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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 (2015Q1)
Portfolio Summary: 28 Institutional holders with a total value of $78,115,009.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 560,968 23,247,000 29.76%
2 WELLS FARGO & COMPANY/MN 407,800 16,900,000 21.63%
3 UBS Group AG 283,811 11,761,000 15.06%
4 BANK OF AMERICA CORP /DE/ 156,437 6,483,000 8.30%
5 RAYMOND JAMES & ASSOCIATES 79,853 3,309,000 4.24%
6 ROYAL BANK OF CANADA 56,508 2,342,000 3.00%
7 Janney Montgomery Scott LLC 54,133 2,243,000 2.87%
8 JPMORGAN CHASE & CO 50,043 2,074,000 2.66%
9 Cetera Advisors LLC 35,033 1,454,000 1.86%
10 Northeast Financial Consultants Inc 32,500 1,347,000 1.72%
11 JANE STREET GROUP, LLC 29,521 1,223,000 1.57%
12 OPPENHEIMER & CO INC 26,417 1,095,000 1.40%
13 PACIFIC FINANCIAL GROUP INC 25,697 1,065,000 1.36%
14 STIFEL FINANCIAL CORP 23,271 964,000 1.23%
15 AMERIPRISE FINANCIAL INC 15,523 643,000 0.82%
16 LPL Financial LLC 14,059 578,000 0.74%
17 MANAGED ACCOUNT ADVISORS LLC 11,094 460,000 0.59%
18 LADENBURG THALMANN FINANCIAL SERVICES INC. 10,752 445,000 0.57%
19 GOLDMAN SACHS GROUP INC 7,335 304,000 0.39%
20 Private Ocean, LLC 777 82,000 0.10%
21 MSI Financial Services Inc 900 37,000 0.05%
22 Creative Planning 500 21,000 0.03%
23 WFG Advisors, LP 352 15,000 0.02%
24 Tortoise Investment Management, LLC 190 8,000 0.01%
25 AMERICAN INTERNATIONAL GROUP, INC. 145 6,009 0.01%
26 Tower Research Capital LLC (TRC) 118 5,000 0.01%
27 US BANCORP \DE\ 100 4,000 0.01%
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.