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FIRST TRUST DJ STOXX EUROPEAN DIV INDEX FUND
FIRST TRUST DJ STOXX EUROPEAN DIV INDEX FUND. Institutional holdings reported to the SEC.

Institutional Holders (2014Q2)
Portfolio Summary: 33 Institutional holders with a total value of $67,672,563.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,797,115 27,172,000 40.15%
2 UBS AG 570,052 8,619,000 12.74%
3 BANK OF AMERICA CORP /DE/ 385,034 5,822,000 8.60%
4 RAYMOND JAMES & ASSOCIATES 347,580 5,255,000 7.77%
5 Independent Portfolio Consultants, Inc. 280,675 4,244,000 6.27%
6 BB&T SECURITIES, LLC 27,675 4,184,000 6.18%
7 ROYAL BANK OF CANADA 176,242 2,665,000 3.94%
8 LPL Financial LLC 166,677 2,520,000 3.72%
9 Janney Montgomery Scott LLC 114,660 1,733,658 2.56%
10 GOLDMAN SACHS GROUP INC 53,969 816,000 1.21%
11 SUSQUEHANNA INTERNATIONAL GROUP, LLP 41,630 629,000 0.93%
12 Commonwealth Equity Services, Inc 33,903 513,000 0.76%
13 Robert W. Baird & Co. Inc 28,780 435,000 0.64%
14 DEUTSCHE BANK AG\ 27,700 418,000 0.62%
15 LADENBURG THALMANN FINANCIAL SERVICES INC. 23,620 357,000 0.53%
16 AMERICAN INTERNATIONAL GROUP, INC. 22,384 338,445 0.50%
17 Cambridge Investment Research Advisors, Inc. 21,517 325,000 0.48%
18 First Allied Advisory Services, Inc. 14,735 221,000 0.33%
19 WELLS FARGO & COMPANY/MN 12,982 196,000 0.29%
20 Cetera Advisor Networks LLC 12,535 190,000 0.28%
21 LAZARD ASSET MANAGEMENT LLC 12,300 185,000 0.27%
22 MSI Financial Services Inc 11,763 178,000 0.26%
23 JPMORGAN CHASE & CO 11,411 173,000 0.26%
24 SYNOVUS FINANCIAL CORP 10,000 152,000 0.22%
25 AMERIPRISE FINANCIAL INC 6,234 94,000 0.14%
26 Ground Swell Capital, LLC 3,929 59,000 0.09%
27 BENJAMIN F. EDWARDS & COMPANY, INC. 3,557 54,000 0.08%
28 BANK OF MONTREAL /CAN/ 2,230 34,000 0.05%
29 Bartlett & Co. LLC 2,265 34,000 0.05%
30 Winslow, Evans & Crocker, Inc. 1,750 26,460 0.04%
31 NEW ENGLAND SECURITIES CORP /MA/ 1,300 20,000 0.03%
32 CITIGROUP INC 300 5,000 0.01%
33 REILLY FINANCIAL ADVISORS, LLC 361 5,000 0.01%

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.