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

Institutional Holders (2016Q1)
Portfolio Summary: 20 Institutional holders with a total value of $6,245,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 556,443 3,434,000 54.99%
2 Commonwealth Equity Services, Inc 103,271 637,000 10.20%
3 IFC Holdings Incorporated/FL 100,866 621,000 9.94%
4 AMERICAN INTERNATIONAL GROUP, INC. 71,799 443,000 7.09%
5 Raymond James Financial Services Advisors, Inc. 50,608 312,000 5.00%
6 LPL Financial LLC 37,666 224,000 3.59%
7 BANK OF AMERICA CORP /DE/ 16,197 100,000 1.60%
8 Capital Investment Advisors, LLC 13,100 81,000 1.30%
9 AMERIPRISE FINANCIAL INC 12,444 77,000 1.23%
10 DOLIVER ADVISORS, LP 11,919 74,000 1.18%
11 ROYAL BANK OF CANADA 11,484 71,000 1.14%
12 SYNOVUS FINANCIAL CORP 6,597 41,000 0.66%
13 MORGAN STANLEY 6,596 41,000 0.66%
14 BENJAMIN F. EDWARDS & COMPANY, INC. 6,550 40,000 0.64%
15 UBS Group AG 3,620 22,000 0.35%
16 FineMark National Bank & Trust 3,000 19,000 0.30%
17 LADENBURG THALMANN FINANCIAL SERVICES INC. 851 5,000 0.08%
18 IFP ADVISORS, INC 250 2,000 0.03%
19 Tower Research Capital LLC (TRC) 200 1,000 0.02%
20 CITIGROUP INC 38 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.