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

Institutional Holders (2014Q3)
Portfolio Summary: 33 Institutional holders with a total value of $78,097,994.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 121,364 27,804,000 35.60%
2 Invesco Ltd. 438,381 10,043,000 12.86%
3 COHEN & STEERS, INC. 336,028 7,698,000 9.86%
4 BANK OF AMERICA CORP /DE/ 206,246 4,725,000 6.05%
5 GUGGENHEIM CAPITAL LLC 186,600 4,275,000 5.47%
6 WELLS FARGO & COMPANY/MN 153,313 3,512,000 4.50%
7 Robert W. Baird & Co. Inc 149,513 3,425,000 4.39% SH
8 MORGAN STANLEY 147,528 3,381,000 4.33%
9 ROYAL BANK OF CANADA 83,894 1,922,000 2.46%
10 Saba Capital Management, L.P. 80,534 1,845,000 2.36%
11 UBS AG 61,646 1,412,000 1.81%
12 NATIONAL PLANNING CORP 49,773 1,143,000 1.46%
13 RIVERNORTH CAPITAL MANAGEMENT, LLC 46,329 1,061,000 1.36%
14 Dominick & Dominick LLC 42,903 983,000 1.26%
15 LPL Financial LLC 42,226 965,000 1.24%
16 AQR CAPITAL MANAGEMENT LLC 40,891 937,000 1.20%
17 VSR Financial Services, Inc. 32,963 755,000 0.97%
18 JANE STREET GROUP, LLC 18,076 414,000 0.53%
19 Investors Capital Advisory Services 14,262 326,000 0.42%
20 WEDBUSH SECURITIES INC 11,031 253,000 0.32%
21 Gary Goldberg Planning Services Inc 10,380 238,000 0.30%
22 SignalPoint Asset Management, LLC 10,000 229,000 0.29%
23 Capital Investment Advisors, LLC 9,925 227,000 0.29%
24 Commonwealth Equity Services, Inc 9,010 206,000 0.26%
25 Winslow, Evans & Crocker, Inc. 4,060 92,994 0.12%
26 THOMPSON DAVIS & CO., INC. 3,250 74,000 0.09%
27 Thomas J. Herzfeld Advisors, Inc. 2,300 53,000 0.07%
28 DEUTSCHE BANK AG\ 2,300 52,000 0.07%
29 CITIGROUP INC 600 14,000 0.02%
30 THRIVENT FINANCIAL FOR LUTHERANS 600 14,000 0.02%
31 MSI Financial Services Inc 440 10,000 0.01%
32 B. Riley Wealth Management, Inc. 400 9,000 0.01%
33 ENVESTNET ASSET MANAGEMENT INC 1 0 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.