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FIRST TR EXCHANGE-TRADED FD
FIRST TR EXCHANGE-TRADED FD. Institutional holdings reported to the SEC.

Institutional Holders (2014Q3)
Portfolio Summary: 27 Institutional holders with a total value of $38,322,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,204,478 22,717,000 59.28%
2 BANK OF AMERICA CORP /DE/ 162,467 3,064,000 8.00%
3 UBS AG 111,651 2,106,000 5.50%
4 LPL Financial LLC 86,111 1,627,000 4.25%
5 FIRST TRUST ADVISORS LP 68,903 1,300,000 3.39%
6 OLD NATIONAL BANCORP /IN/ 52,431 989,000 2.58%
7 NEW ENGLAND SECURITIES CORP /MA/ 49,778 939,000 2.45%
8 ROYAL BANK OF CANADA 46,562 879,000 2.29%
9 JPMORGAN CHASE & CO 43,077 812,000 2.12%
10 STIFEL FINANCIAL CORP 39,860 752,000 1.96%
11 HL FINANCIAL SERVICES LLC 33,730 636,000 1.66%
12 Aspen Investment Management Inc 24,990 471,000 1.23%
13 DEUTSCHE BANK AG\ 22,007 415,000 1.08%
14 Commonwealth Equity Services, Inc 21,328 402,000 1.05%
15 SUSQUEHANNA INTERNATIONAL GROUP, LLP 18,509 349,000 0.91%
16 Placemark Investments, Inc. 17,460 329,000 0.86%
17 Brown Advisory Securities, LLC 10,700 202,000 0.53%
18 NEXT Financial Group, Inc 7,500 141,000 0.37%
19 MSI Financial Services Inc 2,485 47,000 0.12%
20 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,504 47,000 0.12%
21 BENJAMIN F. EDWARDS & COMPANY, INC. 2,300 43,000 0.11%
22 D.A. DAVIDSON & CO. 1,000 18,000 0.05%
23 PNC FINANCIAL SERVICES GROUP, INC. 1,000 18,000 0.05%
24 WELLS FARGO & COMPANY/MN 430 8,000 0.02%
25 Creative Planning 273 5,000 0.01%
26 CITIGROUP INC 200 4,000 0.01%
27 FOUNDERS BANK & TRUST 120 2,000 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.