Dark
Light
System
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 (2015Q3)
Original 13F HR (0001333978-15-000009) filed in 2015.10.27
#
Name
Shares
Value ($)
%
Options
Notes
2001 FIRSTHAND TECHNOLOGY VALUE FD COM 10,052 86 0.00%
2002 CATALYST PHARMACEUTICALS INC 28,500 86 0.00%
2003 CLIFFS NAT RES INC 34,967 85 0.00%
2004 AMBEV SA 17,111 84 0.00%
2005 WESTERN ASSET MGD HI INCM FD 18,773 84 0.00%
2006 NAVIOS MARITIME PARTNERS L P 11,554 84 0.00%
2007 NEOVASC INC 16,900 83 0.00%
2008 NAVIDEA BIOPHARM INC 35,802 82 0.00%
2009 BOULDER GROWTH & INCOME FUND COM 10,986 82 0.00%
2010 INVESTORS REAL 10,396 80 0.00%
2011 AXOGEN INC 19,036 78 0.00%
2012 NEVSUN RES LTD 26,470 77 0.00%
2013 WESTPORT FUEL SYSTEMS INC 30,751 77 0.00%
2014 MFS MULTIMARKET INCOME TR 13,843 77 0.00%
2015 CERULEAN PHARMA INC 20,778 76 0.00%
2016 REPUBLIC FIRST BANCORP INC 19,879 74 0.00%
2017 WESTERN ASSET HIGH INCM OPP FD 15,812 74 0.00%
2018 CEMEX SAB DE CV 10,402 73 0.00%
2019 COEUR MNG INC 70,000 71 0.00%
2020 STUDENT TRANSN INC 17,474 71 0.00%
2021 PROSPECT CAPITAL CORPORATION 70,000 70 0.00%
2022 MFS SPL VALUE TR 13,447 70 0.00%
2023 Basic Energy Services 20,978 69 0.00%
2024 ANTARES PHARMA INC 40,400 69 0.00%
2025 ACTIVE POWER INC COM NEW 42,130 69 0.00%
2026 DERMA SCIENCES ORD 14,350 68 0.00%
2027 SANDRIDGE PERMIAN TR 15,832 68 0.00%
2028 INVESCO SR INCOME TR 16,189 68 0.00%
2029 REVOLUTION LIGHTING TECHNOLO COM NEW 71,235 68 0.00%
2030 WELLS FARGO GLOBAL DIVID OPP 11,305 67 0.00%
2031 OHA INVT CORP 15,700 66 0.00%
2032 MFS MUN INCOME TR 10,003 64 0.00%
2033 NOVAGOLD RES INC 17,523 63 0.00%
2034 TRANSPORTADORA DE GAS SUR 15,982 63 0.00%
2035 PACHOLDER HIGH YIELD FD INC 10,017 63 0.00%
2036 LINN CO LLC 23,329 63 0.00%
2037 YAMANA GOLD INC 36,483 62 0.00%
2038 MCDERMOTT INTL INC 14,437 62 0.00%
2039 GALENA BIOPHARMA INC 39,515 62 0.00%
2040 MFS HIGH INCOME MUN TR 13,114 62 0.00%
2041 KERYX BIOPHARMACEUTICALS INC 16,384 58 0.00%
2042 INOVIO PHARMACEUTICALS INC 10,086 58 0.00%
2043 ZYNGA INC 25,210 57 0.00%
2044 BANCO BRADESCO S A 10,422 56 0.00%
2045 CERUS CORPORATION 12,060 55 0.00%
2046 BALLARD PWR SYS INC NEW 45,088 54 0.00%
2047 FAIRMOUNT SANTROL HLDGS INC 19,925 54 0.00%
2048 FUSION TELECOMM INTL INC 28,304 53 0.00%
2049 IMMUNOMEDICS INCORPORATED 30,315 52 0.00%
2050 COSAN LTD SHS A 18,106 52 0.00%
Page 41 of 43