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

Institutional Holders (2014Q4)
Portfolio Summary: 33 Institutional holders with a total value of $48,155,502.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,264,567 23,850,000 49.53%
2 BANK OF AMERICA CORP /DE/ 196,913 3,714,000 7.71%
3 UBS Group AG 146,863 2,770,000 5.75%
4 LPL Financial LLC 123,176 2,323,000 4.82%
5 AMERICAN INTERNATIONAL GROUP, INC. 103,290 1,948,049 4.05%
6 FIRST TRUST ADVISORS LP 81,753 1,542,000 3.20%
7 ROYAL BANK OF CANADA 78,092 1,474,000 3.06%
8 JANE STREET GROUP, LLC 62,368 1,176,000 2.44%
9 RAYMOND JAMES & ASSOCIATES 53,998 1,018,000 2.11%
10 Cambridge Investment Research Advisors, Inc. 53,698 1,013,000 2.10%
11 GOLDMAN SACHS GROUP INC 51,604 973,000 2.02%
12 OLD NATIONAL BANCORP /IN/ 45,701 862,000 1.79%
13 JPMORGAN CHASE & CO 43,736 825,000 1.71%
14 STIFEL FINANCIAL CORP 40,998 773,000 1.61%
15 Virtu KCG Holdings LLC 36,490 688,000 1.43%
16 HL FINANCIAL SERVICES LLC 33,900 639,000 1.33%
17 Aspen Investment Management Inc 26,990 509,000 1.06%
18 Commonwealth Equity Services, Inc 22,393 422,000 0.88%
19 SUSQUEHANNA INTERNATIONAL GROUP, LLP 21,497 405,000 0.84%
20 DEUTSCHE BANK AG\ 16,608 313,000 0.65%
21 Brown Advisory Securities, LLC 13,800 261,000 0.54%
22 Janney Montgomery Scott LLC 12,550 236,693 0.49%
23 MSI Financial Services Inc 5,722 108,000 0.22%
24 LADENBURG THALMANN FINANCIAL SERVICES INC. 5,530 104,000 0.22%
25 NEW ENGLAND SECURITIES CORP /MA/ 3,349 63,000 0.13%
26 BENJAMIN F. EDWARDS & COMPANY, INC. 2,300 43,000 0.09%
27 NATIONAL PLANNING CORP 2,000 37,760 0.08%
28 PNC FINANCIAL SERVICES GROUP, INC. 1,700 31,000 0.06%
29 D.A. DAVIDSON & CO. 825 15,000 0.03%
30 WELLS FARGO & COMPANY/MN 430 8,000 0.02%
31 Creative Planning 273 5,000 0.01%
32 CITIGROUP INC 200 4,000 0.01%
33 FOUNDERS BANK & TRUST 120 2,000 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.