC
21
Clifford Swan Investment Counsel
California
$136K
HK
22
Horizon Kinetics
New York
$132K
Royal Bank of Canada
23
Royal Bank of Canada
Ontario, Canada
$117K +$22.3K +2,000 +23%
PI
24
Parkside Investments
Illinois
$109K -$147K -13,150 -57%
Citigroup
25
Citigroup
New York
$90K