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
2101 PROVECTUS 42,500 24 0.00%
2102 Novatel Wireless Inc 11,006 24 0.00%
2103 Rcs Capital Corp 26,733 22 0.00%
2104 Key Energy Services, Inc. 45,087 21 0.00%
2105 NEURALSTEM INC COM 17,040 21 0.00%
2106 Durect Corp Com 11,000 21 0.00%
2107 GLOBALSTAR INC 12,798 20 0.00%
2108 Prospect Capital Corp 20,000 20 0.00%
2109 HUTCHISON PORT HOLDINGS TRUST 10,590 17 0.00%
2110 FEMALE HEALTH CO 10,519 17 0.00%
2111 PEDEVCO CORP 62,798 16 0.00%
2112 APOLLO INVT CORP 5.75% 01/15/2016 15,000 15 0.00%
2113 RTI INTL METALS INC 15,000 15 0.00%
2114 Rubicon Minerals Corp 21,080 15 0.00%
2115 LAM RESEARCH CORP SR NT CV 1.25 18 11,000 14 0.00%
2116 PENN WEST PETE LTD NEW 29,205 13 0.00%
2117 Energy XXI LTD 12,148 13 0.00%
2118 INTEL CORP JR SB CONV DB 35 10,000 12 0.00%
2119 NANOVIRICIDES INC 10,417 12 0.00%
2120 PALATIN TECHNOLOGIES INC 13,100 11 0.00%
2121 CYTORI THERAPEUTIC INC 32,550 11 0.00%
2122 ImmunoCellular Therapeutics Lt 27,000 11 0.00%
2123 ARVINMERITOR INC 10,000 10 0.00%
2124 ION GEOPHYSICAL CORP 26,294 10 0.00%
2125 HELIX ENERGY SOLUTIONS GRP INC SR GLBL CV NT 32 11,000 9 0.00%
2126 LIGHTBRIDGE CORP 10,400 9 0.00%
2127 GOODRICH PETE CORP 15,090 9 0.00%
2128 Dex Media Inc 65,400 9 0.00%
2129 ON TRACK INNOVATION LTD 10,600 8 0.00%
2130 Warren Resources Inc 17,054 8 0.00%
2131 SANOFI 42,681 8 0.00%
2132 SFX ENTMT INC 16,400 8 0.00%
2133 TASEKO MINES LTD 16,105 6 0.00%
2134 DISCOVERY LABORATORIES INC N 20,833 6 0.00%
2135 Odyssey Marine Exploration Inc 14,045 5 0.00%
2136 Magnum Hunter Resources Corp 11,400 4 0.00%
2137 PARAGON OFFSHORE PLC 18,596 4 0.00%
2138 TANZANIAN ROYALTY EXPL CORP 11,900 4 0.00%
2139 AMEDICA CORP 10,350 3 0.00%
2140 DRAGONWAVE INC 13,365 3 0.00%
2141 AUTHENTIDATE HLDG CORP 11,298 3 0.00%
2142 ParkerVision Inc. (PRKR) 16,500 3 0.00%
2143 PEABODY ENERGY C 4.75 percent 66 CONV BONDS DUE 12/15/66 26,000 3 0.00%
2144 AVALON RARE METALS INC 16,836 2 0.00%
Page 43 of 43