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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 (2015Q3)
Portfolio Summary: 36 Institutional holders with a total value of $78,311,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 542,363 20,762,000 26.51%
2 WELLS FARGO & COMPANY/MN 408,642 15,643,000 19.98%
3 UBS Group AG 246,049 9,419,000 12.03%
4 BANK OF AMERICA CORP /DE/ 185,627 7,105,000 9.07%
5 RAYMOND JAMES & ASSOCIATES 101,001 3,866,000 4.94%
6 JPMORGAN CHASE & CO 89,643 3,431,000 4.38%
7 Cetera Advisors LLC 82,536 3,157,000 4.03%
8 Raymond James Financial Services Advisors, Inc. 64,236 2,459,000 3.14%
9 Janney Montgomery Scott LLC 58,595 2,243,000 2.86%
10 ROYAL BANK OF CANADA 43,078 1,649,000 2.11%
11 Northeast Financial Consultants Inc 32,500 1,244,000 1.59%
12 PACIFIC FINANCIAL GROUP INC 28,032 1,073,000 1.37%
13 OPPENHEIMER & CO INC 22,475 860,000 1.10%
14 STIFEL FINANCIAL CORP 20,099 769,000 0.98%
15 SUSQUEHANNA INTERNATIONAL GROUP, LLP 18,308 701,000 0.90%
16 CITIGROUP INC 15,399 589,000 0.75%
17 AMERIPRISE FINANCIAL INC 15,347 587,000 0.75%
18 GOLDMAN SACHS GROUP INC 13,269 508,000 0.65%
19 LPL Financial LLC 12,106 482,000 0.62%
20 B. Riley Wealth Management, Inc. 9,965 381,000 0.49%
21 IFC Holdings Incorporated/FL 9,204 360,000 0.46%
22 JANE STREET GROUP, LLC 8,180 313,000 0.40%
23 Commonwealth Equity Services, Inc 6,024 231,000 0.29%
24 LADENBURG THALMANN FINANCIAL SERVICES INC. 3,576 137,000 0.17%
25 ADVANTAGE INVESTMENT MANAGEMENT, LLC 3,176 122,000 0.16%
26 Private Ocean, LLC 879 89,000 0.11%
27 Evercore Wealth Management, LLC 1,001 38,000 0.05%
28 Argentus Capital Management, LLC 807 31,000 0.04%
29 Creative Planning 500 19,000 0.02%
30 WFG Advisors, LP 429 16,000 0.02%
31 AMERICAN INTERNATIONAL GROUP, INC. 273 10,000 0.01%
32 Tortoise Investment Management, LLC 190 7,000 0.01%
33 Tower Research Capital LLC (TRC) 124 5,000 0.01%
34 US BANCORP \DE\ 100 4,000 0.01%
35 PNC FINANCIAL SERVICES GROUP, INC. 25 1,000 0.00%
36 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.