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Institutional Investment Manager
Commonwealth Equity Services, Inc
Commonwealth Equity Services, Inc (CIK: 0001333978) incorporated in Massachusetts, located at 29 Sawyer Road, Waltham, MA. Institutional holdings reported to the SEC.

Institutional Holdings (2014Q3)
Portfolio Summary: 2,092 holdings with a total value of $8,227,089,000.
#
Name
Shares
Value ($)
%
Options
Notes
51 DRAGONWAVE INC 21,785 27,000 0.00%
52 PROPHASE LABS INC 19,305 27,000 0.00%
53 Rubicon Minerals Corp 20,791 28,000 0.00%
54 Life Partners Holdings Inc 15,350 31,000 0.00%
55 ATHERSYS INC NEW 23,000 32,000 0.00%
56 CHESAPEAKE ENERGY CORP 32,000 32,000 0.00%
57 GALENA BIOPHARMA INC 15,429 32,000 0.00%
58 JEFFERIES GROUP INC NEW SR DB CV3.875 29 30,000 32,000 0.00%
59 Dendreon Corp 22,387 32,000 0.00%
60 ORBIT INTL CORP 11,630 33,000 0.00%
61 NAVIOS MARITIME ACQUIS CORP SHS 13,241 36,000 0.00%
62 DURECT CORP 25,150 37,000 0.00%
63 BALLARD PWR SYS INC NEW 11,778 38,000 0.00%
64 PLURISTEM THERAPEUTICS INC 13,400 38,000 0.00%
65 Novatel Wireless Inc 10,506 39,000 0.00%
66 RITE AID CORP 20,000 39,000 0.00%
67 CREDIT SUISSE ASSET MGMT INC 11,763 40,000 0.00%
68 GOLD FIELDS LTD NEW 10,284 40,000 0.00%
69 AXOGEN INC 17,711 43,000 0.00%
70 Dynavax Techs Cp New 30,380 43,000 0.00%
71 RIVERVIEW BANCORP INC 10,768 43,000 0.00%
72 NOVAGOLD RES INC 14,950 45,000 0.00%
73 WEST PHARMACEUTICAL SVSC INC 30,000 45,000 0.00%
74 LIFEVANTAGE CORPORATION 39,435 45,000 0.00%
75 RENTECH INC 27,000 46,000 0.00%
76 CERUS CORP 11,820 47,000 0.00%
77 ZION OIL & GAS INC 27,783 48,000 0.00%
78 CYTRX CORP 20,130 51,000 0.00%
79 EXELIXIS INC 33,910 52,000 0.00%
80 RELM WIRELESS CORP 10,000 52,000 0.00%
81 TRANSPORTADORA DE GAS SUR 15,982 53,000 0.00%
82 Navidea Biopharm Inc 39,802 53,000 0.00%
83 REPUBLIC FIRST BANCORP INC 14,079 55,000 0.00%
84 CASTLE BRANDS INC COM 42,000 55,000 0.00%
85 IAMGOLD CORP 20,337 56,000 0.00%
86 ATLANTIC PWR CORP 23,660 56,000 0.00%
87 EXTREME NETWORKS INC 11,870 57,000 0.00%
88 PARAMOUNT GOLD & SILVER COR 64,830 58,000 0.00%
89 Magnum Hunter Resources Corp 10,500 58,000 0.00%
90 PARKER DRILLING COMPANY 11,965 59,000 0.00%
91 SEQUENOM INC 19,925 59,000 0.00%
92 FEMALE HEALTH CO 17,287 60,000 0.00%
93 ADDVANTAGE TECHNOLOGIES GROU 25,665 60,000 0.00%
94 FUEL TECH INC 14,470 61,000 0.00%
95 ENDEAVOUR SILVER CORP 14,570 64,000 0.00%
96 GERON CORP 32,025 64,000 0.00%
97 HARMONIC INC 10,554 67,000 0.00%
98 * LEXICON PHARMACEUTICALS INC COM 48,859 69,000 0.00%
99 Capstone Turbine 65,344 70,000 0.00%
100 DREYFUS HIGH YIELD STRATEGIE 19,057 71,000 0.00%
Page 2 of 42

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001333978-14-000015, filed 2014.10.17).

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.