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FIRST TRUST PORTFOLIOS SHS ETF
FIRST TRUST PORTFOLIOS SHS ETF. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 34 Institutional holders with a total value of $89,279,849.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 514,146 19,229,000 21.54%
2 WELLS FARGO & COMPANY/MN 425,705 15,922,000 17.83%
3 UBS AG 353,340 13,215,000 14.80%
4 JPMORGAN CHASE & CO 201,492 7,536,000 8.44%
5 BANK OF AMERICA CORP /DE/ 176,007 6,583,000 7.37%
6 STRINGER ASSET MANAGEMENT, LLC 159,627 5,970,000 6.69%
7 DEUTSCHE BANK AG\ 117,033 4,376,000 4.90%
8 ROYAL BANK OF CANADA 114,656 4,287,000 4.80%
9 LPL Financial LLC 41,763 1,562,000 1.75%
10 Janney Montgomery Scott LLC 38,238 1,430,101 1.60%
11 RAYMOND JAMES & ASSOCIATES 34,098 1,275,000 1.43%
12 SUSQUEHANNA INTERNATIONAL GROUP, LLP 27,757 1,038,000 1.16%
13 Investors Capital Advisory Services 26,409 987,000 1.11%
14 Robert W. Baird & Co. Inc 24,042 899,000 1.01%
15 CREDIT SUISSE AG/ 22,548 843,000 0.94%
16 Commonwealth Equity Services, Inc 18,172 680,000 0.76%
17 CITADEL ADVISORS LLC 14,483 542,000 0.61%
18 STIFEL FINANCIAL CORP 10,913 408,000 0.46%
19 OPPENHEIMER & CO INC 10,300 385,000 0.43%
20 AMERIPRISE FINANCIAL INC 9,004 344,000 0.39%
21 First Allied Advisory Services, Inc. 8,824 331,000 0.37%
22 COMERICA SECURITIES INC 7,451 279,000 0.31%
23 SUNTRUST BANKS INC 7,363 275,000 0.31%
24 Texas Yale Capital Corp. 7,074 265,000 0.30%
25 Advisors Preferred, LLC 4,980 186,202 0.21%
26 CITIGROUP INC 4,102 153,000 0.17%
27 CT Financial Advisors LLC 1,776 77,135 0.09%
28 AMERICAN INTERNATIONAL GROUP, INC. 1,935 72,369 0.08%
29 B. Riley Wealth Management, Inc. 1,540 58,000 0.06%
30 Winslow, Evans & Crocker, Inc. 830 31,042 0.03%
31 NEW ENGLAND SECURITIES CORP /MA/ 562 21,000 0.02%
32 Tower Research Capital LLC (TRC) 322 12,000 0.01%
33 MSI Financial Services Inc 150 6,000 0.01%
34 WFG Advisors, LP 63 2,000 0.00%

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.