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SPDR SERIES TRUST
SPDR SERIES TRUST. Institutional holdings reported to the SEC.

Institutional Holders (2014Q4)
Portfolio Summary: 33 Institutional holders with a total value of $20,420,286.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Carnick & Kubik, LLC 24,281 3,104,000 15.20%
2 Tradewinds Capital Management, LLC 34,581 2,949,000 14.44%
3 LPL Financial LLC 30,243 2,579,000 12.63%
4 Courage Miller Partners, LLC 25,583 2,182,000 10.69%
5 AXA S.A. 23,094 1,970,000 9.65%
6 MORGAN STANLEY 14,971 1,277,000 6.25%
7 Burt Wealth Advisors 13,925 1,188,000 5.82%
8 UBS Group AG 11,464 978,000 4.79%
9 WELLS FARGO & COMPANY/MN 7,062 603,000 2.95%
10 COLONY GROUP LLC 5,964 509,000 2.49%
11 AMERIPRISE FINANCIAL INC 5,940 507,000 2.48%
12 CITIGROUP INC 5,674 484,000 2.37%
13 Freedom Investment Management, Inc. 4,579 391,000 1.91%
14 EP Wealth Advisors, LLC 3,790 323,000 1.58%
15 B. Riley Wealth Advisors, Inc. 3,555 303,000 1.48%
16 Carnegie Investment Counsel 3,512 296,000 1.45%
17 HighTower Advisors, LLC 2,786 238,000 1.17%
18 BANK OF AMERICA CORP /DE/ 1,329 113,000 0.55%
19 LADENBURG THALMANN FINANCIAL SERVICES INC. 908 77,000 0.38%
20 TD AMERITRADE INVESTMENT MANAGEMENT, LLC 832 71,000 0.35%
21 Manchester Capital Management LLC 700 60,000 0.29%
22 Simplicity Solutions, LLC 672 57,315 0.28%
23 Stratos Wealth Partners, LTD. 439 37,442 0.18%
24 BANK OF MONTREAL /CAN/ 331 28,000 0.14%
25 NEW ENGLAND SECURITIES CORP /MA/ 290 25,000 0.12%
26 Ironwood Financial, llc 240 20,000 0.10%
27 Winfield Associates, Inc. 200 17,000 0.08%
28 KANALY TRUST CO 164 14,000 0.07%
29 AMERICAN INTERNATIONAL GROUP, INC. 100 8,529 0.04%
30 Avior Wealth Management, LLC 77 7,000 0.03%
31 MSI Financial Services Inc 51 4,000 0.02%
32 Parallax Volatility Advisers, L.P. 1 0 0.00%
33 Vantage Investment Advisors, LLC 4 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.