Stock Transactions — FLAHERTY & CRUMRINE DYNAMIC

Total Bought
263,001
32 transactions
Total Sold
274,208
30 transactions
Net
-11,207
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
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Change in Shares
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Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
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Change in Weight (%)
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Type
SIT INVESTMENT ASSOCIATES INC445,325581,566+136,2410.180.24+0.05buy
HRT FINANCIAL LP027,049+27,0490.000.00+0.00buy
RAYMOND JAMES FINANCIAL INC1,218,1041,241,270+23,1660.010.01-0.00buy
Hennion & Walsh Asset Management, Inc.158,315175,333+17,0180.110.12+0.00buy
COHEN & STEERS, INC.461,489476,489+15,0000.020.02-0.00buy
STANCE CAPITAL LLC08,708+8,7080.000.08+0.08buy
WOLVERINE ASSET MANAGEMENT LLC8128,193+7,3810.000.00+0.00buy
Janney Montgomery Scott LLC35,43542,192+6,7570.000.00+0.00buy
&PARTNERS36,92740,008+3,0810.000.00-0.00buy
HARBOUR INVESTMENTS, INC.9113,961+3,0500.000.00+0.00buy
COMMONWEALTH EQUITY SERVICES, LLC48,56751,046+2,4790.000.00+0.00buy
ENVESTNET ASSET MANAGEMENT INC40,64142,586+1,9450.000.00-0.00buy
PRINCIPAL SECURITIES, INC.39,24841,192+1,9440.010.01-0.00buy
AMERIPRISE FINANCIAL INC87,69589,386+1,6910.000.00+0.00buy
Cetera Investment Advisers21,48922,871+1,3820.000.00+0.00buy
Private Advisor Group, LLC38,86239,931+1,0690.000.00-0.00buy
AdvisorNet Financial, Inc4,2505,272+1,0220.000.01+0.00buy
Triumph Capital Management4,4505,275+8250.020.02+0.00buy
Rockefeller Capital Management L.P.73814+7410.000.00+0.00buy
HighTower Advisors, LLC10,17210,776+6040.000.00-0.00buy
1607 Capital Partners, LLC107,017107,617+6000.150.16+0.00buy
Advisory Services Network, LLC0365+3650.000.00+0.00buy
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO1,8002,010+2100.000.00+0.00buy
NewEdge Advisors, LLC33,33733,541+2040.000.00-0.00buy
Steward Partners Investment Advisory, LLC2,8002,900+1000.000.00-0.00buy
Farther Finance Advisors, LLC17,84517,937+920.000.00-0.00buy
Golden State Wealth Management, LLC4,2084,283+750.010.01+0.00buy
Catalina Capital Group, LLC13,98514,045+600.180.17-0.01buy
CoreCap Advisors, LLC350398+480.000.00+0.00buy
Concurrent Investment Advisors, LLC30,22430,269+450.010.01-0.00buy
HIGHLINE WEALTH PARTNERS LLC100140+400.000.00+0.00buy
Capital Investment Advisors, LLC25,69025,699+90.010.01-0.00buy
WEDBUSH SECURITIES INC12,70012,70000.010.01-0.00hold
North Star Investment Management Corp.2,3002,30000.000.00-0.00hold
Mathes Company, Inc.18,00018,00000.130.13-0.00hold
CARY STREET PARTNERS FINANCIAL LLC10,24610,24600.010.01-0.00hold
Palogic Value Management, L.P.20,50020,50000.180.18-0.00hold
Westside Investment Management, Inc.1,6671,66700.010.01-0.00hold
Allworth Financial LP1,3801,38000.000.00-0.00hold
Cerity Partners LLC14,30014,30000.000.00-0.00hold
MCF Advisors LLC1,2291,22900.000.00-0.00hold
LEVEL FOUR ADVISORY SERVICES, LLC11,50011,50000.010.01-0.00hold
Sound Income Strategies, LLC23623600.000.00-0.00hold
Geneos Wealth Management Inc.85585500.000.00-0.00hold
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC10,95010,95000.070.06-0.01hold
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC6,7636,76300.010.01-0.00hold
Fiduciary Alliance LLC10,35010,35000.010.01-0.00hold
Abel Hall, LLC10,50010,50000.050.04-0.01hold
HUNTINGTON NATIONAL BANK0000.000.00-0.00hold
PNC FINANCIAL SERVICES GROUP, INC.3,3453,34500.000.00+0.00hold
Atlantic Union Bankshares Corp4,5004,50000.000.00-0.00hold
CWM, LLC1,8371,836-10.000.00-0.00sell
Whipplewood Advisors, LLC94,84594,779-661.270.99-0.28sell
1776 Wealth LLC52,13252,038-940.410.41+0.00sell
CENTAURUS FINANCIAL, INC.15,58315,483-1000.010.01-0.00sell
Baird Financial Group, Inc.19,46819,325-1430.000.00-0.00sell
Capital Analysts, LLC34,40134,194-2070.020.02-0.00sell
STIFEL FINANCIAL CORP23,28022,602-6780.000.00-0.00sell
Merit Financial Group, LLC22,77622,086-6900.000.00-0.00sell
OSAIC HOLDINGS, INC.48,32947,549-7800.000.00-0.00sell
Camelot Portfolios, LLC1,0000-1,0000.010.00-0.01sell
AlphaCore Capital LLC37,14936,142-1,0070.020.02-0.00sell
Revisor Wealth Management LLC62,07661,021-1,0550.360.34-0.02sell
Smith Asset Management Co., LLC96,88495,067-1,8171.661.64-0.03sell
SEAMOUNT FINANCIAL GROUP INC47,08044,992-2,0880.440.41-0.04sell
Cambridge Investment Research Advisors, Inc.94,06190,714-3,3470.010.00-0.00sell
Fiera Capital Corp101,60197,034-4,5670.010.01-0.00sell
Pinnacle Wealth Planning Services, Inc.5,3070-5,3070.010.00-0.01sell
Samalin Investment Counsel, LLC42,83337,471-5,3620.320.27-0.05sell
Focus Partners Wealth148,586142,893-5,6930.000.00-0.00sell
ROYAL BANK OF CANADA38,26131,240-7,0210.000.00-0.00sell
Invesco Ltd.308,922301,703-7,2190.000.00-0.00sell
LPL Financial LLC196,022188,728-7,2940.000.00-0.00sell
Kestra Advisory Services, LLC7,5890-7,5890.000.00-0.00sell
J.W. COLE ADVISORS, INC.10,2700-10,2700.010.00-0.01sell
MORGAN STANLEY129,167118,598-10,5690.000.00-0.00sell
READYSTATE ASSET MANAGEMENT LP10,7820-10,7820.010.00-0.01sell
Strategic Advocates LLC21,92881-21,8470.120.01-0.11sell
WELLS FARGO & COMPANY/MN279,231237,078-42,1530.000.00-0.00sell
Shaker Financial Services, LLC57,0120-57,0120.380.00-0.38sell
GUGGENHEIM CAPITAL LLC301,249242,799-58,4500.050.04-0.01sell
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