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

Institutional Holders (2016Q4)
Portfolio Summary: 18 Institutional holders with a total value of $11,169,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 UBS Group AG 5,065 36,000 0.32%
2 ROYAL BANK OF CANADA 9,677 68,000 0.61%
3 BANK OF AMERICA CORP /DE/ 9,683 68,000 0.61%
4 RAYMOND JAMES & ASSOCIATES 11,907 84,000 0.75%
5 Bank of New York Mellon Corp 12,000 85,000 0.76%
6 MORGAN STANLEY 18,819 133,000 1.19%
7 Raymond James Financial Services Advisors, Inc. 19,811 140,000 1.25%
8 First Allied Advisory Services, Inc. 24,222 171,000 1.53%
9 GOOD LIFE ADVISORS, LLC 27,862 208,000 1.86%
10 ADVISOR GROUP, INC. 37,999 268,000 2.40%
11 AVEO CAPITAL PARTNERS, LLC 44,982 318,000 2.85%
12 AMERIPRISE FINANCIAL INC 45,191 328,000 2.94%
13 LPL Financial LLC 56,614 406,000 3.64%
14 BAIRD FINANCIAL GROUP, INC. 79,054 558,000 5.00%
15 Commonwealth Equity Services, Inc 93,864 663,000 5.94%
16 IFC Holdings Incorporated/FL 168,854 1,189,000 10.65%
17 FLAGSHIP HARBOR ADVISORS, LLC 173,848 1,331,000 11.92%
18 WELLS FARGO & COMPANY/MN 724,479 5,115,000 45.80%

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.