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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 (2015Q4)
Portfolio Summary: 42 Institutional holders with a total value of $108,628,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 689,465 28,592,000 26.32%
2 WELLS FARGO & COMPANY/MN 648,371 26,888,000 24.75%
3 UBS Group AG 280,379 11,627,000 10.70%
4 BANK OF AMERICA CORP /DE/ 203,273 8,430,000 7.76%
5 RAYMOND JAMES & ASSOCIATES 116,647 4,837,000 4.45%
6 Cetera Advisors LLC 83,754 3,478,000 3.20%
7 JPMORGAN CHASE & CO 78,696 3,264,000 3.00%
8 IMA Advisory Services, Inc. 64,664 2,616,000 2.41% SH
9 Janney Montgomery Scott LLC 57,241 2,374,000 2.19%
10 Raymond James Financial Services Advisors, Inc. 48,176 1,998,000 1.84%
11 ROYAL BANK OF CANADA 41,625 1,726,000 1.59%
12 WESPAC Advisors, LLC 37,855 1,570,000 1.45%
13 D.A. DAVIDSON & CO. 32,751 1,358,000 1.25%
14 Northeast Financial Consultants Inc 32,500 1,348,000 1.24%
15 OPPENHEIMER & CO INC 30,382 1,260,000 1.16%
16 PACIFIC FINANCIAL GROUP INC 27,978 1,160,000 1.07%
17 LPL Financial LLC 27,233 1,103,000 1.02%
18 CITIGROUP INC 19,177 795,000 0.73%
19 AMERIPRISE FINANCIAL INC 19,122 793,000 0.73%
20 B. Riley Wealth Management, Inc. 14,694 609,000 0.56%
21 STIFEL FINANCIAL CORP 13,708 568,000 0.52%
22 HL FINANCIAL SERVICES LLC 12,821 532,000 0.49%
23 IFC Holdings Incorporated/FL 9,508 393,000 0.36%
24 CITADEL ADVISORS LLC 8,415 349,000 0.32%
25 Commonwealth Equity Services, Inc 6,990 290,000 0.27%
26 LADENBURG THALMANN FINANCIAL SERVICES INC. 3,576 148,000 0.14%
27 ADVANTAGE INVESTMENT MANAGEMENT, LLC 3,276 136,000 0.13%
28 Private Ocean, LLC 881 99,000 0.09%
29 MSI Financial Services Inc 1,738 72,000 0.07%
30 PNC FINANCIAL SERVICES GROUP, INC. 1,227 51,000 0.05%
31 Evercore Wealth Management, LLC 1,001 42,000 0.04%
32 Argentus Capital Management, LLC 932 39,000 0.04%
33 WFG Advisors, LP 554 23,000 0.02%
34 Creative Planning 500 21,000 0.02%
35 BlackRock Finance, Inc. 230 10,000 0.01%
36 Tortoise Investment Management, LLC 190 8,000 0.01%
37 AMERICAN INTERNATIONAL GROUP, INC. 145 6,000 0.01%
38 Tower Research Capital LLC (TRC) 124 5,000 0.00%
39 MOSAIC FAMILY WEALTH, LLC 122 5,000 0.00%
40 US BANCORP \DE\ 100 4,000 0.00%
41 ALLEGIS INVESTMENT ADVISORS, LLC 36 1,000 0.00%
42 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.