Dark
Light
System
Security
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 (2016Q3)
Portfolio Summary: 37 Institutional holders with a total value of $67,549,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 480,266 19,441,000 28.78%
2 WELLS FARGO & COMPANY/MN 425,904 17,240,000 25.52%
3 UBS Group AG 186,651 7,556,000 11.19%
4 Cetera Advisors LLC 80,043 3,244,000 4.80%
5 ROYAL BANK OF CANADA 71,878 2,909,000 4.31%
6 RAYMOND JAMES & ASSOCIATES 58,824 2,381,000 3.52%
7 Janney Montgomery Scott LLC 51,338 2,078,000 3.08%
8 SUSQUEHANNA INTERNATIONAL GROUP, LLP 47,024 1,904,000 2.82%
9 BANK OF AMERICA CORP /DE/ 37,831 1,531,000 2.27%
10 D.A. DAVIDSON & CO. 36,778 1,488,000 2.20%
11 Northeast Financial Consultants Inc 32,500 1,316,000 1.95%
12 SG Americas Securities, LLC 23,779 963,000 1.43%
13 Timber Hill LLC 22,399 907,000 1.34%
14 OPPENHEIMER & CO INC 19,910 806,000 1.19%
15 Virtu KCG Holdings LLC 19,046 771,000 1.14%
16 LPL Financial LLC 14,176 573,000 0.85%
17 GOLDMAN SACHS GROUP INC 12,295 498,000 0.74%
18 IFC Holdings Incorporated/FL 11,738 476,000 0.70%
19 MSI Financial Services Inc 9,403 381,000 0.56%
20 Commonwealth Equity Services, Inc 8,211 332,000 0.49%
21 CITADEL ADVISORS LLC 7,918 321,000 0.48%
22 Private Ocean, LLC 888 105,000 0.16%
23 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,469 100,000 0.15%
24 PNC FINANCIAL SERVICES GROUP, INC. 1,363 55,000 0.08%
25 CITIGROUP INC 666 27,000 0.04%
26 Argentus Capital Management, LLC 608 25,000 0.04%
27 JPMORGAN CHASE & CO 596 24,000 0.04%
28 WFG Advisors, LP 554 22,000 0.03%
29 Financial Architects, Inc 485 20,000 0.03%
30 IFP ADVISORS, INC 322 13,000 0.02%
31 NEXT Financial Group, Inc 242 10,000 0.01%
32 BlackRock Finance, Inc. 230 9,000 0.01%
33 Tortoise Investment Management, LLC 190 8,000 0.01%
34 ADVISOR GROUP, INC. 145 6,000 0.01%
35 MOSAIC FAMILY WEALTH, LLC 123 5,000 0.01%
36 US BANCORP \DE\ 100 4,000 0.01%
37 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.