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FIRST TRUST SPECIALTY FINANC
FIRST TRUST SPECIALTY FINANC. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 22 Institutional holders with a total value of $11,852,455.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Advisors Asset Management, Inc. 505,080 3,889,000 32.81%
2 WELLS FARGO & COMPANY/MN 398,763 3,071,000 25.91%
3 MORGAN STANLEY 161,962 1,247,000 10.52%
4 Apriem Advisors 111,060 855,000 7.21%
5 WOLVERINE ASSET MANAGEMENT LLC 97,732 752,000 6.34%
6 Commonwealth Equity Services, Inc 40,096 309,000 2.61%
7 MARINER INVESTMENT GROUP LLC 32,500 250,000 2.11%
8 Shaker Financial Services, LLC 31,681 244,000 2.06%
9 UBS AG 23,497 181,000 1.53%
10 STIFEL FINANCIAL CORP 21,480 165,000 1.39%
11 CORNERSTONE ADVISORS INC 20,214 156,000 1.32%
12 LADENBURG THALMANN FINANCIAL SERVICES INC. 14,744 114,000 0.96%
13 Virtu KCG Holdings LLC 14,089 108,000 0.91%
14 CITADEL ADVISORS LLC 13,567 104,000 0.88%
15 LPL Financial LLC 13,274 102,000 0.86%
16 ROYAL BANK OF CANADA 12,200 94,000 0.79%
17 AMERICAN INTERNATIONAL GROUP, INC. 9,150 70,455 0.59%
18 WESTPORT RESOURCES MANAGEMENT INC 7,875 61,000 0.51%
19 BENJAMIN F. EDWARDS & COMPANY, INC. 4,400 34,000 0.29%
20 CITIGROUP INC 3,886 30,000 0.25%
21 Thomas J. Herzfeld Advisors, Inc. 1,797 14,000 0.12%
22 Tower Research Capital LLC (TRC) 200 2,000 0.02%

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.