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

Institutional Holders (2014Q2)
Portfolio Summary: 39 Institutional holders with a total value of $96,292,527.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 606,513 24,231,000 25.16%
2 UBS AG 436,641 17,444,000 18.12%
3 WELLS FARGO & COMPANY/MN 427,617 17,083,000 17.74%
4 BANK OF AMERICA CORP /DE/ 180,557 7,213,000 7.49%
5 STRINGER ASSET MANAGEMENT, LLC 179,582 7,174,000 7.45%
6 ROYAL BANK OF CANADA 65,569 2,619,000 2.72%
7 SG Americas Securities, LLC 56,720 2,264,000 2.35%
8 DEUTSCHE BANK AG\ 55,597 2,221,000 2.31%
9 Janney Montgomery Scott LLC 41,039 1,639,504 1.70%
10 LPL Financial LLC 39,329 1,571,000 1.63%
11 RAYMOND JAMES & ASSOCIATES 36,680 1,465,000 1.52%
12 Investors Capital Advisory Services 31,910 1,274,000 1.32%
13 STIFEL FINANCIAL CORP 31,782 1,270,000 1.32%
14 NAVELLIER & ASSOCIATES INC 31,009 1,239,000 1.29%
15 Robert W. Baird & Co. Inc 23,806 951,000 0.99%
16 SUSQUEHANNA INTERNATIONAL GROUP, LLP 23,684 945,000 0.98%
17 AMERIPRISE FINANCIAL INC 20,249 809,000 0.84%
18 CREDIT SUISSE AG/ 19,962 797,000 0.83%
19 Commonwealth Equity Services, Inc 18,367 734,000 0.76%
20 JPMORGAN CHASE & CO 15,538 621,000 0.64%
21 OPPENHEIMER & CO INC 15,348 613,000 0.64%
22 Texas Yale Capital Corp. 12,074 482,000 0.50%
23 First Allied Advisory Services, Inc. 8,096 323,000 0.34%
24 SUNTRUST BANKS INC 7,402 295,000 0.31%
25 First Heartland Consultants, Inc. 5,933 237,000 0.25%
26 HL FINANCIAL SERVICES LLC 5,435 217,000 0.23%
27 Advisors Preferred, LLC 3,837 153,173 0.16%
28 CITIGROUP INC 3,755 150,000 0.16%
29 AMERICAN INTERNATIONAL GROUP, INC. 1,886 75,345 0.08%
30 Winslow, Evans & Crocker, Inc. 1,190 47,540 0.05%
31 B. Riley Wealth Advisors, Inc. 700 27,965 0.03%
32 LADENBURG THALMANN FINANCIAL SERVICES INC. 603 24,000 0.02%
33 NEW ENGLAND SECURITIES CORP /MA/ 562 22,000 0.02%
34 PNC FINANCIAL SERVICES GROUP, INC. 470 19,000 0.02%
35 MSI Financial Services Inc 450 18,000 0.02%
36 BENJAMIN F. EDWARDS & COMPANY, INC. 390 16,000 0.02%
37 NEXT Financial Group, Inc 100 4,000 0.00%
38 WFG Advisors, LP 63 3,000 0.00%
39 Tower Research Capital LLC (TRC) 21 1,000 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.