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

Institutional Holders (2015Q3)
Portfolio Summary: 49 Institutional holders with a total value of $123,004,121.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 683,569 26,913,000 21.88%
2 MORGAN STANLEY 605,403 23,835,000 19.38%
3 UBS Group AG 484,484 19,074,000 15.51%
4 BANK OF AMERICA CORP /DE/ 304,398 11,984,000 9.74%
5 RAYMOND JAMES & ASSOCIATES 142,306 5,603,000 4.56%
6 JPMORGAN CHASE & CO 101,323 3,987,000 3.24%
7 Biltmore Wealth Management, LLC 95,514 3,760,000 3.06%
8 Raymond James Financial Services Advisors, Inc. 67,117 2,642,000 2.15%
9 ROYAL BANK OF CANADA 60,475 2,380,000 1.93%
10 GOLDMAN SACHS GROUP INC 58,009 2,284,000 1.86%
11 AMERIPRISE FINANCIAL INC 56,299 2,216,000 1.80%
12 Janney Montgomery Scott LLC 52,562 2,069,000 1.68%
13 LPL Financial LLC 50,024 2,034,000 1.65%
14 SUSQUEHANNA INTERNATIONAL GROUP, LLP 37,236 1,466,000 1.19%
15 MSI Financial Services Inc 33,316 1,312,000 1.07%
16 JANE STREET GROUP, LLC 33,018 1,300,000 1.06%
17 Investors Capital Advisory Services 28,695 1,129,000 0.92%
18 OPPENHEIMER & CO INC 22,896 901,000 0.73%
19 CREDIT SUISSE AG/ 20,664 814,000 0.66%
20 STIFEL FINANCIAL CORP 20,049 789,000 0.64%
21 CITIGROUP INC 19,632 773,000 0.63%
22 AMERICAN INTERNATIONAL GROUP, INC. 15,042 592,000 0.48%
23 SUNTRUST BANKS INC 13,903 547,000 0.44%
24 CITADEL ADVISORS LLC 13,393 527,000 0.43%
25 Texas Yale Capital Corp. 12,074 475,000 0.39%
26 Commonwealth Equity Services, Inc 9,893 389,000 0.32%
27 OPTIMUM INVESTMENT ADVISORS 9,725 383,000 0.31%
28 Virtu KCG Holdings LLC 9,008 355,000 0.29%
29 SG Americas Securities, LLC 8,495 334,000 0.27%
30 PNC FINANCIAL SERVICES GROUP, INC. 8,270 326,000 0.27%
31 HRT FINANCIAL LP 6,634 261,000 0.21%
32 CUE ADVISORY SERVICES, INC. 6,595 260,000 0.21%
33 Private Advisor Group, LLC 5,688 224,000 0.18%
34 HL FINANCIAL SERVICES LLC 5,475 216,000 0.18%
35 J.P. Turner & Co Capital Mnagement, LLC 5,371 211,000 0.17%
36 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,472 176,000 0.14%
37 ADVANTAGE INVESTMENT MANAGEMENT, LLC 3,103 122,000 0.10%
38 Winslow, Evans & Crocker, Inc. 2,284 89,922 0.07%
39 CT Financial Advisors LLC 1,783 70,199 0.06%
40 SIMPLEX TRADING, LLC 1,000 39,000 0.03%
41 EDMOND DE ROTHSCHILD HOLDING S.A. 900 35,000 0.03%
42 EDMOND DE ROTHSCHILD (EUROPE) 900 35,000 0.03%
43 BANK OF MONTREAL /CAN/ 450 18,000 0.01%
44 WFG Advisors, LP 403 16,000 0.01%
45 Creative Planning 300 12,000 0.01%
46 MANUFACTURERS LIFE INSURANCE COMPANY, THE 286 11,000 0.01%
47 CENTRAL TRUST Co 226 9,000 0.01%
48 Tower Research Capital LLC (TRC) 157 6,000 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.