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FIRST TR EXCHANGE TRADED ALP
FIRST TR EXCHANGE TRADED ALP. Institutional holdings reported to the SEC.

Institutional Holders (2014Q3)
Portfolio Summary: 26 Institutional holders with a total value of $27,330,079.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 308,969 9,207,000 33.69%
2 WELLS FARGO & COMPANY/MN 168,959 5,035,000 18.42%
3 BB&T SECURITIES, LLC 10,015 2,984,000 10.92%
4 Institute for Wealth Management, LLC. 80,741 2,437,000 8.92%
5 ROYAL BANK OF CANADA 49,042 1,461,000 5.35%
6 LPL Financial LLC 36,220 1,065,000 3.90%
7 AMERICAN INTERNATIONAL GROUP, INC. 33,459 997,079 3.65%
8 STIFEL FINANCIAL CORP 24,341 725,000 2.65%
9 SUSQUEHANNA INTERNATIONAL GROUP, LLP 21,864 651,000 2.38%
10 First Heartland Consultants, Inc. 15,924 475,000 1.74%
11 BANK OF AMERICA CORP /DE/ 15,866 473,000 1.73%
12 ENVESTNET ASSET MANAGEMENT INC 12,030 358,000 1.31%
13 Cambridge Investment Research Advisors, Inc. 11,716 349,000 1.28%
14 M&T BANK CORP 8,111 242,000 0.89%
15 AMERIPRISE FINANCIAL INC 7,523 224,000 0.82%
16 Commonwealth Equity Services, Inc 7,191 214,000 0.78%
17 Private Advisor Group, LLC 6,750 201,000 0.74%
18 UBS AG 4,456 133,000 0.49%
19 NEXT Financial Group, Inc 1,853 55,000 0.20%
20 BENJAMIN F. EDWARDS & COMPANY, INC. 497 15,000 0.05%
21 MSI Financial Services Inc 305 9,000 0.03%
22 D.A. DAVIDSON & CO. 193 5,000 0.02%
23 WFG Advisors, LP 160 5,000 0.02%
24 JNBA Financial Advisors 180 5,000 0.02%
25 LADENBURG THALMANN FINANCIAL SERVICES INC. 91 3,000 0.01%
26 Orion Porfolio Solutions, LLC 65 2,000 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.