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FIRST TRUST PREFERRED SECURITIES AND INCOME ETF
FIRST TRUST PREFERRED SECURITIES AND INCOME ETF. Institutional holdings reported to the SEC.

Institutional Holders (2015Q3)
Portfolio Summary: 52 Institutional holders with a total value of $204,781,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 146 3,000 0.00%
2 INTEGRATED WEALTH MANAGEMENT 312 6,000 0.00%
3 US BANCORP \DE\ 500 9,000 0.00%
4 D.A. DAVIDSON & CO. 825 15,000 0.01%
5 PNC FINANCIAL SERVICES GROUP, INC. 2,281 42,000 0.02%
6 BENJAMIN F. EDWARDS & COMPANY, INC. 2,321 44,000 0.02%
7 Covenant Multifamily Offices, LLC 3,523 66,000 0.03%
8 ADVANTAGE INVESTMENT MANAGEMENT, LLC 5,788 109,000 0.05%
9 Formidable Asset Management, LLC 10,350 194,000 0.09%
10 NATIONAL PLANNING CORP 10,999 210,000 0.10%
11 USCA RIA LLC 12,111 227,000 0.11%
12 IFC Holdings Incorporated/FL 12,521 236,000 0.12%
13 B. Riley Wealth Advisors, Inc. 12,656 238,000 0.12%
14 Virtu KCG Holdings LLC 12,733 239,000 0.12%
15 Brown Advisory Securities, LLC 12,800 241,000 0.12%
16 First Allied Advisory Services, Inc. 13,467 255,000 0.12%
17 INVESTMENT CENTERS OF AMERICA INC 13,905 260,000 0.13%
18 Cetera Advisors LLC 14,667 275,000 0.13%
19 Cetera Advisor Networks LLC 16,809 315,000 0.15%
20 SII INVESTMENTS INC/WI 17,253 324,000 0.16%
21 Freedom Investment Management, Inc. 16,188 339,000 0.17%
22 Advisory Services Network, LLC 18,113 340,000 0.17%
23 Frontier Wealth Management LLC 21,649 406,000 0.20%
24 CIBC WORLD MARKET INC. 22,362 419,000 0.20%
25 LADENBURG THALMANN FINANCIAL SERVICES INC. 25,434 478,000 0.23%
26 First Heartland Consultants, Inc. 32,518 610,000 0.30%
27 Janney Montgomery Scott LLC 34,808 653,000 0.32%
28 MSI Financial Services Inc 40,116 752,000 0.37%
29 OLD NATIONAL BANCORP /IN/ 43,424 814,000 0.40%
30 STIFEL FINANCIAL CORP 44,177 828,000 0.40%
31 Horizon Investments, LLC 49,161 922,000 0.45%
32 SUSQUEHANNA INTERNATIONAL GROUP, LLP 51,394 964,000 0.47%
33 Aspen Investment Management Inc 52,989 994,000 0.49%
34 Commonwealth Equity Services, Inc 56,847 1,066,000 0.52%
35 JPMORGAN CHASE & CO 63,793 1,195,000 0.58%
36 Raymond James Financial Services Advisors, Inc. 66,148 1,240,000 0.61%
37 RAYMOND JAMES & ASSOCIATES 70,577 1,323,000 0.65%
38 JANE STREET GROUP, LLC 105,384 1,976,000 0.96%
39 HL FINANCIAL SERVICES LLC 118,187 2,216,000 1.08%
40 Argentus Capital Management, LLC 135,067 2,532,000 1.24%
41 Strategic Capital Alternatives LLC 145,789 2,734,000 1.34%
42 AMERICAN INTERNATIONAL GROUP, INC. 158,543 2,973,000 1.45%
43 ENVESTNET ASSET MANAGEMENT INC 187,155 3,509,000 1.71%
44 FIRST TRUST ADVISORS LP 226,005 4,238,000 2.07%
45 Transamerica Financial Advisors, LLC 253,570 4,755,000 2.32%
46 LPL Financial LLC 321,040 6,045,000 2.95%
47 SSI INVESTMENT MANAGEMENT LLC 334,214 6,265,000 3.06%
48 BANK OF AMERICA CORP /DE/ 613,057 11,495,000 5.61%
49 Composition Wealth, LLC 714,078 13,389,000 6.54%
50 UBS Group AG 1,223,803 22,946,000 11.21%
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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.