FUND
NAME |
TICKER
SYMBOL |
EXCHANGE |
First
Trust Dorsey Wright Dynamic Focus 5 ETF |
FVC |
Nasdaq |
First
Trust Dorsey Wright Focus 5 ETF |
FV |
Nasdaq |
First
Trust Dorsey Wright International Focus 5 ETF |
IFV |
Nasdaq |
First
Trust Dorsey Wright Momentum & Dividend ETF |
DDIV |
Nasdaq |
First
Trust NASDAQ Technology Dividend Index Fund |
TDIV |
Nasdaq |
First
Trust RBA American Industrial Renaissance®
ETF |
AIRR |
Nasdaq |
First
Trust Rising Dividend Achievers ETF |
RDVY |
Nasdaq |
First
Trust S&P International Dividend Aristocrats ETF |
FID |
Nasdaq |
Multi-Asset
Diversified Income Index Fund |
MDIV |
Nasdaq |
Fund
Name |
Classification |
First
Trust Dorsey Wright Dynamic Focus 5 ETF |
Diversified |
First
Trust Dorsey Wright Focus 5 ETF |
Diversified |
First
Trust Dorsey Wright International Focus 5 ETF |
Diversified |
First
Trust Dorsey Wright Momentum & Dividend ETF |
Diversified |
First
Trust NASDAQ Technology Dividend Index Fund |
Non-Diversified |
First
Trust RBA American Industrial Renaissance®
ETF |
Diversified |
First
Trust Rising Dividend Achievers ETF |
Diversified |
First
Trust S&P International Dividend Aristocrats ETF |
Diversified |
Multi-Asset
Diversified Income Index Fund |
Diversified |
Fund |
Index |
First
Trust Dorsey Wright Dynamic Focus 5 ETF |
Dorsey
Wright Dynamic Focus Five Index |
First
Trust Dorsey Wright Focus 5 ETF |
Dorsey
Wright Focus FiveTM
Index |
First
Trust Dorsey Wright International Focus 5 ETF |
Dorsey
Wright International Focus FiveTM
Index |
First
Trust Dorsey Wright Momentum & Dividend ETF |
Dorsey
Wright Momentum Plus Dividend YieldTM
Index |
First
Trust NASDAQ Technology Dividend Index Fund |
Nasdaq
Technology Dividend IndexTM
|
First
Trust RBA American Industrial Renaissance®
ETF |
Richard
Bernstein Advisors American Industrial Renaissance®
Index |
First
Trust Rising Dividend Achievers ETF |
Nasdaq
US Rising Dividend AchieversTM
Index |
First
Trust S&P International Dividend Aristocrats ETF |
S&P
International Dividend Aristocrats Index |
Multi-Asset
Diversified Income Index Fund |
Nasdaq
US Multi-Asset Diversified Income IndexSM
|
Portfolio
Turnover Rate
| ||
Fund |
Fiscal Year
Ended September 30, | |
2022 |
2021 | |
First Trust
Dorsey Wright Dynamic Focus 5 ETF |
164% |
20% |
First Trust
Dorsey Wright Focus 5 ETF |
81% |
20% |
First Trust
Dorsey Wright International Focus 5 ETF |
104% |
66% |
First Trust
Dorsey Wright Momentum & Dividend ETF |
172% |
186% |
First Trust
NASDAQ Technology Dividend Index Fund |
36% |
38% |
First Trust
RBA American Industrial Renaissance®
ETF |
37% |
35% |
First Trust
Rising Dividend Achievers ETF |
59% |
45% |
First Trust
S&P International Dividend Aristocrats ETF |
47% |
57% |
Multi-Asset
Diversified Income Index Fund |
85% |
100% |
FIRST
TRUST RBA AMERICAN INDUSTRIAL RENAISSANCE®
ETF | |
Gross
income from securities lending activities |
$765 |
Fees
and/or compensation for securities lending activities and related
services |
|
Fees paid to
securities lending agent from a revenue split |
76 |
Fees paid for
any cash collateral management service (including fees deducted from
a
pooled cash
collateral reinvestment vehicle) that are not included in the revenue
split |
0
|
Administrative
fees not included in revenue split |
0 |
Indemnification
fee not included in revenue split |
0 |
Rebate (paid
to borrower) |
0 |
Other fees
not included in revenue split (specify) |
0 |
Aggregate
fees/compensation for securities lending activities |
76 |
Net
income from securities lending activities |
$689 |
Name
and
Year of
Birth |
Position
and
Offices
with
Trust |
Term
of
Office
and
Year
First
Elected
or
Appointed |
Principal
Occupations
During
Past 5 Years |
Number
of
Portfolios
in the
First
Trust
Fund
Complex
Overseen
by
Trustee |
Other
Trusteeships
or
Directorships
Held
by
Trustee
During
the
Past 5
Years |
TRUSTEE
WHO IS AN INTERESTED PERSON OF THE TRUST | |||||
James A.
Bowen (1)
1955 |
Chairman of
the
Board and
Trustee |
•Indefinite
term
•Since
inception |
Chief
Executive Officer, First Trust
Advisors
L.P. and First Trust Portfolios
L.P.;
Chairman of the Board of Directors,
BondWave
LLC (Software Development
Company)
and Stonebridge Advisors LLC
(Investment
Advisor) |
224
Portfolios |
None |
INDEPENDENT
TRUSTEES | |||||
Richard E.
Erickson
1951 |
Trustee |
•Indefinite
term
•Since
inception |
Physician,
Edward-Elmhurst Medical
Group;
Physician and Officer, Wheaton
Orthopedics
(1990 to 2021) |
224
Portfolios |
None |
Thomas R.
Kadlec
1957 |
Trustee |
•Indefinite
term
•Since
inception |
Retired;
President, ADM Investor
Services,
Inc. (Futures Commission
Merchant)
(2010 to July 2022) |
224
Portfolios |
Director,
National
Futures
Association;
formerly,
Director
of ADM
Investor
Services,
Inc.,
ADM
Investor
Services
International,
ADMIS Hong
Kong
Ltd., ADMIS
Singapore
Ltd. and
Futures
Industry
Association
|
Name
and
Year of
Birth |
Position
and
Offices
with
Trust |
Term
of
Office
and
Year
First
Elected
or
Appointed |
Principal
Occupations
During
Past 5 Years |
Number
of
Portfolios
in the
First
Trust
Fund
Complex
Overseen
by
Trustee |
Other
Trusteeships
or
Directorships
Held
by
Trustee
During
the
Past 5
Years |
INDEPENDENT
TRUSTEES | |||||
Denise M.
Keefe
1964 |
Trustee |
•Indefinite
term
•Since
2021 |
Executive
Vice President, Advocate
Aurora
Health and President, Advocate
Aurora
Continuing Health Division
(Integrated
Healthcare System) |
224
Portfolios |
Director
and Board
Chair of
Advocate
Home Health
Services,
Advocate
Home Care
Products
and
Advocate
Hospice;
Director
and Board
Chair of
Aurora At
Home (since
2018);
Director of
Advocate
Physician
Partners
Accountable
Care
Organization;
Director
and Board
Chair of
RML Long
Term Acute
Care
Hospitals;
and
Director of
Senior
Helpers
(since
2021) |
Robert F.
Keith
1956 |
Trustee |
•Indefinite
term
•Since
inception |
President,
Hibs Enterprises (Financial and
Management
Consulting) |
224
Portfolios |
Formerly,
Director
of Trust
Company
of
Illinois |
Niel B.
Nielson
1954 |
Trustee |
•Indefinite
term
•Since
inception |
Senior
Advisor (2018 to present),
Managing
Director and Chief Operating
Officer
(2015 to 2018), Pelita Harapan
Educational
Foundation (Educational
Products
and Services) |
224
Portfolios |
None |
Name
and
Year of
Birth |
Position
and
Offices
with Trust |
Term of
Office and
Length of
Service |
Principal
Occupations
During
Past 5 Years |
OFFICERS
OF THE TRUST | |||
James M.
Dykas
1966 |
President
and Chief
Executive
Officer |
•Indefinite
term
•Since
2016 |
Managing
Director and Chief Financial Officer, First
Trust
Advisors L.P. and First Trust Portfolios L.P.;
Chief
Financial Officer, BondWave LLC (Software
Development
Company) and Stonebridge Advisors
LLC
(Investment Advisor) |
W. Scott
Jardine
1960 |
Secretary
and Chief Legal
Officer |
•Indefinite
term
•Since
inception |
General
Counsel, First Trust Advisors L.P. and First
Trust
Portfolios L.P.; Secretary and General Counsel,
BondWave
LLC; and Secretary, Stonebridge Advisors
LLC |
Daniel J.
Lindquist
1970 |
Vice
President |
•Indefinite
term
•Since
inception |
Managing
Director, First Trust Advisors L.P. and First
Trust
Portfolios L.P. |
Kristi A.
Maher
1966 |
Chief
Compliance Officer
and
Assistant Secretary |
•Indefinite
term
•Since
inception |
Deputy
General Counsel, First Trust Advisors L.P.
and First
Trust Portfolios L.P. |
Donald P.
Swade
1972 |
Treasurer,
Chief Financial
Officer and
Chief
Accounting
Officer |
•Indefinite
term
•Since
2016 |
Senior Vice
President, First Trust Advisors L.P. and
First Trust
Portfolios L.P. |
Roger F.
Testin
1966 |
Vice
President |
•Indefinite
term
•Since
inception |
Senior Vice
President, First Trust Advisors L.P. and
First Trust
Portfolios L.P. |
Stan
Ueland
1970 |
Vice
President |
•Indefinite
term
•Since
inception |
Senior Vice
President, First Trust Advisors L.P. and
First Trust
Portfolios L.P. |
Name
of Trustee |
Total
Compensation from
the Funds
(1)
|
Total
Compensation from
the First
Trust Fund Complex (2)
|
Richard E.
Erickson |
$14,813 |
$523,750 |
Thomas R.
Kadlec |
$14,813 |
$524,280 |
Denise M.
Keefe (3) |
$13,369 |
$504,158 |
Robert F.
Keith |
$14,091 |
$514,231 |
Niel B.
Nielson |
$15,535 |
$533,750 |
|
Interested
Trustee |
Independent
Trustees | ||||
Fund |
James A.
Bowen |
Richard E.
Erickson |
Thomas R.
Kadlec |
Denise M.
Keefe(1)
|
Robert F.
Keith |
Niel B.
Nielson |
First Trust
Dorsey
Wright
Focus
5
ETF |
Over
$100,000 |
None |
None |
None |
None |
None |
First Trust
Rising
Dividend
Achievers
ETF |
Over
$100,000 |
None |
None |
$50,001-$100,000 |
None |
None |
Aggregate
Dollar
Range
of
Equity
Securities
in
All
Registered
Investment
Companies
Overseen
by
Trustee in
the
First
Trust
Fund
Complex |
Over
$100,000 |
Over
$100,000 |
Over
$100,000 |
Over
$100,000 |
Over
$100,000 |
Over
$100,000 |
Fund |
Annual
Unitary Management Fee |
First
Trust Dorsey Wright Dynamic Focus 5 ETF |
0.30%
of average daily net assets |
First
Trust Dorsey Wright Focus 5 ETF |
0.30%
of average daily net assets |
First
Trust Dorsey Wright International Focus 5 ETF |
0.30%
of average daily net assets |
First
Trust Dorsey Wright Momentum & Dividend ETF |
0.60%
of average daily net assets |
First
Trust NASDAQ Technology Dividend Index Fund |
0.50%
of average daily net assets |
First
Trust RBA American Industrial Renaissance®
ETF |
0.70%
of average daily net assets |
First
Trust Rising Dividend Achievers ETF |
0.50%
of average daily net assets |
First
Trust S&P International Dividend Aristocrats ETF |
0.60%
of average daily net assets |
Multi-Asset
Diversified Income Index Fund |
0.60%
of average daily net assets |
Management
Fee |
Breakpoints |
0.5000% |
Fund net
assets up to and including $2.5 billion |
0.4875% |
Fund net
assets greater than $2.5 billion up to and including $5
billion |
0.4750% |
Fund net
assets greater than $5 billion up to and including $7.5
billion |
0.4625% |
Fund net
assets greater than $7.5 billion up to and including $10
billion |
0.4500% |
Fund net
assets greater than $10 billion up to and including $15
billion |
0.4250% |
Fund net
assets greater than $15
billion |
Management
Fee |
Breakpoints |
0.3000% |
Fund net
assets up to and including $2.5 billion |
0.2925% |
Fund net
assets greater than $2.5 billion up to and including $5
billion |
0.2850% |
Fund net
assets greater than $5 billion up to and including $7.5
billion |
0.2775% |
Fund net
assets greater than $7.5 billion up to and including $10
billion |
0.2700% |
Fund net
assets greater than $10 billion up to and including $15
billion |
0.2550% |
Fund net
assets greater than $15
billion |
Management
Fee |
Breakpoints |
0.600% |
Fund net
assets up to and including $2.5 billion |
0.585% |
Fund net
assets greater than $2.5 billion up to and including $5
billion |
0.570% |
Fund net
assets greater than $5 billion up to and including $7.5
billion |
0.555% |
Fund net
assets greater than $7.5 billion up to and including $10
billion |
0.540% |
Fund net
assets greater than $10
billion |
Management
Fee |
Breakpoints |
0.7000% |
Fund net
assets up to and including $2.5 billion |
0.6825% |
Fund net
assets greater than $2.5 billion up to and including $5
billion |
0.6650% |
Fund net
assets greater than $5 billion up to and including $7.5
billion |
0.6475% |
Fund net
assets greater than $7.5 billion up to and including $10
billion |
0.6300% |
Fund net
assets greater than $10 billion up to and including $15
billion |
0.5950% |
Fund net
assets greater than $15
billion |
Management
Fee |
Breakpoints |
0.600% |
Fund net
assets up to and including $2.5 billion |
0.585% |
Fund net
assets greater than $2.5 billion up to and including $5
billion |
0.570% |
Fund net
assets greater than $5 billion up to and including $7.5
billion |
0.555% |
Fund net
assets greater than $7.5 billion up to and including $10
billion |
0.540% |
Fund net
assets greater than $10 billion up to and including $15
billion |
0.510% |
Fund net
assets greater than $15
billion |
|
Amount of
Unitary Fees
|
Amount of
Fees Waived By First Trust
| ||||
Fund |
Fiscal Year
Ended September 30, |
Fiscal Year
Ended September 30, | ||||
2022 |
2021 |
2020 |
2022 |
2021 |
2020 | |
First Trust
Dorsey Wright
Dynamic Focus
5 ETF |
$675,196 |
$672,517 |
$998,856 |
N/A |
N/A |
N/A |
First Trust
Dorsey Wright Focus 5
ETF |
$8,462,120 |
$7,620,618 |
$6,408,932 |
N/A |
N/A |
N/A |
First Trust
Dorsey Wright
International
Focus 5 ETF |
$600,666 |
$820,536 |
$1,030,499 |
N/A |
N/A |
N/A |
First Trust
Dorsey Wright
Momentum
& Dividend ETF |
$396,179 |
$218,839 |
$252,158 |
N/A |
N/A |
N/A |
First Trust
NASDAQ Technology
Dividend
Index Fund |
$8,648,249 |
$7,416,660 |
$5,620,445 |
N/A |
N/A |
N/A |
First Trust
RBA American
Industrial
Renaissance®
ETF |
$1,505,524 |
$1,094,385 |
$357,325 |
N/A |
N/A |
N/A |
First Trust
Rising Dividend
Achievers
ETF |
$41,526,958 |
$16,633,242 |
$5,595,353 |
N/A |
N/A |
N/A |
First Trust
S&P International
Dividend
Aristocrats ETF |
$300,589 |
$195,137 |
$103,962 |
N/A |
N/A |
N/A |
Multi-Asset
Diversified Income
Index
Fund |
$2,329,325 |
$2,278,152 |
$2,786,091 |
$555,573 |
$556,166 |
$744,988 |
Name |
Position
with
First
Trust |
Length
of Service
with
First Trust |
Principal
Occupation During
Past
Five Years |
Daniel
J. Lindquist |
Chairman of
the
Investment
Committee
and Managing
Director |
Since
2004 |
Managing
Director, First Trust Advisors L.P.
and
First Trust Portfolios L.P. |
David
G. McGarel |
Chief
Operating Officer,
Chief
Investment Officer
and Managing
Director |
Since
1997 |
Chief
Operating Officer (2016 to present),
Chief
Investment Officer and Managing
Director,
First Trust Advisors L.P.
and
First Trust Portfolios L.P. |
Jon
C. Erickson |
Senior Vice
President |
Since
1994 |
Senior
Vice President, First Trust Advisors L.P. and
First
Trust Portfolios L.P.
|
Name |
Position
with
First
Trust |
Length
of Service
with
First Trust |
Principal
Occupation During
Past
Five Years |
Roger
F. Testin |
Senior Vice
President |
Since
2001 |
Senior
Vice President, First Trust Advisors L.P. and
First
Trust Portfolios L.P. |
Stan
Ueland |
Senior Vice
President |
Since
2005 |
Senior
Vice President, First Trust
Advisors
L.P. and First Trust Portfolios L.P. |
Chris
A. Peterson |
Senior Vice
President |
Since
2000 |
Senior
Vice President, First Trust Advisors L.P. and
First
Trust Portfolios L.P. |
Erik
Russo |
Vice
President |
Since
2010 |
Vice
President, First Trust Advisors L.P. and
First
Trust Portfolios L.P. |
Investment
Committee Member |
Registered
Investment
Companies
Number of
Accounts
($
Assets) |
Other
Pooled
Investment
Vehicles
Number of
Accounts
($
Assets) |
Other
Accounts
Number of
Accounts
($
Assets) |
Daniel J.
Lindquist |
109
($62,712,918,957) |
44
($1,623,140,919) |
1,403
($457,523,214) |
David G.
McGarel |
110
($62,715,729,338) |
44
($1,623,140,919) |
1,403
($457,523,214) |
Jon C.
Erickson |
107
($62,651,071,678) |
44
($1,623,140,919) |
1,403
($457,523,214) |
Roger F.
Testin |
107
($62,651,071,678) |
44
($1,623,140,919) |
1,403
($457,523,214) |
Stan
Ueland |
101
($61,676,337,338) |
37
($1,516,622,671) |
N/A |
Chris A.
Peterson |
110
($62,715,729,338) |
44
($1,623,140,919) |
1,403
($457,523,214) |
Erik
Russo |
101
($61,676,337,338) |
37
($1,516,622,671) |
N/A |
Aggregate
Amount of Brokerage Commissions
| |||
Fund |
Fiscal Year
Ended September 30, | ||
2022 |
2021 |
2020 | |
First Trust
Dorsey Wright Dynamic Focus 5 ETF |
$213,257 |
$15,285 |
$380,992 |
First Trust
Dorsey Wright Focus 5 ETF |
$1,480,076 |
$165,538 |
$1,657,140 |
First Trust
Dorsey Wright International Focus 5 ETF |
$123,641 |
$86,296 |
$125,845 |
First Trust
Dorsey Wright Momentum & Dividend ETF |
$49,050 |
$35,486 |
$37,778 |
First Trust
NASDAQ Technology Dividend Index Fund |
$236,592 |
$271,334 |
$615,351 |
First Trust
RBA American Industrial Renaissance®
ETF |
$59,685 |
$39,948 |
$18,805 |
First Trust
Rising Dividend Achievers ETF |
$1,363,918 |
$382,321 |
$292,989 |
First Trust
S&P International Dividend Aristocrats ETF |
$26,384 |
$22,141 |
$15,129 |
Multi-Asset
Diversified Income Index Fund |
$386,946 |
$331,422 |
$627,362 |
Fund |
Total
Non-Expiring
Capital
Loss
Available |
First Trust
Dorsey Wright Dynamic Focus 5 ETF |
$60,339,002 |
First Trust
Dorsey Wright Focus 5 ETF |
579,723,679 |
First Trust
Dorsey Wright International Focus 5 ETF |
144,990,579 |
First Trust
Rising Dividend Achievers ETF |
149,050,822 |
First Trust
NASDAQ Technology Dividend Index Fund |
208,783,575 |
First Trust
RBA American Industrial Renaissance®
ETF |
33,161,068 |
Multi-Asset
Diversified Income Index Fund |
226,942,167 |
First Trust
Dorsey Wright Momentum & Dividend ETF |
23,321,490 |
First Trust
S&P International Dividend Aristocrats ETF |
5,293,852 |
NAME OF
BENEFICIAL OWNER |
%
OF
OUTSTANDING
SHARES
OWNED |
FIRST
TRUST DORSEY WRIGHT DYNAMIC FOCUS 5 ETF | |
Morgan
Stanley Smith Barney LLC |
16.28% |
LPL Financial
LLC |
14.60% |
Raymond James
& Associates, Inc. |
9.06% |
UBS Financial
Services Inc. |
8.80% |
Wells Fargo
Clearing Services, LLC |
8.42% |
National
Financial Services LLC |
8.26% |
TD Ameritrade
Clearing, Inc. |
7.96% |
Pershing
LLC |
5.82% |
FIRST
TRUST DORSEY WRIGHT FOCUS 5 ETF | |
Morgan
Stanley Smith Barney LLC |
16.83% |
National
Financial Services LLC |
13.52% |
Wells Fargo
Clearing Services, LLC |
13.17% |
LPL Financial
LLC |
9.50% |
Raymond James
& Associates, Inc. |
9.25% |
Pershing
LLC |
7.16% |
TD Ameritrade
Clearing, Inc. |
5.05% |
FIRST
TRUST DORSEY WRIGHT INTERNATIONAL FOCUS 5 ETF | |
Morgan
Stanley Smith Barney LLC |
24.80% |
Wells Fargo
Clearing Services, LLC |
19.40% |
Raymond James
& Associates, Inc. |
14.32% |
LPL Financial
LLC |
13.69% |
National
Financial Services LLC |
6.67% |
FIRST
TRUST DORSEY WRIGHT MOMENTUM & DIVIDEND ETF | |
National
Financial Services LLC |
22.52% |
Charles
Schwab & Co., Inc. |
22.33% |
LPL Financial
LLC |
18.62% |
Raymond James
& Associates, Inc. |
8.32% |
TD Ameritrade
Clearing, Inc. |
6.02% |
Pershing
LLC |
5.26%
|
NAME OF
BENEFICIAL OWNER |
%
OF
OUTSTANDING
SHARES
OWNED |
FIRST
TRUST NASDAQ TECHNOLOGY DIVIDEND INDEX FUND | |
Morgan
Stanley Smith Barney LLC |
10.25% |
National
Financial Services LLC |
10.04% |
Merrill
Lynch, Pierce, Fenner & Smith Incorporated/8862 MLPF&S TS
SUB |
9.68% |
Charles
Schwab & Co., Inc. |
8.37% |
Raymond James
& Associates, Inc. |
8.21% |
Wells Fargo
Clearing Services, LLC |
7.91% |
LPL Financial
LLC |
6.60% |
Pershing
LLC |
5.20% |
TD Ameritrade
Clearing, Inc. |
5.19% |
UBS Financial
Services Inc. |
5.09% |
FIRST
TRUST RBA AMERICAN INDUSTRIAL RENAISSANCE®
ETF | |
National
Financial Services LLC |
16.97% |
Raymond James
& Associates, Inc. |
13.81% |
LPL Financial
LLC |
11.67% |
Morgan
Stanley Smith Barney LLC |
10.02% |
UBS Financial
Services Inc. |
9.79% |
Charles
Schwab & Co., Inc. |
8.29% |
Pershing
LLC |
8.21% |
TD Ameritrade
Clearing, Inc. |
5.17% |
FIRST
TRUST RISING DIVIDEND ACHIEVERS ETF | |
LPL Financial
LLC |
15.30% |
National
Financial Services LLC |
12.86% |
Morgan
Stanley Smith Barney LLC |
9.25% |
Pershing
LLC |
8.62% |
Raymond James
& Associates, Inc. |
8.35% |
Wells Fargo
Clearing Services, LLC |
8.19% |
TD Ameritrade
Clearing, Inc. |
8.04% |
Charles
Schwab & Co., Inc. |
5.68% |
FIRST
TRUST S&P INTERNATIONAL DIVIDEND ARISTOCRATS
ETF | |
Charles
Schwab & Co., Inc. |
21.47% |
Pershing
LLC |
16.13% |
TD Ameritrade
Clearing, Inc. |
14.04% |
RBC Capital
Markets, LLC |
11.00% |
LPL Financial
LLC |
10.87% |
National
Financial Services LLC |
10.03% |
Raymond James
& Associates, Inc. |
6.90%
|
NAME OF
BENEFICIAL OWNER |
%
OF
OUTSTANDING
SHARES
OWNED |
MULTI-ASSET
DIVERSIFIED INCOME INDEX FUND | |
American
Enterprise Investment Services Inc. |
11.70% |
Wells Fargo
Clearing Services, LLC |
11.59% |
LPL Financial
LLC |
10.39% |
Morgan
Stanley Smith Barney LLC |
10.20% |
National
Financial Services LLC |
8.35% |
Edward
Jones |
6.98% |
Pershing
LLC |
6.95% |
Raymond James
& Associates, Inc. |
5.22% |
Charles
Schwab & Co., Inc. |
5.15% |