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

Institutional Holders (2014Q2)
Portfolio Summary: 21 Institutional holders with a total value of $11,216,207.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Advisors Asset Management, Inc. 460,158 3,732,000 33.27%
2 WELLS FARGO & COMPANY/MN 370,996 3,009,000 26.83%
3 MORGAN STANLEY 204,975 1,662,000 14.82%
4 Apriem Advisors 115,853 940,000 8.38%
5 Commonwealth Equity Services, Inc 39,795 323,000 2.88%
6 WOLVERINE ASSET MANAGEMENT LLC 38,727 314,000 2.80%
7 Eos Management, L.P. 33,737 274,000 2.44%
8 Shaker Financial Services, LLC 22,997 187,000 1.67%
9 CORNERSTONE ADVISORS INC 16,439 133,000 1.19%
10 STIFEL FINANCIAL CORP 16,176 131,000 1.17%
11 LPL Financial LLC 15,536 126,000 1.12%
12 ROYAL BANK OF CANADA 14,300 116,000 1.03%
13 AMERICAN INTERNATIONAL GROUP, INC. 9,150 74,207 0.66%
14 UBS AG 6,835 55,000 0.49%
15 WESTPORT RESOURCES MANAGEMENT INC 6,000 49,000 0.44%
16 BENJAMIN F. EDWARDS & COMPANY, INC. 5,700 46,000 0.41%
17 AMERIPRISE FINANCIAL INC 2,883 23,000 0.21%
18 Thomas J. Herzfeld Advisors, Inc. 1,797 15,000 0.13%
19 LADENBURG THALMANN FINANCIAL SERVICES INC. 625 5,000 0.04%
20 Tower Research Capital LLC (TRC) 240 2,000 0.02%
21 CITIGROUP INC 11 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.