NUVEEN PFD & INCM SECURTIES

CUSIP: 67072C105 Class: COM

Regal Investment Advisors LLC's Holding History (CIK: 0001559789)

Note: Option positions (PUT/CALL) are excluded.

Q3 2014
Shares 950 Value ($000) $8 Avg Close — Range —
Q2 2014
Shares 950 Value ($000) $9 Avg Close — Range —
Q1 2014
Shares 950 Value ($000) $8 Avg Close — Range —
Q4 2013
Shares 950 Value ($000) $8 Avg Close — Range —
Q3 2013
Shares 1,425 Value ($000) $12 Avg Close — Range —
Q2 2013
Shares 1,425 Value ($000) $13 Avg Close — Range —