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NUVEEN CORE EQUITY ALPHA FD
NUVEEN CORE EQUITY ALPHA FD. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 33 Institutional holders with a total value of $36,510,611.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Karpus Management, Inc. 439,705 6,037,000 16.53%
2 Advisors Asset Management, Inc. 421,535 5,788,000 15.85%
3 RAYMOND JAMES & ASSOCIATES 265,837 3,650,000 10.00%
4 GUGGENHEIM CAPITAL LLC 235,868 3,238,000 8.87%
5 UBS Group AG 178,851 2,456,000 6.73%
6 LADENBURG THALMANN FINANCIAL SERVICES INC. 177,376 2,436,000 6.67%
7 Shaker Financial Services, LLC 140,871 1,934,000 5.30%
8 BANK OF AMERICA CORP /DE/ 127,915 1,756,000 4.81%
9 LPL Financial LLC 105,292 1,426,000 3.91%
10 MORGAN STANLEY 80,669 1,107,000 3.03%
11 WELLS FARGO & COMPANY/MN 72,576 996,000 2.73%
12 Invesco Ltd. 58,183 799,000 2.19%
13 BANK OF NOVA SCOTIA 56,007 769,000 2.11%
14 AUSDAL FINANCIAL PARTNERS, INC. 54,391 747,000 2.05%
15 Jacobus Wealth Management, Inc. 47,265 649,000 1.78%
16 ROYAL BANK OF CANADA 29,852 410,000 1.12%
17 Raymond James Financial Services Advisors, Inc. 23,919 328,000 0.90%
18 ADVISOR GROUP, INC. 21,740 298,000 0.82%
19 Commonwealth Equity Services, Inc 18,304 251,000 0.69%
20 PNC FINANCIAL SERVICES GROUP, INC. 16,517 227,000 0.62%
21 CITIGROUP INC 15,237 209,000 0.57%
22 ALLEGIS INVESTMENT ADVISORS, LLC 14,875 204,000 0.56%
23 FineMark National Bank & Trust 13,765 193,000 0.53%
24 TFS CAPITAL LLC 12,094 166,000 0.45%
25 DOLIVER ADVISORS, LP 10,126 139,000 0.38%
26 GENEOS WEALTH MANAGEMENT INC. 9,665 132,000 0.36%
27 Thomas J. Herzfeld Advisors, Inc. 4,693 64,000 0.18%
28 US BANCORP \DE\ 3,200 44,000 0.12%
29 Creative Planning 1,553 21,000 0.06%
30 IFP ADVISORS, INC 1,257 17,000 0.05%
31 SONORA INVESTMENT MANAGEMENT, LLC 700 9,611 0.03%
32 People's United Financial, Inc. 575 8,000 0.02%
33 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 100 2,000 0.01%

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.