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MAINSTAY MACKAY DEFINEDTERM FD COM
MAINSTAY MACKAY DEFINEDTERM FD COM. Institutional holdings reported to the SEC.

Institutional Holders (2014Q4)
Portfolio Summary: 30 Institutional holders with a total value of $45,779,520.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BANK OF AMERICA CORP /DE/ 512,288 9,308,000 20.33%
2 MORGAN STANLEY 413,442 7,512,000 16.41%
3 RAYMOND JAMES & ASSOCIATES 234,787 4,266,000 9.32%
4 BB&T SECURITIES, LLC 23,166 4,209,000 9.19%
5 WELLS FARGO & COMPANY/MN 197,908 3,596,000 7.86%
6 GUGGENHEIM CAPITAL LLC 168,786 3,066,000 6.70%
7 UBS Group AG 168,360 3,059,000 6.68%
8 Advisors Asset Management, Inc. 167,315 3,040,000 6.64%
9 Commonwealth Equity Services, Inc 58,757 1,068,000 2.33%
10 SG Americas Securities, LLC 47,631 865,000 1.89%
11 Cetera Advisors LLC 46,065 838,000 1.83%
12 NATIONAL PLANNING CORP 37,550 695,051 1.52%
13 FIRST TRUST ADVISORS LP 35,188 639,000 1.40%
14 USCA RIA LLC 23,000 418,000 0.91%
15 VAN ECK ASSOCIATES CORP 22,687 412,000 0.90%
16 LPL Financial LLC 20,462 372,000 0.81%
17 MARINER INVESTMENT GROUP LLC 20,232 368,000 0.80%
18 Cambridge Investment Research Advisors, Inc. 16,384 298,000 0.65%
19 ASPIRIANT, LLC 15,750 286,000 0.62%
20 Liberty Street Advisors, Inc. 14,861 270,000 0.59%
21 Raymond James Financial Services Advisors, Inc. 14,370 261,000 0.57%
22 FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD 14,300 260,000 0.57%
23 AVIANCE CAPITAL MANAGEMENT, LLC 12,667 230,000 0.50%
24 Janney Montgomery Scott LLC 10,262 186,469 0.41%
25 ROYAL BANK OF CANADA 7,100 129,000 0.28%
26 CITIGROUP INC 5,070 92,000 0.20%
27 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,000 18,000 0.04%
28 D.A. DAVIDSON & CO. 560 10,000 0.02%
29 Tower Research Capital LLC (TRC) 200 4,000 0.01%
30 NEXT Financial Group, Inc 234 4,000 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.