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NUVEEN PFD & INCOME TERM FD
NUVEEN PFD & INCOME TERM FD. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 30 Institutional holders with a total value of $78,001,545.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 131,020 29,872,000 38.30%
2 Invesco Ltd. 396,205 9,033,000 11.58%
3 COHEN & STEERS, INC. 309,536 7,057,000 9.05%
4 BANK OF AMERICA CORP /DE/ 251,236 5,728,000 7.34%
5 GUGGENHEIM CAPITAL LLC 219,015 4,994,000 6.40%
6 MORGAN STANLEY 184,922 4,216,000 5.41%
7 WELLS FARGO & COMPANY/MN 145,486 3,317,000 4.25%
8 Saba Capital Management, L.P. 118,004 2,690,000 3.45%
9 ROYAL BANK OF CANADA 81,818 1,866,000 2.39%
10 First Allied Advisory Services, Inc. 61,400 1,403,000 1.80%
11 CITIGROUP INC 60,668 1,383,000 1.77%
12 UBS AG 53,672 1,224,000 1.57%
13 VSR Financial Services, Inc. 44,898 1,024,000 1.31%
14 LPL Financial LLC 44,428 1,013,000 1.30%
15 Dominick & Dominick LLC 43,358 989,000 1.27%
16 AQR CAPITAL MANAGEMENT LLC 15,318 349,000 0.45%
17 Investors Capital Advisory Services 14,262 325,000 0.42%
18 Robert W. Baird & Co. Inc 12,170 277,000 0.36%
19 Gary Goldberg Planning Services Inc 10,380 237,000 0.30%
20 SignalPoint Asset Management, LLC 10,000 228,000 0.29%
21 Clear Harbor Asset Management, LLC 9,240 211,000 0.27%
22 Commonwealth Equity Services, Inc 9,063 207,000 0.27%
23 Winslow, Evans & Crocker, Inc. 4,059 92,545 0.12%
24 B. Riley Wealth Advisors, Inc. 3,500 80,000 0.10%
25 THOMPSON DAVIS & CO., INC. 3,250 74,000 0.09%
26 Thomas J. Herzfeld Advisors, Inc. 2,300 52,000 0.07%
27 WOLVERINE ASSET MANAGEMENT LLC 1,317 30,000 0.04%
28 PNC FINANCIAL SERVICES GROUP, INC. 666 15,000 0.02%
29 LADENBURG THALMANN FINANCIAL SERVICES INC. 600 14,000 0.02%
30 BARCLAYS PLC 46 1,000 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.