| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | ADVISOR GROUP, INC. | 21,370 | 399,000 | 39.16% | ||
| 2 | UBS Group AG | 10,225 | 191,000 | 18.74% | ||
| 3 | WELLS FARGO & COMPANY/MN | 8,043 | 150,000 | 14.72% | ||
| 4 | MORGAN STANLEY | 4,569 | 85,000 | 8.34% | ||
| 5 | BANK OF AMERICA CORP /DE/ | 2,250 | 42,000 | 4.12% | ||
| 6 | Ledyard National Bank | 2,144 | 40,000 | 3.93% | ||
| 7 | ROYAL BANK OF CANADA | 1,554 | 29,000 | 2.85% | ||
| 8 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 1,000 | 19,000 | 1.86% | ||
| 9 | CWM, LLC | 946 | 18,000 | 1.77% | ||
| 10 | Tower Research Capital LLC (TRC) | 885 | 17,000 | 1.67% | ||
| 11 | MSI Financial Services Inc | 859 | 16,000 | 1.57% | ||
| 12 | SOLARIS ASSET MANAGEMENT LLC | 700 | 13,000 | 1.28% |
From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.
