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NUVEEN SHT DUR CR OPP FD
NUVEEN SHT DUR CR OPP FD. Institutional holdings reported to the SEC.

Institutional Holders (2017Q2)
Portfolio Summary: 37 Institutional holders with a total value of $46,954,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GUGGENHEIM CAPITAL LLC 628,992 10,982,000 23.39%
2 JPMORGAN CHASE & CO 352,058 6,147,000 13.09%
3 Advisors Asset Management, Inc. 297,373 5,192,000 11.06%
4 COHEN & STEERS, INC. 211,934 3,700,000 7.88%
5 Invesco Ltd. 211,540 3,693,000 7.87%
6 LADENBURG THALMANN FINANCIAL SERVICES INC. 133,760 2,336,000 4.98%
7 COMERICA SECURITIES INC 109,672 1,926,000 4.10%
8 MORGAN STANLEY 104,486 1,825,000 3.89%
9 BANK OF AMERICA CORP /DE/ 94,681 1,653,000 3.52%
10 FIRST TRUST ADVISORS LP 88,190 1,540,000 3.28%
11 Raymond James Financial Services Advisors, Inc. 43,659 762,000 1.62%
12 WELLS FARGO & COMPANY/MN 43,213 754,000 1.61%
13 LPL Financial LLC 36,872 644,000 1.37%
14 Freestone Capital Holdings, LLC 32,705 571,000 1.22%
15 BAIRD FINANCIAL GROUP, INC. 30,063 525,000 1.12%
16 UBS Group AG 25,341 442,000 0.94%
17 PEAK CAPITAL MANAGEMENT LLC 23,912 418,000 0.89%
18 NWAM LLC 23,795 415,000 0.88%
19 Cambridge Investment Research Advisors, Inc. 21,348 373,000 0.79%
20 ROYAL BANK OF CANADA 21,016 367,000 0.78%
21 AE WEALTH MANAGEMENT LLC 18,127 316,000 0.67%
22 IFP ADVISORS, INC 17,000 297,000 0.63%
23 STIFEL FINANCIAL CORP 16,176 281,000 0.60%
24 SG Americas Securities, LLC 15,261 266,000 0.57%
25 Camelot Portfolios, LLC 15,000 262,000 0.56%
26 ENVESTNET ASSET MANAGEMENT INC 14,471 253,000 0.54%
27 AMERIPRISE FINANCIAL INC 12,643 221,000 0.47%
28 Janney Montgomery Scott LLC 12,570 219,000 0.47%
29 Advisory Services Network, LLC 11,938 208,000 0.44%
30 Creative Planning 9,000 157,000 0.33%
31 PATRIOT FINANCIAL GROUP INSURANCE AGENCY, LLC 3,500 61,000 0.13%
32 Gemmer Asset Management LLC 3,366 59,000 0.13%
33 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 2,850 50,000 0.11%
34 IHT WEALTH MANAGEMENT, LLC 2,049 27,000 0.06%
35 GLOBAL RETIREMENT PARTNERS, LLC 400 7,000 0.01%
36 GENEOS WEALTH MANAGEMENT INC. 200 3,000 0.01%
37 PENSERRA CAPITAL MANAGEMENT LLC 140 2,000 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.