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

Institutional Holders (2016Q4)
Portfolio Summary: 28 Institutional holders with a total value of $27,490,435.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 272,234 8,962,000 32.60%
2 MORGAN STANLEY 201,362 6,628,000 24.11%
3 LPL Financial LLC 59,891 1,988,000 7.23%
4 BANK OF AMERICA CORP /DE/ 50,391 1,658,000 6.03%
5 RAYMOND JAMES & ASSOCIATES 48,663 1,602,000 5.83%
6 BENJAMIN F. EDWARDS & COMPANY, INC. 37,739 1,242,000 4.52%
7 SUSQUEHANNA INTERNATIONAL GROUP, LLP 36,059 1,187,000 4.32%
8 Commonwealth Equity Services, Inc 18,516 610,000 2.22%
9 UBS Group AG 17,755 584,000 2.12%
10 CREDIT SUISSE AG/ 16,269 536,000 1.95%
11 ROYAL BANK OF CANADA 16,009 527,000 1.92%
12 Cambridge Investment Research Advisors, Inc. 11,018 363,000 1.32%
13 Virtu KCG Holdings LLC 10,816 356,000 1.29%
14 LVZ, Inc. 9,160 302,000 1.10%
15 BSC PRIVATE WEALTH MANAGEMENT, LLC 7,151 237,000 0.86%
16 CORNERSTONE WEALTH MANAGEMENT, LLC 6,735 223,000 0.81%
17 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,984 156,000 0.57%
18 WFG Advisors, LP 4,016 132,000 0.48%
19 ADVISOR GROUP, INC. 2,000 66,000 0.24%
20 D.A. DAVIDSON & CO. 1,935 63,000 0.23%
21 MANUFACTURERS LIFE INSURANCE COMPANY, THE 639 21,000 0.08%
22 MSI Financial Services Inc 430 14,000 0.05%
23 Hanson & Doremus Investment Management 360 11,851 0.04%
24 PNC FINANCIAL SERVICES GROUP, INC. 237 8,000 0.03%
25 CITIGROUP INC 222 7,000 0.03%
26 Winslow, Evans & Crocker, Inc. 200 6,584 0.02%
27 IFP ADVISORS, INC 0 0 0.00%
28 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.