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

Institutional Holders (2015Q3)
Portfolio Summary: 79 Institutional holders with a total value of $82,705,239.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 472,681 8,863,000 10.72%
2 BANK OF AMERICA CORP /DE/ 377,795 7,084,000 8.57%
3 Invesco Ltd. 307,089 5,758,000 6.96%
4 Oxbow Advisors, LLC 285,995 5,362,000 6.48%
5 MID CONTINENT CAPITAL LLC/IL 276,364 5,182,000 6.27%
6 GUGGENHEIM CAPITAL LLC 253,560 4,754,000 5.75%
7 Covington Capital Management 252,982 4,743,000 5.73%
8 LPL Financial LLC 181,829 3,451,000 4.17%
9 WELLS FARGO & COMPANY/MN 172,522 3,235,000 3.91%
10 UBS Group AG 160,589 3,011,000 3.64%
11 ROYAL BANK OF CANADA 137,780 2,583,000 3.12%
12 Commonwealth Equity Services, Inc 126,148 2,365,000 2.86%
13 COHEN & STEERS, INC. 123,518 2,316,000 2.80%
14 Affiance Financial, LLC 102,711 1,926,000 2.33%
15 NATIONAL PLANNING CORP 93,721 1,886,000 2.28%
16 A. D. Beadell Investment Counsel, Inc. 97,718 1,832,000 2.22%
17 Cetera Advisor Networks LLC 90,444 1,697,000 2.05%
18 Family Firm, Inc. 71,177 1,335,000 1.61%
19 UNITED CAPITAL FINANCIAL ADVISORS, LLC 70,481 1,322,000 1.60%
20 LADENBURG THALMANN FINANCIAL SERVICES INC. 69,531 1,303,000 1.58%
21 FIRST FOUNDATION ADVISORS 55,940 1,049,000 1.27%
22 AMERICAN INTERNATIONAL GROUP, INC. 54,218 1,016,000 1.23%
23 BB&T SECURITIES, LLC 46,164 865,000 1.05%
24 IFC Holdings Incorporated/FL 41,315 769,000 0.93%
25 BARD ASSOCIATES INC 37,300 699,000 0.85%
26 Cambridge Investment Research Advisors, Inc. 36,260 680,000 0.82%
27 NORTHERN TRUST CORP 32,049 601,000 0.73%
28 Investors Capital Advisory Services 27,434 514,000 0.62%
29 PNC FINANCIAL SERVICES GROUP, INC. 27,200 511,000 0.62%
30 OPPENHEIMER & CO INC 24,796 465,000 0.56%
31 Private Advisor Group, LLC 23,742 445,000 0.54%
32 Cetera Advisors LLC 23,423 441,000 0.53%
33 Sigma Planning Corp 20,453 384,000 0.46%
34 Capital Investment Advisors, LLC 18,988 356,000 0.43%
35 BRUDERMAN ASSET MANAGEMENT, LLC 17,334 325,000 0.39%
36 TIEMANN INVESTMENT ADVISORS, LLC 17,100 321,000 0.39%
37 SIT INVESTMENT ASSOCIATES INC 15,000 281,000 0.34%
38 WFG Advisors, LP 13,386 251,000 0.30%
39 Virtu KCG Holdings LLC 12,214 229,000 0.28%
40 ENVESTNET ASSET MANAGEMENT INC 12,119 227,000 0.27%
41 HighTower Advisors, LLC 11,258 211,000 0.26%
42 Concert Wealth Management Inc. 11,045 207,000 0.25%
43 US BANCORP \DE\ 10,991 206,000 0.25%
44 B. Riley Wealth Advisors, Inc. 10,480 197,000 0.24%
45 New England Private Wealth Advisors LLC 10,000 188,000 0.23%
46 VSR Financial Services, Inc. 10,000 188,000 0.23%
47 SYNOVUS FINANCIAL CORP 6,373 119,000 0.14%
48 WHITTIER TRUST CO 5,328 100,000 0.12%
49 People's United Financial, Inc. 4,954 93,000 0.11%
50 Creative Planning 4,444 83,000 0.10%
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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.