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FIRST TRUST NASDAQ ABA COMMUNITY BANK INDEX FUND
FIRST TRUST NASDAQ ABA COMMUNITY BANK INDEX FUND. Institutional holdings reported to the SEC.

Institutional Holders (2017Q1)
Portfolio Summary: 53 Institutional holders with a total value of $179,904,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,591,992 80,587,000 44.79%
2 BANK OF AMERICA CORP /DE/ 420,881 21,305,000 11.84%
3 RAYMOND JAMES & ASSOCIATES 354,213 17,930,000 9.97%
4 LPL Financial LLC 225,837 11,274,000 6.27%
5 SkyTop Capital Management LLC 112,000 5,669,000 3.15%
6 Raymond James Financial Services Advisors, Inc. 105,542 5,343,000 2.97%
7 Sigma Planning Corp 57,579 2,915,000 1.62%
8 Janney Montgomery Scott LLC 57,320 2,902,000 1.61%
9 SUSQUEHANNA INTERNATIONAL GROUP, LLP 56,290 2,849,000 1.58%
10 LADENBURG THALMANN FINANCIAL SERVICES INC. 52,534 2,679,000 1.49%
11 WELLS FARGO & COMPANY/MN 41,667 2,109,000 1.17%
12 ROYAL BANK OF CANADA 38,145 1,931,000 1.07%
13 STEPHENS INC /AR/ 35,809 1,813,000 1.01%
14 AMERIPRISE FINANCIAL INC 34,577 1,745,000 0.97%
15 CITADEL ADVISORS LLC 33,663 1,704,000 0.95%
16 INVESTMENT CENTERS OF AMERICA INC 29,142 1,477,000 0.82%
17 SUNTRUST BANKS INC 25,671 1,355,000 0.75%
18 Cetera Advisor Networks LLC 24,142 1,224,000 0.68%
19 OPPENHEIMER & CO INC 24,083 1,219,000 0.68%
20 STIFEL FINANCIAL CORP 22,932 1,166,000 0.65%
21 Jaffetilchin Investment Partners, LLC 20,216 1,023,000 0.57%
22 Commonwealth Equity Services, Inc 17,959 909,000 0.51%
23 MML INVESTORS SERVICES, INC. 16,811 851,000 0.47%
24 WAYNE HUMMER INVESTMENTS L.L.C. 16,289 825,000 0.46%
25 First Allied Advisory Services, Inc. 15,861 803,000 0.45%
26 COOKSON PEIRCE & CO INC 15,830 801,000 0.45% SH
27 Cetera Advisors LLC 10,465 528,000 0.29%
28 WESPAC Advisors, LLC 10,178 515,000 0.29%
29 SPINNAKER TRUST 8,765 444,000 0.25%
30 BENJAMIN F. EDWARDS & COMPANY, INC. 8,712 441,000 0.25%
31 BLAIR WILLIAM & CO/IL 8,305 439,000 0.24%
32 GIRARD SECURITIES, INC. 7,042 356,000 0.20%
33 Cambridge Investment Research Advisors, Inc. 6,783 343,000 0.19%
34 VOYA FINANCIAL ADVISORS, INC. 6,909 342,000 0.19%
35 NATIONAL PLANNING CORP 6,684 334,000 0.19%
36 HL FINANCIAL SERVICES LLC 5,293 268,000 0.15%
37 IFC Holdings Incorporated/FL 4,857 247,000 0.14%
38 BB&T SECURITIES, LLC 4,400 222,000 0.12%
39 MANUFACTURERS LIFE INSURANCE COMPANY, THE 3,708 188,000 0.10%
40 AlphaMark Advisors, LLC 3,050 154,000 0.09%
41 ENVESTNET ASSET MANAGEMENT INC 2,939 149,000 0.08%
42 CITIGROUP INC 2,662 135,000 0.08%
43 D.A. DAVIDSON & CO. 2,480 125,000 0.07%
44 PNC FINANCIAL SERVICES GROUP, INC. 2,311 117,000 0.07%
45 PITTENGER & ANDERSON INC 1,000 51,000 0.03%
46 WFG Advisors, LP 559 28,000 0.02%
47 Financial Architects, Inc 502 25,000 0.01%
48 Creative Planning 300 15,000 0.01%
49 Portfolio Solutions, LLC 202 10,000 0.01%
50 CUTLER GROUP LLC / CA 200 10,000 0.01%
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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.