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

Institutional Holders (2016Q4)
Portfolio Summary: 26 Institutional holders with a total value of $38,472,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BANK OF AMERICA CORP /DE/ 191,967 9,827,000 25.54%
2 MORGAN STANLEY 170,913 8,749,000 22.74%
3 LPL Financial LLC 102,756 5,259,000 13.67%
4 RAYMOND JAMES & ASSOCIATES 96,372 4,933,000 12.82%
5 GOLDMAN SACHS GROUP INC 44,619 2,284,000 5.94%
6 ROYAL BANK OF CANADA 15,265 781,000 2.03%
7 LADENBURG THALMANN FINANCIAL SERVICES INC. 12,828 657,000 1.71%
8 Raymond James Financial Services Advisors, Inc. 12,304 630,000 1.64%
9 BSC PRIVATE WEALTH MANAGEMENT, LLC 10,817 554,000 1.44%
10 First Heartland Consultants, Inc. 10,156 520,000 1.35%
11 LVZ, Inc. 9,677 495,000 1.29%
12 WELLS FARGO & COMPANY/MN 8,688 445,000 1.16%
13 BERGANKDV WEALTH MANAGEMENT, LLC 7,935 406,000 1.06%
14 CAPITAL INVESTMENT ADVISORY SERVICES, LLC 7,620 390,000 1.01%
15 Regal Investment Advisors LLC 7,441 381,000 0.99%
16 MSI Financial Services Inc 6,826 349,000 0.91%
17 USCA RIA LLC 6,600 338,000 0.88%
18 IFC Holdings Incorporated/FL 6,427 328,000 0.85%
19 HighTower Advisors, LLC 5,053 260,000 0.68%
20 HL FINANCIAL SERVICES LLC 4,706 241,000 0.63%
21 Cetera Advisors LLC 4,300 220,000 0.57%
22 ADVISOR GROUP, INC. 3,968 203,000 0.53%
23 ENVESTNET ASSET MANAGEMENT INC 2,933 150,000 0.39%
24 MIGDAL INSURANCE & FINANCIAL HOLDINGS LTD. 1,000 51,000 0.13%
25 BENJAMIN F. EDWARDS & COMPANY, INC. 320 16,000 0.04%
26 SOWELL FINANCIAL SERVICES LLC 100 5,000 0.01%

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.