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

Institutional Holders (2016Q3)
Portfolio Summary: 31 Institutional holders with a total value of $67,992,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BANK OF AMERICA CORP /DE/ 764,283 15,546,000 22.86%
2 GUGGENHEIM CAPITAL LLC 463,748 9,433,000 13.87%
3 MORGAN STANLEY 420,360 8,550,000 12.58%
4 RAYMOND JAMES & ASSOCIATES 397,111 8,077,000 11.88%
5 Advisors Asset Management, Inc. 266,194 5,414,000 7.96%
6 UBS Group AG 198,238 4,032,000 5.93%
7 ROBINSON CAPITAL MANAGEMENT, LLC 162,475 3,305,000 4.86%
8 Raymond James Financial Services Advisors, Inc. 160,501 3,265,000 4.80%
9 WELLS FARGO & COMPANY/MN 130,635 2,657,000 3.91%
10 VAN ECK ASSOCIATES CORP 78,467 1,596,000 2.35%
11 USCA RIA LLC 58,244 1,185,000 1.74%
12 FIRST TRUST ADVISORS LP 34,220 696,000 1.02%
13 LPL Financial LLC 30,506 617,000 0.91%
14 Summit Financial Wealth Advisors, LLC 25,850 526,000 0.77%
15 TRUE PRIVATE WEALTH ADVISORS 19,900 392,000 0.58%
16 Cetera Advisors LLC 19,115 388,000 0.57%
17 Janney Montgomery Scott LLC 18,139 369,000 0.54%
18 Advisory Services Network, LLC 17,000 346,000 0.51%
19 Regal Investment Advisors LLC 14,733 300,000 0.44%
20 STIFEL FINANCIAL CORP 12,807 262,000 0.39%
21 DOLIVER ADVISORS, LP 11,377 231,000 0.34%
22 HighTower Advisors, LLC 10,516 214,000 0.31%
23 ROYAL BANK OF CANADA 8,133 165,000 0.24%
24 BlackRock Investment Management, LLC 5,212 106,000 0.16%
25 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,259 86,000 0.13%
26 CITIGROUP INC 4,163 85,000 0.13%
27 PNC FINANCIAL SERVICES GROUP, INC. 3,000 61,000 0.09%
28 ADVANTAGE INVESTMENT MANAGEMENT, LLC 1,800 37,000 0.05%
29 INTEGRATED WEALTH MANAGEMENT 1,400 28,000 0.04%
30 SEI INVESTMENTS CO 667 14,000 0.02%
31 NEXT Financial Group, Inc 434 9,000 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.