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

Institutional Holders (2016Q4)
Portfolio Summary: 77 Institutional holders with a total value of $84,023,010.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ROYAL BANK OF CANADA 472,910 8,909,000 10.60%
2 BANK OF AMERICA CORP /DE/ 374,683 7,059,000 8.40%
3 MORGAN STANLEY 345,439 6,509,000 7.75%
4 Covington Capital Management 341,988 6,443,000 7.67%
5 LPL Financial LLC 219,576 4,295,000 5.11%
6 Invesco Ltd. 222,725 4,196,000 4.99%
7 Commonwealth Equity Services, Inc 221,180 4,167,000 4.96%
8 WELLS FARGO & COMPANY/MN 198,348 3,737,000 4.45%
9 IFC Holdings Incorporated/FL 184,101 3,470,000 4.13%
10 NWAM LLC 168,154 3,168,000 3.77%
11 UBS Group AG 142,676 2,688,000 3.20%
12 Laurion Capital Management LP 133,519 2,515,000 2.99%
13 Oxbow Advisors, LLC 133,049 2,507,000 2.98%
14 ADVISOR GROUP, INC. 109,188 2,057,000 2.45%
15 A. D. Beadell Investment Counsel, Inc. 98,018 1,846,000 2.20%
16 Raymond James Financial Services Advisors, Inc. 93,159 1,755,000 2.09%
17 NATIONAL PLANNING CORP 78,715 1,565,000 1.86%
18 LADENBURG THALMANN FINANCIAL SERVICES INC. 69,388 1,307,000 1.56%
19 Family Firm, Inc. 67,477 1,271,000 1.51%
20 BB&T SECURITIES, LLC 51,971 1,081,000 1.29%
21 TIEMANN INVESTMENT ADVISORS, LLC 55,050 1,037,000 1.23%
22 Cetera Advisor Networks LLC 47,994 903,000 1.07%
23 HighTower Advisors, LLC 46,425 874,000 1.04%
24 UNITED CAPITAL FINANCIAL ADVISORS, LLC 45,830 863,000 1.03%
25 Cambridge Investment Research Advisors, Inc. 39,154 738,000 0.88%
26 CLOUGH CAPITAL PARTNERS L P 37,000 697,000 0.83%
27 Private Advisor Group, LLC 34,676 676,000 0.80%
28 BARD ASSOCIATES INC 34,600 652,000 0.78%
29 EDMOND DE ROTHSCHILD HOLDING S.A. 34,240 645,000 0.77%
30 BRUDERMAN ASSET MANAGEMENT, LLC 32,112 605,000 0.72%
31 OPPENHEIMER & CO INC 24,868 469,000 0.56%
32 Sigma Planning Corp 23,538 443,000 0.53%
33 PNC FINANCIAL SERVICES GROUP, INC. 22,490 423,000 0.50%
34 Virtu KCG Holdings LLC 19,197 362,000 0.43%
35 MILLENNIUM MANAGEMENT LLC 15,981 301,000 0.36%
36 SIT INVESTMENT ASSOCIATES INC 15,000 283,000 0.34%
37 GENEOS WEALTH MANAGEMENT INC. 14,857 279,000 0.33%
38 First Allied Advisory Services, Inc. 14,775 278,000 0.33%
39 IFP ADVISORS, INC 14,179 267,000 0.32%
40 INVESTMENT CENTERS OF AMERICA INC 13,589 255,000 0.30%
41 Creative Planning 13,164 248,000 0.30%
42 US BANCORP \DE\ 10,985 207,000 0.25%
43 TWO SIGMA SECURITIES, LLC 10,599 200,000 0.24%
44 Weiss Asset Management LP 10,622 200,000 0.24%
45 WFG Advisors, LP 10,443 197,000 0.23%
46 LEE FINANCIAL CORP 13,300 148,000 0.18% PRN
47 COHEN & STEERS, INC. 7,717 145,000 0.17%
48 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 5,325 100,000 0.12%
49 People's United Financial, Inc. 4,954 93,000 0.11%
50 Winslow, Evans & Crocker, Inc. 4,406 83,010 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.