Dark
Light
System
Security
FLAHERTY CRUMRINE PFD SECS
FLAHERTY CRUMRINE PFD SECS. Institutional holdings reported to the SEC.

Institutional Holders (2015Q1)
Portfolio Summary: 75 Institutional holders with a total value of $105,189,533.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 523,228 10,642,000 10.12%
2 BB&T SECURITIES, LLC 43,801 8,909,000 8.47%
3 Oxbow Advisors, LLC 405,078 8,239,000 7.83%
4 GUGGENHEIM CAPITAL LLC 403,986 8,217,000 7.81%
5 BANK OF AMERICA CORP /DE/ 363,571 7,395,000 7.03%
6 Invesco Ltd. 302,921 6,161,000 5.86%
7 MID CONTINENT CAPITAL LLC/IL 283,940 5,775,000 5.49%
8 LPL Financial LLC 224,185 4,569,000 4.34%
9 NWAM LLC 212,941 4,331,000 4.12%
10 Covington Capital Management 210,386 4,279,000 4.07%
11 COHEN & STEERS CAPITAL MANAGEMENT INC 202,308 4,115,000 3.91%
12 COHEN & STEERS, INC. 202,308 4,115,000 3.91%
13 ROYAL BANK OF CANADA 157,471 3,203,000 3.04%
14 UBS Group AG 154,913 3,151,000 3.00%
15 WELLS FARGO & COMPANY/MN 132,017 2,686,000 2.55%
16 Commonwealth Equity Services, Inc 112,242 2,283,000 2.17%
17 Cetera Advisor Networks LLC 101,735 2,065,000 1.96%
18 A. D. Beadell Investment Counsel, Inc. 97,618 1,985,000 1.89%
19 LADENBURG THALMANN FINANCIAL SERVICES INC. 69,448 1,413,000 1.34%
20 Family Firm, Inc. 51,262 1,043,000 0.99%
21 AMERICAN INTERNATIONAL GROUP, INC. 44,337 901,809 0.86%
22 BARD ASSOCIATES INC 40,775 829,000 0.79%
23 Cambridge Investment Research Advisors, Inc. 36,540 743,000 0.71%
24 IFC Holdings Incorporated/FL 32,812 663,000 0.63%
25 PNC FINANCIAL SERVICES GROUP, INC. 25,850 526,000 0.50%
26 OPPENHEIMER & CO INC 25,508 519,000 0.49%
27 NATIONAL PLANNING CORP 25,004 513,000 0.49%
28 Private Advisor Group, LLC 23,901 486,000 0.46%
29 Cetera Advisors LLC 22,923 463,000 0.44%
30 Capital Investment Advisors, LLC 3,646 388,000 0.37%
31 WFG Advisors, LP 18,260 371,000 0.35%
32 Sigma Planning Corp 17,603 358,000 0.34%
33 Investors Capital Advisory Services 17,147 348,000 0.33%
34 Montecito Bank & Trust 16,800 342,000 0.33%
35 SIT INVESTMENT ASSOCIATES INC 15,000 305,000 0.29%
36 STEEL GROVE CAPITAL ADVISORS, LLC 14,337 292,000 0.28%
37 Virtu KCG Holdings LLC 12,416 253,000 0.24%
38 Affiance Financial, LLC 11,670 237,000 0.23%
39 B. Riley Wealth Advisors, Inc. 10,979 223,000 0.21%
40 HighTower Advisors, LLC 10,258 209,000 0.20%
41 VSR Financial Services, Inc. 10,000 203,000 0.19%
42 SYNOVUS FINANCIAL CORP 6,879 140,000 0.13%
43 MARINER WEALTH ADVISORS-NYC, LLC 5,770 117,000 0.11%
44 MSI Financial Services Inc 5,340 109,000 0.10%
45 WHITTIER TRUST CO 5,328 108,000 0.10%
46 People's United Financial, Inc. 4,954 101,000 0.10%
47 BRUDERMAN ASSET MANAGEMENT, LLC 4,789 97,000 0.09%
48 Creative Planning 4,473 91,000 0.09%
49 Winslow, Evans & Crocker, Inc. 4,406 89,620 0.09%
50 Advisory Services Network, LLC 3,600 73,000 0.07%
Page 1 of 2

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.