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

Institutional Holders (2015Q1)
Portfolio Summary: 49 Institutional holders with a total value of $183,246,121.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 85,585 37,170,000 20.28%
2 WELLS FARGO & COMPANY/MN 724,920 31,484,000 17.18%
3 MORGAN STANLEY 684,650 29,734,000 16.23%
4 UBS Group AG 570,292 24,768,000 13.52%
5 BANK OF AMERICA CORP /DE/ 240,434 10,442,000 5.70%
6 Biltmore Wealth Management, LLC 184,464 8,011,000 4.37%
7 RAYMOND JAMES & ASSOCIATES 166,634 7,237,000 3.95%
8 ROYAL BANK OF CANADA 118,031 5,127,000 2.80%
9 LPL Financial LLC 59,807 2,582,000 1.41%
10 WESPAC Advisors, LLC 57,473 2,496,000 1.36%
11 GOLDMAN SACHS GROUP INC 50,366 2,187,000 1.19%
12 Janney Montgomery Scott LLC 49,347 2,143,000 1.17%
13 JPMORGAN CHASE & CO 46,991 2,041,000 1.11%
14 AMERIPRISE FINANCIAL INC 43,247 1,878,000 1.02%
15 CREDIT SUISSE AG/ 40,897 1,776,000 0.97%
16 MSI Financial Services Inc 39,179 1,702,000 0.93%
17 SG Americas Securities, LLC 32,645 1,418,000 0.77%
18 Investors Capital Advisory Services 28,670 1,245,000 0.68%
19 OPPENHEIMER & CO INC 25,820 1,121,000 0.61%
20 STIFEL FINANCIAL CORP 23,871 1,037,000 0.57%
21 Commonwealth Equity Services, Inc 22,477 976,000 0.53%
22 Timber Hill LLC 16,537 718,000 0.39%
23 JANE STREET GROUP, LLC 13,296 577,000 0.31%
24 Texas Yale Capital Corp. 12,074 524,000 0.29%
25 SUNTRUST BANKS INC 11,678 506,000 0.28%
26 AMERICAN INTERNATIONAL GROUP, INC. 11,510 499,892 0.27%
27 MANAGED ACCOUNT ADVISORS LLC 10,372 450,000 0.25%
28 SUSQUEHANNA INTERNATIONAL GROUP, LLP 10,020 435,000 0.24%
29 PNC FINANCIAL SERVICES GROUP, INC. 8,813 383,000 0.21%
30 OPTIMUM INVESTMENT ADVISORS 8,140 354,000 0.19%
31 COMERICA SECURITIES INC 8,075 351,000 0.19%
32 First Heartland Consultants, Inc. 6,361 276,000 0.15%
33 First Allied Advisory Services, Inc. 5,959 258,000 0.14%
34 Private Advisor Group, LLC 4,999 217,000 0.12%
35 CUE ADVISORY SERVICES, INC. 4,925 214,000 0.12%
36 HL FINANCIAL SERVICES LLC 4,781 208,000 0.11%
37 CITIGROUP INC 4,507 196,000 0.11%
38 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,310 187,000 0.10%
39 BOSTON PRIVATE BANK & TRUST CO 2,000 87,000 0.05%
40 CT Financial Advisors LLC 1,776 77,135 0.04%
41 Winslow, Evans & Crocker, Inc. 1,706 74,094 0.04%
42 BENJAMIN F. EDWARDS & COMPANY, INC. 390 17,000 0.01%
43 WFG Advisors, LP 329 14,000 0.01%
44 BANK OF MONTREAL /CAN/ 309 13,000 0.01%
45 Creative Planning 300 13,000 0.01%
46 CENTRAL TRUST Co 226 10,000 0.01%
47 Capital Directions Investment Advisors, LLC 186 8,000 0.00%
48 NEXT Financial Group, Inc 100 4,000 0.00%
49 Parallax Volatility Advisers, L.P. 1 0 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.