Purchases and Sales Made in Q3 2023 in First Trust Specialty Finance & Financial Opportunities Fund (FGB)
This table provides information about the institutional ownership of First Trust Specialty Finance & Financial Opportunities Fund (FGB) during Q3 2023. The information is specifically focused on institutions that hold shares of FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND.
| Report Date | Institution (Fund) | Operation | Option | Shares change | Value Range | Shares Held | Trade History |
|---|---|---|---|---|---|---|---|
|
Oct 13, 2023
Q3 2023
|
Matisse Capital
|
BUY
|
- |
243KNew |
$769K - $845K
|
243K
$1.03M
|
|
|
Nov 02, 2023
Q3 2023
|
Shaker Financial Services, LLC
|
BUY
|
- |
150K+ 118.56% |
$476K - $523K
|
277K
$1.18M
|
|
|
Nov 02, 2023
Q3 2023
|
Private Advisor Group, LLC
|
BUY
|
- |
80.7K+ 74.4% |
$256K - $281K
|
189K
$804K
|
|
|
Nov 15, 2023
Q3 2023
|
Morgan Stanley
New York, NY |
BUY
|
- |
51.1K+ 10.72% |
$162K - $178K
|
527K
$2.24M
|
|
|
Nov 13, 2023
Q3 2023
|
Advisor Group Holdings, Inc.
Phoenix, AZ |
BUY
|
- |
43.5K+ 50.82% |
$138K - $151K
|
129K
$548K
|
|
|
Nov 14, 2023
Q3 2023
|
Logan Stone Capital, LLC
Chicago, IL |
BUY
|
- |
27.2KNew |
$86.3K - $94.7K
|
27.2K
$116K
|
|
|
Nov 08, 2023
Q3 2023
|
Landscape Capital Management, L.L.C.
|
BUY
|
- |
18.4KNew |
$58.3K - $64K
|
18.4K
$78.2K
|
|
|
Nov 14, 2023
Q3 2023
|
Kpp Advisory Services LLC
Louisville, KY |
BUY
|
- |
17.3KNew |
$55K - $60.3K
|
17.3K
$73.7K
|
|
|
Nov 08, 2023
Q3 2023
|
Atria Wealth Solutions, Inc.
New York, NY |
BUY
|
- |
15.9KNew |
$50.4K - $55.3K
|
15.9K
$67.6K
|
|
|
Nov 13, 2023
Q3 2023
|
Bay Colony Advisory Group, Inc D
|
BUY
|
- |
15.4K+ 45.26% |
$48.8K - $53.6K
|
49.4K
$210K
|
|
|
Aug 06, 2024
Q3 2023
|
Alpine Global Management, LLC
New York, NY |
BUY
|
- |
14.3K+ 19.07% |
$45.4K - $49.8K
|
89.3K
$380K
|
|
|
Nov 14, 2023
Q3 2023
|
Alpine Global Management, LLC
New York, NY |
BUY
|
- |
14.3K+ 19.07% |
$45.4K - $49.8K
|
89.3K
$380K
|
|
|
Nov 21, 2023
Q3 2023
|
Alpine Global Management, LLC
New York, NY |
BUY
|
- |
14.3K+ 19.07% |
$45.4K - $49.8K
|
89.3K
$380K
|
|
|
Nov 21, 2023
Q3 2023
|
Almitas Capital LLC
Santa Monica, CA |
BUY
|
- |
12.1KNew |
$38.5K - $42.2K
|
12.1K
$51.6K
|
|
|
Nov 03, 2023
Q3 2023
|
Nbc Securities, Inc.
Birmingham, AL |
BUY
|
- |
6.32KNew |
$20K - $22K
|
6.32K
$26.9K
|
|
|
Nov 13, 2023
Q3 2023
|
Consolidated Portfolio Review Corp
Woodbury, NY |
BUY
|
- |
3.5K+ 0.57% |
$11.1K - $12.2K
|
615K
$2.61M
|
|
|
Nov 09, 2023
Q3 2023
|
Ubs Group Ag
|
BUY
|
- |
2.51K+ 95.33% |
$7.96K - $8.74K
|
5.15K
$21.9K
|
|
|
Oct 30, 2023
Q3 2023
|
Blue Bell Private Wealth Management, LLC
|
BUY
|
- |
2.37KNew |
$7.5K - $8.23K
|
2.37K
$10.1K
|
|
|
Oct 19, 2023
Q3 2023
|
Good Life Advisors, LLC
|
BUY
|
- |
623+ 1.24% |
$1.97K - $2.17K
|
50.8K
$216K
|
|
|
Nov 14, 2023
Q3 2023
|
Jpmorgan Chase & CO
New York, NY |
BUY
|
- |
108+ 11.99% |
$342 - $376
|
1.01K
$4.29K
|
|
|
Oct 25, 2023
Q3 2023
|
Concourse Financial Group Securities, Inc.
Birmingham, AL |
BUY
|
- |
0New |
$0 - $0
|
0
$0
|
|
|
Oct 30, 2023
Q3 2023
|
Concourse Financial Group Securities, Inc.
Birmingham, AL |
BUY
|
- |
0New |
$0 - $0
|
0
$0
|
|
|
Nov 13, 2023
Q3 2023
|
Wells Fargo & Company
San Francisco, CA |
SELL
|
- |
-701- 1.11% |
$2.22K - $2.44K
|
62.2K
$264K
|
|
|
Nov 14, 2023
Q3 2023
|
Cetera Advisors LLC
Denver, CO |
SELL
|
- |
-1.1K- 2.81% |
$3.5K - $3.84K
|
38.2K
$162K
|
|
|
Oct 23, 2023
Q3 2023
|
Commonwealth Equity Services, LLC
|
SELL
|
- |
-3.16K- 1.91% |
$10K - $11K
|
162K
$689K
|
|
|
Nov 14, 2023
Q3 2023
|
Equitable Holdings, Inc.
New York, NY |
SELL
|
- |
-6K- 37.5% |
$19K - $20.9K
|
10K
$42.5K
|
|
|
Oct 12, 2023
Q3 2023
|
Ifp Advisors, Inc
|
SELL
|
- |
-6.7K- 44.02% |
$21.2K - $23.3K
|
8.52K
$36.2K
|
|
|
Oct 05, 2023
Q3 2023
|
Quad Cities Investment Group, LLC
Davenport, IA |
SELL
|
- |
-8.91K- 31.67% |
$28.2K - $31K
|
19.2K
$81.7K
|
|
|
Oct 17, 2023
Q3 2023
|
Flagship Harbor Advisors, LLC
|
SELL
|
- |
-10.5K- 8.43% |
$33.3K - $36.5K
|
114K
$485K
|
|
|
Oct 24, 2023
Q3 2023
|
Raymond James Financial Services Advisors, Inc.
St. Petersburg, FL |
SELL
|
- |
-12.5K- 6.67% |
$39.6K - $43.5K
|
175K
$743K
|
|
|
Nov 01, 2023
Q3 2023
|
Csenge Advisory Group
|
SELL
|
- |
-21.8K- 32.72% |
$69.2K - $75.9K
|
44.9K
$191K
|
|
|
Nov 13, 2023
Q3 2023
|
Lpl Financial LLC
Fort Mill, SC |
SELL
|
- |
-167K- 26.63% |
$531K - $583K
|
462K
$1.96M
|