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

Institutional Holders (2016Q2)
Portfolio Summary: 42 Institutional holders with a total value of $110,595,311.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 620,516 26,887,000 24.31%
2 MORGAN STANLEY 601,357 26,056,000 23.56%
3 UBS Group AG 241,541 10,466,000 9.46%
4 GOLDMAN SACHS GROUP INC 203,245 8,807,000 7.96%
5 RAYMOND JAMES & ASSOCIATES 114,875 4,978,000 4.50%
6 LPL Financial LLC 113,989 4,867,000 4.40%
7 Janney Montgomery Scott LLC 101,697 4,372,000 3.95%
8 BANK OF AMERICA CORP /DE/ 93,980 4,072,000 3.68%
9 SUSQUEHANNA INTERNATIONAL GROUP, LLP 69,558 3,019,000 2.73%
10 ROYAL BANK OF CANADA 68,038 2,948,000 2.67%
11 Raymond James Financial Services Advisors, Inc. 49,156 2,130,000 1.93%
12 AMERIPRISE FINANCIAL INC 40,018 1,706,000 1.54%
13 JPMORGAN CHASE & CO 34,668 1,505,000 1.36%
14 Investors Capital Advisory Services 22,392 970,000 0.88%
15 Virtu KCG Holdings LLC 20,740 899,000 0.81%
16 OPPENHEIMER & CO INC 19,160 830,000 0.75%
17 SUNTRUST BANKS INC 16,674 711,000 0.64%
18 ADVISOR GROUP, INC. 14,835 642,000 0.58%
19 MSI Financial Services Inc 14,509 629,000 0.57%
20 JANE STREET GROUP, LLC 13,583 589,000 0.53%
21 Texas Yale Capital Corp. 12,074 523,000 0.47%
22 CITADEL ADVISORS LLC 10,261 445,000 0.40%
23 Commonwealth Equity Services, Inc 9,313 404,000 0.37%
24 OPTIMUM INVESTMENT ADVISORS 8,425 365,000 0.33%
25 PNC FINANCIAL SERVICES GROUP, INC. 7,267 315,000 0.28%
26 HL FINANCIAL SERVICES LLC 6,630 287,000 0.26%
27 SG Americas Securities, LLC 5,795 252,000 0.23%
28 SOCIETE GENERALE 5,795 252,000 0.23%
29 LADENBURG THALMANN FINANCIAL SERVICES INC. 5,023 217,000 0.20%
30 CITIGROUP INC 3,463 150,000 0.14%
31 Winslow, Evans & Crocker, Inc. 1,384 59,926 0.05%
32 CT Financial Advisors LLC 1,278 55,385 0.05%
33 IFP ADVISORS, INC 965 42,000 0.04%
34 GENEOS WEALTH MANAGEMENT INC. 870 37,000 0.03%
35 SIGNATUREFD, LLC 705 31,000 0.03%
36 WFG Advisors, LP 532 23,000 0.02%
37 Financial Architects, Inc 439 19,000 0.02%
38 Advisors Preferred, LLC 366 16,000 0.01%
39 CENTRAL TRUST Co 226 10,000 0.01%
40 Capital Directions Investment Advisors, LLC 186 8,000 0.01%
41 Tower Research Capital LLC (TRC) 27 1,000 0.00%
42 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.