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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 (2015Q2)
Portfolio Summary: 31 Institutional holders with a total value of $81,853,971.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 481,678 20,173,000 24.65%
2 WELLS FARGO & COMPANY/MN 415,457 17,400,000 21.26%
3 UBS Group AG 245,087 10,264,000 12.54%
4 BANK OF AMERICA CORP /DE/ 235,680 9,870,000 12.06%
5 JPMORGAN CHASE & CO 88,501 3,706,000 4.53%
6 RAYMOND JAMES & ASSOCIATES 85,777 3,592,000 4.39%
7 ROYAL BANK OF CANADA 65,182 2,730,000 3.34%
8 Cetera Advisors LLC 59,032 2,476,000 3.02%
9 Janney Montgomery Scott LLC 58,131 2,434,538 2.97%
10 Northeast Financial Consultants Inc 32,500 1,361,000 1.66%
11 OPPENHEIMER & CO INC 25,689 1,076,000 1.31%
12 PACIFIC FINANCIAL GROUP INC 25,553 1,070,000 1.31%
13 STIFEL FINANCIAL CORP 20,373 853,000 1.04%
14 JANE STREET GROUP, LLC 19,025 797,000 0.97%
15 CITIGROUP INC 18,418 770,000 0.94%
16 AMERIPRISE FINANCIAL INC 15,725 659,000 0.81%
17 MANAGED ACCOUNT ADVISORS LLC 15,114 633,000 0.77%
18 LPL Financial LLC 13,262 559,000 0.68%
19 Raymond James Financial Services Advisors, Inc. 10,428 437,000 0.53%
20 GOLDMAN SACHS GROUP INC 6,048 253,000 0.31%
21 Commonwealth Equity Services, Inc 6,024 252,000 0.31%
22 CITADEL ADVISORS LLC 5,728 240,000 0.29%
23 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,576 108,000 0.13%
24 Private Ocean, LLC 768 82,000 0.10%
25 WFG Advisors, LP 429 18,000 0.02%
26 Tower Research Capital LLC (TRC) 375 16,000 0.02%
27 AMERICAN INTERNATIONAL GROUP, INC. 273 11,433 0.01%
28 Tortoise Investment Management, LLC 190 8,000 0.01%
29 US BANCORP \DE\ 100 4,000 0.00%
30 PNC FINANCIAL SERVICES GROUP, INC. 25 1,000 0.00%
31 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.