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First Trust Nasdaq Bank ETF
First Trust Nasdaq Bank ETF. Institutional holdings reported to the SEC.

Institutional Holders (2017Q1)
Portfolio Summary: 29 Institutional holders with a total value of $907,291,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 FIRST TRUST ADVISORS LP 21,785,192 565,761,000 62.36%
2 MORGAN STANLEY 6,658,594 172,925,000 19.06%
3 WELLS FARGO & COMPANY/MN 2,424,454 62,964,000 6.94%
4 BANK OF AMERICA CORP /DE/ 1,150,058 29,867,000 3.29%
5 RAYMOND JAMES & ASSOCIATES 817,366 21,227,000 2.34%
6 Raymond James Financial Services Advisors, Inc. 629,872 16,358,000 1.80%
7 ROYAL BANK OF CANADA 251,787 6,539,000 0.72%
8 HL FINANCIAL SERVICES LLC 235,179 6,108,000 0.67%
9 Janney Montgomery Scott LLC 181,602 4,716,000 0.52%
10 STIFEL FINANCIAL CORP 101,661 2,645,000 0.29%
11 GOLDMAN SACHS GROUP INC 100,173 2,601,000 0.29%
12 LPL Financial LLC 97,014 2,509,000 0.28%
13 LADENBURG THALMANN FINANCIAL SERVICES INC. 76,341 1,983,000 0.22%
14 D.A. DAVIDSON & CO. 68,898 1,789,000 0.20%
15 Dorsey Wright & Associates 65,897 1,711,000 0.19%
16 ATWOOD & PALMER INC 64,445 1,674,000 0.18%
17 SPC Financial, Inc. 45,530 1,182,000 0.13%
18 JPMORGAN CHASE & CO 39,420 1,023,000 0.11%
19 MILLENNIUM MANAGEMENT LLC 31,400 815,000 0.09%
20 FLOW TRADERS U.S. LLC 24,644 640,000 0.07%
21 FOUNDERS FINANCIAL SECURITIES LLC 22,129 575,000 0.06%
22 UNITED CAPITAL FINANCIAL ADVISORS, LLC 22,094 574,000 0.06%
23 CREDIT SUISSE AG/ 12,916 335,000 0.04%
24 STEPHENS INC /AR/ 12,324 320,000 0.04%
25 BB&T SECURITIES, LLC 8,171 212,000 0.02%
26 BENJAMIN F. EDWARDS & COMPANY, INC. 5,545 144,000 0.02%
27 Financial Architects, Inc 2,202 57,000 0.01%
28 PNC FINANCIAL SERVICES GROUP, INC. 772 20,000 0.00%
29 CREATIVE FINANCIAL DESIGNS INC /ADV 650 17,000 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.