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FIRST TRUST NASDAQ-100 EX-TECHNOLOGY SECTOR INDEX FUND
FIRST TRUST NASDAQ-100 EX-TECHNOLOGY SECTOR INDEX FUND. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 28 Institutional holders with a total value of $72,171,900.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 441,687 15,274,000 21.16%
2 BB&T SECURITIES, LLC 42,448 14,678,000 20.34%
3 WELLS FARGO & COMPANY/MN 371,005 12,830,000 17.78%
4 UBS AG 235,296 8,137,000 11.27%
5 BANK OF AMERICA CORP /DE/ 168,028 5,810,000 8.05%
6 RAYMOND JAMES & ASSOCIATES 81,119 2,805,000 3.89%
7 SUSQUEHANNA INTERNATIONAL GROUP, LLP 52,979 1,832,000 2.54%
8 Orion Porfolio Solutions, LLC 47,000 1,625,000 2.25%
9 DEUTSCHE BANK AG\ 46,983 1,623,000 2.25%
10 ROYAL BANK OF CANADA 45,870 1,586,000 2.20%
11 Janney Montgomery Scott LLC 41,524 1,435,900 1.99%
12 Northeast Financial Consultants Inc 28,200 975,000 1.35%
13 LPL Financial LLC 27,220 941,000 1.30%
14 CREDIT SUISSE AG/ 15,509 536,000 0.74%
15 JPMORGAN CHASE & CO 11,529 399,000 0.55%
16 OPPENHEIMER & CO INC 11,227 388,000 0.54%
17 AMERIPRISE FINANCIAL INC 10,085 349,000 0.48%
18 STIFEL FINANCIAL CORP 8,960 310,000 0.43%
19 SUNTRUST BANKS INC 7,826 270,000 0.37%
20 Virtu KCG Holdings LLC 6,444 223,000 0.31%
21 Private Ocean, LLC 762 67,000 0.09%
22 Creative Planning 500 17,000 0.02%
23 BANK OF MONTREAL /CAN/ 470 16,000 0.02%
24 Tower Research Capital LLC (TRC) 386 13,000 0.02%
25 BESSEMER GROUP INC 365 13,000 0.02%
26 ENVESTNET ASSET MANAGEMENT INC 250 9,000 0.01%
27 Tortoise Investment Management, LLC 190 7,000 0.01%
28 NEW ENGLAND SECURITIES CORP /MA/ 100 3,000 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.