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

Institutional Holders (2016Q3)
Portfolio Summary: 46 Institutional holders with a total value of $146,050,575.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 722,719 36,794,000 25.19%
2 MORGAN STANLEY 705,737 35,928,000 24.60%
3 UBS Group AG 277,958 14,151,000 9.69%
4 LPL Financial LLC 197,839 10,052,000 6.88%
5 BANK OF AMERICA CORP /DE/ 112,962 5,751,000 3.94%
6 BB&T SECURITIES, LLC 98,703 5,024,000 3.44%
7 NAVELLIER & ASSOCIATES INC 93,595 4,765,000 3.26%
8 RAYMOND JAMES & ASSOCIATES 76,927 3,916,000 2.68%
9 Janney Montgomery Scott LLC 75,139 3,825,000 2.62%
10 ROYAL BANK OF CANADA 65,321 3,326,000 2.28%
11 GOLDMAN SACHS GROUP INC 50,268 2,559,000 1.75%
12 Raymond James Financial Services Advisors, Inc. 48,122 2,450,000 1.68%
13 Financial Management Professionals, Inc. 47,014 2,393,000 1.64%
14 AMERIPRISE FINANCIAL INC 40,165 2,148,000 1.47%
15 MSI Financial Services Inc 41,332 2,104,000 1.44%
16 Cambridge Investment Research Advisors, Inc. 29,871 1,521,000 1.04%
17 SUSQUEHANNA INTERNATIONAL GROUP, LLP 26,129 1,330,000 0.91%
18 Commonwealth Equity Services, Inc 19,829 1,009,000 0.69%
19 OPTIMUM INVESTMENT ADVISORS 19,665 1,001,000 0.69%
20 OPPENHEIMER & CO INC 18,826 958,000 0.66%
21 ADVISOR GROUP, INC. 14,778 752,000 0.51%
22 SUNTRUST BANKS INC 16,870 719,000 0.49%
23 Texas Yale Capital Corp. 12,074 615,000 0.42%
24 Private Advisor Group, LLC 10,611 539,000 0.37%
25 PNC FINANCIAL SERVICES GROUP, INC. 7,214 367,000 0.25%
26 ENVESTNET ASSET MANAGEMENT INC 6,976 355,000 0.24%
27 HL FINANCIAL SERVICES LLC 6,806 346,000 0.24%
28 SG Americas Securities, LLC 6,466 329,000 0.23%
29 LADENBURG THALMANN FINANCIAL SERVICES INC. 5,028 256,000 0.18%
30 CITIGROUP INC 3,092 157,000 0.11%
31 FLOW TRADERS U.S. LLC 2,007 102,000 0.07%
32 Winslow, Evans & Crocker, Inc. 1,384 70,410 0.05%
33 CT Financial Advisors LLC 1,280 65,165 0.04%
34 JPMORGAN CHASE & CO 1,183 60,000 0.04%
35 IFP ADVISORS, INC 966 49,000 0.03%
36 Argentus Capital Management, LLC 936 48,000 0.03%
37 NEXT Financial Group, Inc 900 46,000 0.03%
38 GENEOS WEALTH MANAGEMENT INC. 870 44,000 0.03%
39 JNBA Financial Advisors 550 28,000 0.02%
40 SIGNATUREFD, LLC 550 28,000 0.02%
41 WFG Advisors, LP 532 27,000 0.02%
42 Financial Architects, Inc 439 22,000 0.02%
43 Capital Directions Investment Advisors, LLC 186 9,000 0.01%
44 CENTRAL TRUST Co 182 9,000 0.01%
45 MYCIO WEALTH PARTNERS, LLC 66 3,000 0.00%
46 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.