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

Institutional Holders (2016Q3)
Portfolio Summary: 31 Institutional holders with a total value of $28,729,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 401,675 11,948,000 41.59%
2 MORGAN STANLEY 210,811 6,271,000 21.83%
3 LPL Financial LLC 59,248 1,747,000 6.08%
4 BANK OF AMERICA CORP /DE/ 46,177 1,374,000 4.78%
5 SUSQUEHANNA INTERNATIONAL GROUP, LLP 40,836 1,212,000 4.22%
6 BENJAMIN F. EDWARDS & COMPANY, INC. 33,191 987,000 3.44%
7 AMERIPRISE FINANCIAL INC 24,929 742,000 2.58%
8 UBS Group AG 21,896 651,000 2.27%
9 Commonwealth Equity Services, Inc 18,959 564,000 1.96%
10 Raymond James Financial Services Advisors, Inc. 17,270 514,000 1.79%
11 ROYAL BANK OF CANADA 16,119 479,000 1.67%
12 RAYMOND JAMES & ASSOCIATES 10,630 316,000 1.10%
13 Creative Planning 9,000 268,000 0.93%
14 CREDIT SUISSE AG/ 8,905 265,000 0.92%
15 LVZ, Inc. 8,156 243,000 0.85%
16 Cambridge Investment Research Advisors, Inc. 7,734 230,000 0.80%
17 BSC PRIVATE WEALTH MANAGEMENT, LLC 7,335 216,000 0.75%
18 CORNERSTONE WEALTH MANAGEMENT, LLC 6,800 200,000 0.70%
19 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,982 148,000 0.52%
20 WFG Advisors, LP 4,888 145,000 0.50%
21 D.A. DAVIDSON & CO. 1,761 52,000 0.18%
22 ADVISOR GROUP, INC. 1,687 51,000 0.18%
23 INTEGRATED WEALTH MANAGEMENT 1,500 45,000 0.16%
24 MSI Financial Services Inc 660 20,000 0.07%
25 Hanson & Doremus Investment Management 360 11,000 0.04%
26 PNC FINANCIAL SERVICES GROUP, INC. 237 7,000 0.02%
27 CITIGROUP INC 222 7,000 0.02%
28 IFP ADVISORS, INC 200 6,000 0.02%
29 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 215 6,000 0.02%
30 MANUFACTURERS LIFE INSURANCE COMPANY, THE 150 4,000 0.01%
31 Parallax Volatility Advisers, L.P. 1 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.