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HANCOCK JOHN PFD INCOME FD
HANCOCK JOHN PFD INCOME FD. Institutional holdings reported to the SEC.

Institutional Holders (2015Q3)
Portfolio Summary: 44 Institutional holders with a total value of $36,724,598.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 UBS Group AG 323,028 6,244,000 17.00%
2 Invesco Ltd. 251,105 4,853,000 13.21%
3 GUGGENHEIM CAPITAL LLC 242,652 4,691,000 12.77%
4 LPL Financial LLC 135,883 2,643,000 7.20%
5 CREDIT SUISSE AG/ 111,501 2,155,000 5.87%
6 PRING TURNER CAPITAL GROUP INC 83,650 1,617,000 4.40%
7 Commonwealth Equity Services, Inc 81,685 1,579,000 4.30%
8 Capital Investment Advisors, LLC 69,673 1,347,000 3.67%
9 COHEN & STEERS, INC. 57,505 1,112,000 3.03%
10 TSP Capital Management Group, LLC 55,550 1,074,000 2.92%
11 BANK OF AMERICA CORP /DE/ 55,239 1,068,000 2.91%
12 WELLS FARGO & COMPANY/MN 49,872 964,000 2.62%
13 MORGAN STANLEY 49,185 951,000 2.59%
14 Investors Capital Advisory Services 47,983 927,000 2.52%
15 VICUS CAPITAL 30,375 587,000 1.60%
16 Cambridge Investment Research Advisors, Inc. 29,532 571,000 1.55%
17 INVESTMENT CENTERS OF AMERICA INC 28,533 560,000 1.52%
18 MONROE BANK & TRUST/MI 23,043 446,000 1.21%
19 ROYAL BANK OF CANADA 20,442 395,000 1.08%
20 WOLVERINE ASSET MANAGEMENT LLC 19,550 377,000 1.03%
21 AMERICAN INTERNATIONAL GROUP, INC. 16,742 323,000 0.88%
22 BAIRD FINANCIAL GROUP, INC. 16,548 320,000 0.87%
23 AMERIPRISE FINANCIAL INC 15,864 307,000 0.84%
24 Private Advisor Group, LLC 12,446 241,000 0.66%
25 Shaker Financial Services, LLC 12,259 237,000 0.65%
26 Windsor Capital Management, LLC 11,771 227,000 0.62%
27 Cetera Advisors LLC 10,275 199,000 0.54%
28 ProVise Management Group, LLC 10,000 193,000 0.53%
29 WFG Advisors, LP 8,318 161,000 0.44%
30 Creative Planning 4,100 79,000 0.22%
31 LADENBURG THALMANN FINANCIAL SERVICES INC. 3,408 65,000 0.18%
32 ASSET PLANNING SERVICES, LTD. 3,087 60,000 0.16%
33 PNC FINANCIAL SERVICES GROUP, INC. 1,522 29,000 0.08%
34 INTEGRATED WEALTH MANAGEMENT 1,400 27,000 0.07%
35 Donald L. Hagan, LLC 1,000 19,000 0.05%
36 Advisory Services Network, LLC 978 19,000 0.05%
37 CITY HOLDING CO 1,000 19,000 0.05%
38 Winslow, Evans & Crocker, Inc. 600 11,598 0.03%
39 Regal Investment Advisors LLC 500 9,000 0.02%
40 BANK OF MONTREAL /CAN/ 352 7,000 0.02%
41 CAPTRUST FINANCIAL ADVISORS 295 6,000 0.02%
42 US BANCORP \DE\ 200 4,000 0.01%
43 NEXT Financial Group, Inc 100 1,000 0.00%
44 Brookstone Capital Management 4 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.