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FLAHERTY CRUMRINE PFD INCO
FLAHERTY CRUMRINE PFD INCO. Institutional holdings reported to the SEC.

Institutional Holders (2014Q4)
Portfolio Summary: 22 Institutional holders with a total value of $4,337,580.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 LPL Financial LLC 72,996 1,028,000 23.70%
2 UBS Group AG 51,111 720,000 16.60%
3 D.A. DAVIDSON & CO. 25,000 352,000 8.12%
4 BANK OF AMERICA CORP /DE/ 22,278 314,000 7.24%
5 MORGAN STANLEY 19,757 278,000 6.41%
6 Covington Capital Management 17,700 249,000 5.74%
7 JANE STREET GROUP, LLC 16,548 233,000 5.37%
8 NOESIS CAPITAL MANGEMENT CORP 16,000 225,000 5.19%
9 Private Advisor Group, LLC 13,558 191,000 4.40%
10 Oxbow Advisors, LLC 10,695 151,000 3.48%
11 GUGGENHEIM CAPITAL LLC 10,149 143,000 3.30%
12 WELLS FARGO & COMPANY/MN 6,560 92,000 2.12%
13 ROYAL BANK OF CANADA 4,968 70,000 1.61%
14 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,311 61,000 1.41%
15 NATIONAL PLANNING CORP 4,040 57,934 1.34%
16 AMERICAN INTERNATIONAL GROUP, INC. 3,952 55,646 1.28%
17 Creative Planning 3,500 49,000 1.13%
18 PNC FINANCIAL SERVICES GROUP, INC. 1,800 26,000 0.60%
19 MSI Financial Services Inc 1,772 25,000 0.58%
20 B. Riley Wealth Management, Inc. 1,000 14,000 0.32%
21 Tower Research Capital LLC (TRC) 200 3,000 0.07%
22 BARCLAYS PLC 1 0 0.00%

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.