Dark
Light
System
Security
FIRST TRUST SPECIALTY FINANC
FIRST TRUST SPECIALTY FINANC. Institutional holdings reported to the SEC.

Institutional Holders (2015Q1)
Portfolio Summary: 15 Institutional holders with a total value of $10,612,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 540,102 4,067,000 38.32%
2 Advisors Asset Management, Inc. 175,421 1,323,000 12.47%
3 Robert W. Baird & Co. Inc 172,525 1,299,000 12.24%
4 Apriem Advisors 169,778 1,278,000 12.04%
5 MORGAN STANLEY 153,533 1,156,000 10.89%
6 Commonwealth Equity Services, Inc 107,031 806,000 7.60%
7 UBS Group AG 17,047 128,000 1.21%
8 IFC Holdings Incorporated/FL 15,949 121,000 1.14%
9 STIFEL FINANCIAL CORP 15,156 114,000 1.07%
10 ROYAL BANK OF CANADA 14,700 111,000 1.05%
11 LPL Financial LLC 10,110 76,000 0.72%
12 BENJAMIN F. EDWARDS & COMPANY, INC. 7,300 55,000 0.52%
13 SYNOVUS FINANCIAL CORP 6,597 50,000 0.47%
14 BANK OF AMERICA CORP /DE/ 2,643 20,000 0.19%
15 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,000 8,000 0.08%

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.