Stock Transactions — FLAHERTY & CRUMRINE DYNAMIC

Total Bought
929,557
42 transactions
Total Sold
568,650
28 transactions
Net
+360,907
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 INC54,393358,344+303,9510.020.16+0.13buy
RAYMOND JAMES FINANCIAL INC1,083,0131,281,510+198,4970.010.01+0.00buy
WELLS FARGO & COMPANY/MN188,111305,509+117,3980.000.00+0.00buy
1607 Capital Partners, LLC079,500+79,5000.000.13+0.13buy
Fiera Capital Corp053,931+53,9310.000.00+0.00buy
Wela Strategies, Inc.023,917+23,9170.000.20+0.20buy
Hennion & Walsh Asset Management, Inc.98,723122,011+23,2880.080.10+0.01buy
STIFEL FINANCIAL CORP021,231+21,2310.000.00+0.00buy
Invesco Ltd.310,380324,801+14,4210.000.00+0.00buy
HRT FINANCIAL LP011,926+11,9260.000.00+0.00buy
GUGGENHEIM CAPITAL LLC345,568356,889+11,3210.060.06-0.00buy
Janney Montgomery Scott LLC23,23333,396+10,1630.000.00+0.00buy
MGB Wealth Management, LLC010,000+10,0000.000.06+0.06buy
STANCE CAPITAL LLC08,406+8,4060.000.07+0.07buy
ROYAL BANK OF CANADA28,80933,892+5,0830.000.00+0.00buy
Atlantic Union Bankshares Corp04,500+4,5000.000.00+0.00buy
Triumph Capital Management04,250+4,2500.000.01+0.01buy
Farther Finance Advisors, LLC2,5456,573+4,0280.000.00+0.00buy
&PARTNERS30,27934,029+3,7500.000.00-0.00buy
ENVESTNET ASSET MANAGEMENT INC68,78072,231+3,4510.000.00+0.00buy
Concurrent Investment Advisors, LLC27,06230,247+3,1850.010.01+0.00buy
WEDBUSH SECURITIES INC10,60012,800+2,2000.010.01+0.00buy
Whipplewood Advisors, LLC93,98596,089+2,1041.061.37+0.31buy
LEVEL FOUR ADVISORY SERVICES, LLC9,75011,500+1,7500.010.01+0.00buy
Private Advisor Group, LLC36,71238,375+1,6630.000.00+0.00buy
PRINCIPAL SECURITIES, INC.36,35037,777+1,4270.010.01-0.00buy
Smith Asset Management Co., LLC100,089101,043+9541.771.86+0.09buy
Cetera Investment Advisers22,15123,083+9320.000.00-0.00buy
Samalin Investment Counsel, LLC45,07145,675+6040.360.34-0.01buy
Advisory Services Network, LLC0365+3650.000.00+0.00buy
CoreCap Advisors, LLC0350+3500.000.00+0.00buy
Cambridge Investment Research Advisors, Inc.89,51789,792+2750.010.01-0.00buy
OSAIC HOLDINGS, INC.49,98650,150+1640.000.00-0.00buy
Russell Investments Group, Ltd.0150+1500.000.00+0.00buy
Baird Financial Group, Inc.19,48919,622+1330.000.00-0.00buy
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO1,2661,349+830.000.00+0.00buy
Rockefeller Capital Management L.P.074+740.000.00+0.00buy
Golden State Wealth Management, LLC4,0644,131+670.010.01-0.00buy
AlphaCore Capital LLC39,48339,504+210.030.03-0.00buy
MCF Advisors LLC1,1881,208+200.000.00-0.00buy
HARBOUR INVESTMENTS, INC.881896+150.000.00-0.00buy
Steward Partners Investment Advisory, LLC2,8002,809+90.000.00-0.00buy
SOUTH PLAINS FINANCIAL, INC.4,0224,02200.060.05-0.00hold
COHEN & STEERS, INC.461,489461,48900.020.02+0.00hold
North Star Investment Management Corp.2,2002,20000.000.00-0.00hold
Mathes Company, Inc.15,50015,50000.120.12+0.00hold
AdvisorNet Financial, Inc4,2504,25000.010.01-0.00hold
Palogic Value Management, L.P.20,50020,50000.180.19+0.01hold
Westside Investment Management, Inc.1,6671,66700.010.01-0.00hold
Allworth Financial LP1,4801,48000.000.00-0.00hold
Cerity Partners LLC14,30014,30000.000.00-0.00hold
Sound Income Strategies, LLC23623600.000.00+0.00hold
Geneos Wealth Management Inc.85585500.000.00+0.00hold
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC10,95010,95000.070.08+0.00hold
Newbridge Financial Services Group, Inc.50050000.000.00-0.00hold
Fiduciary Alliance LLC10,35010,35000.020.02-0.00hold
Abel Hall, LLC10,50010,50000.100.09-0.01hold
Catalina Capital Group, LLC13,94613,94600.190.19-0.01hold
HUNTINGTON NATIONAL BANK0000.000.00-0.00hold
COMERICA BANK2,2002,20000.000.00+0.00hold
Elequin Capital, LP360-360.000.00-0.00sell
CWM, LLC2,1522,053-990.000.00-0.00sell
FMR LLC4000-4000.000.00-0.00sell
SEAMOUNT FINANCIAL GROUP INC47,70347,073-6300.500.48-0.02sell
J.W. COLE ADVISORS, INC.10,93610,260-6760.000.00-0.00sell
Merit Financial Group, LLC23,37722,628-7490.010.00-0.00sell
CENTAURUS FINANCIAL, INC.16,48315,583-9000.020.02-0.00sell
HighTower Advisors, LLC22,42821,454-9740.000.00-0.00sell
Capital Analysts, LLC32,21331,121-1,0920.020.02-0.00sell
NewEdge Advisors, LLC35,82034,713-1,1070.000.00-0.00sell
PNC FINANCIAL SERVICES GROUP, INC.5,4453,345-2,1000.000.00-0.00sell
Revisor Wealth Management LLC66,12963,618-2,5110.500.48-0.02sell
Walleye Capital LLC17,50312,437-5,0660.000.00-0.00sell
Kovitz Investment Group Partners, LLC161,099154,058-7,0410.010.01-0.00sell
1776 Wealth LLC60,19952,741-7,4580.510.44-0.07sell
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.7,8770-7,8770.020.00-0.02sell
CARY STREET PARTNERS FINANCIAL LLC24,95113,570-11,3810.010.01-0.01sell
Virtu Financial LLC12,1680-12,1680.010.00-0.01sell
COMMONWEALTH EQUITY SERVICES, LLC58,03244,671-13,3610.000.00-0.00sell
BANK OF AMERICA CORP /DE/17,7480-17,7480.000.00-0.00sell
Strategic Advocates LLC43,96025,478-18,4820.270.14-0.12sell
READYSTATE ASSET MANAGEMENT LP23,7840-23,7840.020.00-0.02sell
WOLVERINE ASSET MANAGEMENT LLC29,0970-29,0970.010.00-0.01sell
MORGAN STANLEY159,907130,735-29,1720.000.00-0.00sell
LPL Financial LLC267,453221,770-45,6830.000.00-0.00sell
AMERIPRISE FINANCIAL INC154,85693,619-61,2370.000.00-0.00sell
Shaker Financial Services, LLC130,86069,440-61,4200.970.52-0.46sell
Pathstone Holdings, LLC219,99613,595-206,4010.020.00-0.02sell
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