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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 (2016Q1)
Portfolio Summary: 47 Institutional holders with a total value of $105,497,001.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 742,055 29,244,000 27.72%
2 WELLS FARGO & COMPANY/MN 546,041 21,520,000 20.40%
3 UBS Group AG 247,366 9,749,000 9.24%
4 RAYMOND JAMES & ASSOCIATES 168,460 6,639,000 6.29%
5 BANK OF AMERICA CORP /DE/ 111,852 4,408,000 4.18%
6 Cetera Advisors LLC 87,771 3,459,000 3.28%
7 LPL Financial LLC 80,218 3,152,000 2.99%
8 SUSQUEHANNA INTERNATIONAL GROUP, LLP 76,920 3,034,000 2.88%
9 IMA Advisory Services, Inc. 64,664 2,486,000 2.36% SH
10 Janney Montgomery Scott LLC 55,290 2,179,000 2.07%
11 ROYAL BANK OF CANADA 53,321 2,102,000 1.99%
12 SG Americas Securities, LLC 52,375 2,066,000 1.96%
13 JPMORGAN CHASE & CO 40,646 1,603,000 1.52%
14 D.A. DAVIDSON & CO. 37,806 1,489,000 1.41%
15 CITADEL ADVISORS LLC 33,031 1,303,000 1.24%
16 GOLDMAN SACHS GROUP INC 32,625 1,286,000 1.22%
17 Northeast Financial Consultants Inc 29,500 1,163,000 1.10%
18 OPPENHEIMER & CO INC 28,493 1,123,000 1.06%
19 SPC Financial, Inc. 27,750 1,094,000 1.04%
20 B. Riley Wealth Management, Inc. 25,912 1,021,000 0.97%
21 Virtu KCG Holdings LLC 23,791 938,000 0.89%
22 AMERIPRISE FINANCIAL INC 15,013 589,000 0.56%
23 JANE STREET GROUP, LLC 14,414 568,000 0.54%
24 HL FINANCIAL SERVICES LLC 12,604 497,000 0.47%
25 STIFEL FINANCIAL CORP 11,228 442,000 0.42%
26 IFC Holdings Incorporated/FL 10,397 415,000 0.39%
27 DAVENPORT & Co LLC 9,490 374,001 0.35%
28 Commonwealth Equity Services, Inc 9,337 368,000 0.35%
29 Raymond James Financial Services Advisors, Inc. 8,549 337,000 0.32%
30 MSI Financial Services Inc 7,380 291,000 0.28%
31 LADENBURG THALMANN FINANCIAL SERVICES INC. 3,486 137,000 0.13%
32 CITIGROUP INC 2,777 110,000 0.10%
33 Private Ocean, LLC 883 96,000 0.09%
34 PNC FINANCIAL SERVICES GROUP, INC. 1,362 54,000 0.05%
35 Evercore Wealth Management, LLC 900 35,000 0.03%
36 Argentus Capital Management, LLC 857 34,000 0.03%
37 WFG Advisors, LP 554 22,000 0.02%
38 Creative Planning 500 20,000 0.02%
39 Financial Architects, Inc 425 17,000 0.02%
40 BlackRock Finance, Inc. 230 9,000 0.01%
41 Tortoise Investment Management, LLC 190 7,000 0.01%
42 AMERICAN INTERNATIONAL GROUP, INC. 145 6,000 0.01%
43 US BANCORP \DE\ 100 4,000 0.00%
44 MOSAIC FAMILY WEALTH, LLC 122 4,000 0.00%
45 Tower Research Capital LLC (TRC) 43 2,000 0.00%
46 GLENMEDE TRUST CO NA 35 1,000 0.00%
47 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.