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

Institutional Holders (2014Q4)
Portfolio Summary: 40 Institutional holders with a total value of $74,449,650.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 128,884 28,934,000 38.86%
2 Invesco Ltd. 436,396 9,798,000 13.16%
3 COHEN & STEERS, INC. 336,028 7,544,000 10.13%
4 Robert W. Baird & Co. Inc 180,567 4,054,000 5.45%
5 WELLS FARGO & COMPANY/MN 174,845 3,925,000 5.27%
6 MORGAN STANLEY 154,101 3,460,000 4.65%
7 BANK OF AMERICA CORP /DE/ 99,405 2,231,000 3.00%
8 ROYAL BANK OF CANADA 87,802 1,971,000 2.65%
9 NATIONAL PLANNING CORP 64,493 1,460,766 1.96%
10 UBS Group AG 62,118 1,395,000 1.87%
11 RIVERNORTH CAPITAL MANAGEMENT, LLC 45,303 1,017,000 1.37%
12 LPL Financial LLC 44,805 1,006,000 1.35%
13 SG Americas Securities, LLC 36,080 810,000 1.09%
14 SIT INVESTMENT ASSOCIATES INC 35,500 797,000 1.07%
15 VSR Financial Services, Inc. 32,729 733,000 0.98%
16 Dominick & Dominick LLC 31,625 710,000 0.95%
17 Virtu KCG Holdings LLC 25,745 578,000 0.78%
18 AQR CAPITAL MANAGEMENT LLC 24,288 545,000 0.73%
19 Shaker Financial Services, LLC 22,450 504,000 0.68%
20 GOLDMAN SACHS GROUP INC 18,476 415,000 0.56%
21 DOLIVER ADVISORS, LP 24,404 350,000 0.47%
22 Capital Investment Advisors, LLC 15,407 346,000 0.46%
23 BOOTHBAY FUND MANAGEMENT, LLC 14,700 330,000 0.44%
24 Investors Capital Advisory Services 14,262 320,000 0.43%
25 WEDBUSH SECURITIES INC 11,922 268,000 0.36%
26 Gary Goldberg Planning Services Inc 10,380 233,000 0.31%
27 SignalPoint Asset Management, LLC 10,000 224,000 0.30%
28 Winslow, Evans & Crocker, Inc. 4,060 91,126 0.12%
29 THOMPSON DAVIS & CO., INC. 2,750 62,000 0.08%
30 B. Riley Wealth Advisors, Inc. 2,500 56,000 0.08%
31 Thomas J. Herzfeld Advisors, Inc. 2,300 52,000 0.07%
32 DEUTSCHE BANK AG\ 2,300 51,000 0.07%
33 Tower Research Capital LLC (TRC) 1,558 35,000 0.05%
34 REGENTATLANTIC CAPITAL LLC 1,500 33,675 0.05%
35 CITIGROUP INC 1,267 28,000 0.04%
36 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,005 23,000 0.03%
37 Stratos Wealth Partners, LTD. 850 19,083 0.03%
38 ENVESTNET ASSET MANAGEMENT INC 864 19,000 0.03%
39 NEXT Financial Group, Inc 540 12,000 0.02%
40 FIFTH THIRD BANCORP 400 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.