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

Institutional Holders (2014Q4)
Portfolio Summary: 57 Institutional holders with a total value of $177,358,568.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 862,433 37,731,000 21.27%
2 MORGAN STANLEY 779,695 34,112,000 19.23%
3 UBS Group AG 596,906 26,115,000 14.72%
4 BANK OF AMERICA CORP /DE/ 245,755 10,752,000 6.06%
5 RAYMOND JAMES & ASSOCIATES 205,028 8,970,000 5.06%
6 Biltmore Wealth Management, LLC 150,183 6,571,000 3.70%
7 JPMORGAN CHASE & CO 106,068 4,640,000 2.62%
8 ROYAL BANK OF CANADA 95,212 4,166,000 2.35%
9 Sigma Planning Corp 92,248 4,036,000 2.28%
10 BB&T SECURITIES, LLC 7,843 3,431,000 1.93%
11 STRINGER ASSET MANAGEMENT, LLC 72,699 3,181,000 1.79%
12 WESPAC Advisors, LLC 56,627 2,477,000 1.40%
13 Pekin Hardy Strauss, Inc. 56,627 2,477,000 1.40%
14 LPL Financial LLC 54,107 2,367,000 1.33%
15 GOLDMAN SACHS GROUP INC 51,093 2,235,000 1.26%
16 Janney Montgomery Scott LLC 46,561 2,037,044 1.15%
17 NAVELLIER & ASSOCIATES INC 40,721 1,782,000 1.00%
18 VSR Financial Services, Inc. 38,060 1,665,000 0.94%
19 SG Americas Securities, LLC 36,145 1,581,000 0.89%
20 Robert W. Baird & Co. Inc 34,981 1,530,000 0.86%
21 SUSQUEHANNA INTERNATIONAL GROUP, LLP 34,727 1,519,000 0.86%
22 BAROMETER CAPITAL MANAGEMENT INC. 31,300 1,369,000 0.77%
23 Investors Capital Advisory Services 28,670 1,254,000 0.71%
24 AMERIPRISE FINANCIAL INC 25,953 1,135,000 0.64%
25 MSI Financial Services Inc 24,720 1,082,000 0.61%
26 JANE STREET GROUP, LLC 24,569 1,075,000 0.61%
27 OPPENHEIMER & CO INC 21,116 924,000 0.52%
28 Commonwealth Equity Services, Inc 19,993 875,000 0.49%
29 Timber Hill LLC 19,369 847,000 0.48%
30 Cetera Advisor Networks LLC 15,566 682,000 0.38%
31 CREDIT SUISSE AG/ 14,890 651,000 0.37%
32 Texas Yale Capital Corp. 12,074 528,000 0.30%
33 STIFEL FINANCIAL CORP 10,671 467,000 0.26%
34 COMERICA SECURITIES INC 8,915 390,000 0.22%
35 DEUTSCHE BANK AG\ 7,050 308,000 0.17%
36 First Heartland Consultants, Inc. 6,361 278,000 0.16%
37 OPTIMUM INVESTMENT ADVISORS 6,040 264,000 0.15%
38 First Allied Advisory Services, Inc. 5,959 262,000 0.15%
39 HL FINANCIAL SERVICES LLC 5,897 258,000 0.15%
40 Argent Trust Co 5,679 248,000 0.14%
41 B. Riley Wealth Advisors, Inc. 4,405 193,000 0.11%
42 CITIGROUP INC 4,105 180,000 0.10%
43 AMERICAN INTERNATIONAL GROUP, INC. 2,734 119,613 0.07%
44 Advisors Preferred, LLC 2,161 94,543 0.05%
45 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,037 89,000 0.05%
46 BOSTON PRIVATE BANK & TRUST CO 2,000 88,000 0.05%
47 CT Financial Advisors LLC 1,772 77,543 0.04%
48 Stratos Wealth Partners, LTD. 1,591 69,606 0.04%
49 Winslow, Evans & Crocker, Inc. 1,486 64,970 0.04%
50 NEW ENGLAND SECURITIES CORP /MA/ 1,271 56,000 0.03%
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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.