| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | UBS Group AG | 11,833 | 182,000 | 29.59% | ||
| 2 | WELLS FARGO & COMPANY/MN | 8,044 | 124,000 | 20.16% | ||
| 3 | MORGAN STANLEY | 5,247 | 81,000 | 13.17% | ||
| 4 | ADVISOR GROUP, INC. | 4,357 | 67,000 | 10.89% | ||
| 5 | BANK OF AMERICA CORP /DE/ | 2,250 | 34,000 | 5.53% | ||
| 6 | Ledyard National Bank | 2,144 | 33,000 | 5.37% | ||
| 7 | ROYAL BANK OF CANADA | 1,554 | 24,000 | 3.90% | ||
| 8 | Tower Research Capital LLC (TRC) | 1,000 | 15,000 | 2.44% | ||
| 9 | CWM, LLC | 946 | 15,000 | 2.44% | ||
| 10 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 1,000 | 15,000 | 2.44% | ||
| 11 | MSI Financial Services Inc | 859 | 14,000 | 2.28% | ||
| 12 | SOLARIS ASSET MANAGEMENT LLC | 700 | 11,000 | 1.79% |
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.
