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

Institutional Holders (2016Q1)
Portfolio Summary: 44 Institutional holders with a total value of $131,140,725.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 689,652 29,607,000 22.58%
2 WELLS FARGO & COMPANY/MN 646,584 27,758,000 21.17%
3 UBS Group AG 458,145 19,668,000 15.00%
4 LPL Financial LLC 231,908 9,826,000 7.49%
5 GOLDMAN SACHS GROUP INC 203,245 8,725,000 6.65%
6 RAYMOND JAMES & ASSOCIATES 135,672 5,824,000 4.44%
7 BANK OF AMERICA CORP /DE/ 135,528 5,818,000 4.44%
8 Raymond James Financial Services Advisors, Inc. 76,060 3,265,000 2.49%
9 Janney Montgomery Scott LLC 51,885 2,227,000 1.70%
10 AMERIPRISE FINANCIAL INC 50,638 2,174,000 1.66%
11 SUSQUEHANNA INTERNATIONAL GROUP, LLP 49,773 2,138,000 1.63%
12 ROYAL BANK OF CANADA 43,849 1,882,000 1.44%
13 JPMORGAN CHASE & CO 38,817 1,667,000 1.27%
14 Virtu KCG Holdings LLC 33,165 1,424,000 1.09%
15 OPPENHEIMER & CO INC 27,426 1,177,000 0.90%
16 JANE STREET GROUP, LLC 25,515 1,095,000 0.83%
17 Investors Capital Advisory Services 22,788 978,000 0.75%
18 MSI Financial Services Inc 19,100 820,000 0.63%
19 STIFEL FINANCIAL CORP 16,632 714,000 0.54%
20 SUNTRUST BANKS INC 15,919 678,000 0.52%
21 AMERICAN INTERNATIONAL GROUP, INC. 14,835 637,000 0.49%
22 Texas Yale Capital Corp. 12,074 518,000 0.39%
23 Commonwealth Equity Services, Inc 9,262 398,000 0.30%
24 OPTIMUM INVESTMENT ADVISORS 8,425 362,000 0.28%
25 HL FINANCIAL SERVICES LLC 7,995 343,000 0.26%
26 PNC FINANCIAL SERVICES GROUP, INC. 7,412 318,000 0.24%
27 CITIGROUP INC 5,980 257,000 0.20%
28 BB&T SECURITIES, LLC 4,758 204,000 0.16%
29 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,607 198,000 0.15%
30 Advisory Services Network, LLC 2,543 109,000 0.08%
31 CT Financial Advisors LLC 1,802 77,353 0.06%
32 Winslow, Evans & Crocker, Inc. 1,383 59,372 0.05%
33 IFP ADVISORS, INC 964 41,000 0.03%
34 GENEOS WEALTH MANAGEMENT INC. 870 37,000 0.03%
35 SIGNATUREFD, LLC 705 30,000 0.02%
36 WFG Advisors, LP 531 23,000 0.02%
37 Financial Architects, Inc 403 17,000 0.01%
38 Creative Planning 300 13,000 0.01%
39 Tower Research Capital LLC (TRC) 264 11,000 0.01%
40 CENTRAL TRUST Co 226 10,000 0.01%
41 Capital Directions Investment Advisors, LLC 186 8,000 0.01%
42 Advisors Preferred, LLC 115 5,000 0.00%
43 Parallax Volatility Advisers, L.P. 1 0 0.00%
44 CUTLER GROUP LLC / CA 200 0 0.00% Call

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.