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

Institutional Holders (2014Q3)
Portfolio Summary: 67 Institutional holders with a total value of $109,086,028.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 UBS AG 695,090 13,422,000 12.30%
2 MORGAN STANLEY 502,264 9,698,000 8.89%
3 GUGGENHEIM CAPITAL LLC 452,860 8,745,000 8.02%
4 Oxbow Advisors, LLC 432,437 8,350,000 7.65%
5 BB&T SECURITIES, LLC 36,837 7,113,000 6.52%
6 BANK OF AMERICA CORP /DE/ 346,454 6,690,000 6.13%
7 MID CONTINENT CAPITAL LLC/IL 296,035 5,716,000 5.24%
8 COHEN & STEERS, INC. 273,955 5,290,000 4.85%
9 Invesco Ltd. 263,528 5,089,000 4.67%
10 NWAM LLC 241,756 4,668,000 4.28%
11 LPL Financial LLC 206,751 4,015,000 3.68%
12 Covington Capital Management 192,802 3,723,000 3.41%
13 ROYAL BANK OF CANADA 133,132 2,571,000 2.36%
14 CREDIT SUISSE AG/ 132,740 2,563,000 2.35%
15 WELLS FARGO & COMPANY/MN 131,336 2,536,000 2.32%
16 Index Management Solutions, LLC 116,758 2,255,000 2.07%
17 A. D. Beadell Investment Counsel, Inc. 97,618 1,885,000 1.73%
18 Commonwealth Equity Services, Inc 89,778 1,734,000 1.59%
19 Cetera Advisor Networks LLC 88,599 1,719,000 1.58%
20 WFG Advisors, LP 71,190 1,375,000 1.26%
21 LADENBURG THALMANN FINANCIAL SERVICES INC. 53,718 1,037,000 0.95%
22 BARD ASSOCIATES INC 46,875 905,000 0.83%
23 NATIONAL PLANNING CORP 36,623 713,000 0.65%
24 AMERICAN INTERNATIONAL GROUP, INC. 34,435 664,948 0.61%
25 Cambridge Investment Research Advisors, Inc. 29,646 572,000 0.52%
26 OPPENHEIMER & CO INC 26,920 520,000 0.48%
27 IFC Holdings Incorporated/FL 22,112 428,000 0.39%
28 Cetera Advisors LLC 21,659 418,000 0.38%
29 Capital Investment Advisors, LLC 21,132 408,000 0.37%
30 Montecito Bank & Trust 20,584 397,000 0.36% SH
31 VSR Financial Services, Inc. 20,144 389,000 0.36%
32 First Allied Advisory Services, Inc. 20,088 387,000 0.35%
33 Virtu KCG Holdings LLC 18,287 353,000 0.32%
34 PNC FINANCIAL SERVICES GROUP, INC. 17,090 329,000 0.30%
35 STEEL GROVE CAPITAL ADVISORS, LLC 15,614 302,000 0.28%
36 SIT INVESTMENT ASSOCIATES INC 15,000 290,000 0.27%
37 Raymond James Financial Services Advisors, Inc. 14,016 271,000 0.25%
38 B. Riley Wealth Advisors, Inc. 11,279 218,000 0.20%
39 Concert Wealth Management Inc. 10,495 205,000 0.19%
40 Global Endowment Management, LP 10,000 193,000 0.18%
41 WHITTIER TRUST CO 5,328 103,000 0.09%
42 People's United Financial, Inc. 4,954 96,000 0.09%
43 Gary Goldberg Planning Services Inc 4,756 92,000 0.08%
44 Winslow, Evans & Crocker, Inc. 4,406 85,080 0.08%
45 Tower Research Capital LLC (TRC) 4,200 81,000 0.07%
46 North Star Investment Management Corp. 2,926 56,000 0.05%
47 SYNOVUS FINANCIAL CORP 2,781 54,000 0.05%
48 NEW ENGLAND SECURITIES CORP /MA/ 2,600 50,000 0.05%
49 PRIVATE TRUST CO NA 2,100 41,000 0.04%
50 Lenox Wealth Management, Inc. 1,950 38,000 0.03%
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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.