Dark
Light
System
Security
FIRST TRUST EXCHANGE-TRADED FU NAS CLNEDG GREEN ETF
FIRST TRUST EXCHANGE-TRADED FU NAS CLNEDG GREEN ETF. Institutional holdings reported to the SEC.

Institutional Holders (2014Q2)
Portfolio Summary: 36 Institutional holders with a total value of $47,263,041.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 484,318 9,953,000 21.06%
2 SG Americas Securities, LLC 297,216 6,111,000 12.93%
3 UBS AG 235,133 4,832,000 10.22%
4 GOLDMAN SACHS GROUP INC 234,175 4,812,000 10.18%
5 MORGAN STANLEY 198,198 4,073,000 8.62%
6 BANK OF AMERICA CORP /DE/ 192,349 3,953,000 8.36%
7 RAYMOND JAMES & ASSOCIATES 109,901 2,258,000 4.78%
8 CREDIT SUISSE AG/ 79,366 1,631,000 3.45%
9 WESPAC Advisors, LLC 77,307 1,589,000 3.36%
10 DEUTSCHE BANK AG\ 58,154 1,195,000 2.53%
11 SUSQUEHANNA INTERNATIONAL GROUP, LLP 44,284 910,000 1.93%
12 LPL Financial LLC 38,464 790,000 1.67%
13 Wellington Shields Capital Management, LLC 31,600 649,000 1.37%
14 CAPITAL MANAGEMENT ASSOCIATES /NY/ 31,600 649,000 1.37%
15 YHB Investment Advisors, Inc. 30,685 631,000 1.34%
16 Curbstone Financial Management Corp 29,300 602,000 1.27%
17 ROYAL BANK OF CANADA 18,724 385,000 0.81%
18 MSI Financial Services Inc 14,885 306,000 0.65%
19 LADENBURG THALMANN FINANCIAL SERVICES INC. 13,089 268,000 0.57%
20 Virtu KCG Holdings LLC 12,443 255,000 0.54%
21 First Allied Advisory Services, Inc. 11,074 229,000 0.48%
22 AMERIPRISE FINANCIAL INC 10,921 224,000 0.47%
23 Commonwealth Equity Services, Inc 10,223 210,000 0.44%
24 Advisors Preferred, LLC 8,198 168,550 0.36%
25 AMERICAN INTERNATIONAL GROUP, INC. 6,766 139,042 0.29%
26 Blume Capital Management, Inc. 4,900 101,000 0.21%
27 B. Riley Wealth Advisors, Inc. 4,158 85,449 0.18%
28 Pinnacle Summer Investments, Inc. 3,702 74,000 0.16%
29 Apriem Advisors 2,200 45,000 0.10%
30 CITIGROUP INC 1,700 35,000 0.07%
31 ENVESTNET ASSET MANAGEMENT INC 1,605 33,000 0.07%
32 Community Financial Services Group, LLC 1,056 22,000 0.05%
33 PNC FINANCIAL SERVICES GROUP, INC. 880 18,000 0.04%
34 Bartlett & Co. LLC 600 12,000 0.03%
35 Tower Research Capital LLC (TRC) 528 11,000 0.02%
36 Partnervest Advisory Services LLC 200 4,000 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.