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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 (2017Q1)
Original 13F HR (0001333978-17-000006) filed in 2017.05.15
#
Name
Shares
Value ($)
%
Options
Notes
451 ISHARES 91,079 4,548 0.03%
452 FIRST TR EXCHANGE TRADED FD 78,804 4,522 0.03%
453 SCHWAB U.S. SMALL-CAP ETF 71,750 4,519 0.03%
454 FIRST TR EXCHANGE-TRADED FD 42,647 4,491 0.03%
455 PRICELINE GRP INC 2,518 4,482 0.03%
456 MORGAN STANLEY 103,794 4,447 0.03%
457 PEMBINA PIPELINE CORP 140,136 4,444 0.03%
458 CERNER CORP 75,520 4,444 0.03%
459 FIDELITY 225,940 4,435 0.03%
460 MCCORMICK & CO INC 45,392 4,428 0.03%
461 POWERSHARES ETF TRUST 169,840 4,421 0.03%
462 NATIONAL GRID PLC ADR 69,554 4,415 0.03%
463 DIREXION ALL CAP INSIDER SENTIMENT SHARES 55,319 4,375 0.03%
464 PIMCO CORPORATE INCOME OPP 278,498 4,372 0.03%
465 WISDOMTREE TR 69,239 4,349 0.03%
466 FIRST TR LRG CP VL ALPHADEX 88,166 4,347 0.03%
467 PIMCO DYNAMIC INCOME FD 150,481 4,341 0.03%
468 TIME WARNER INC 44,398 4,338 0.03%
469 SCHWAB U.S. MID-CAP ETF 91,665 4,338 0.03%
470 ISHARES TR 96,490 4,323 0.03%
471 BAIDU INC 25,021 4,317 0.03%
472 HANNON ARMSTRONG SUST INFR C 213,177 4,306 0.03%
473 FIRST TR EXCHANGE TRADED FD 220,150 4,302 0.03%
474 KELLOGG CO 59,002 4,284 0.03%
475 ISHARES 85,225 4,255 0.03%
476 PEOPLES UNITED FINANCIAL INC 231,622 4,216 0.03%
477 POWERSHS DB MULTI SECT COMM 211,835 4,190 0.03%
478 POWERSHARES ETF TRUST II 180,140 4,190 0.03%
479 FIRST TRUST NASDAQ-100 EQUAL WEIGHTED INDEX FUND 81,183 4,189 0.03%
480 ENERGY TRANSFER L P 211,159 4,166 0.03%
481 FIRST TR MID CAP CORE ALPHAD 71,030 4,152 0.03%
482 ROCKWELL AUTOMATION INC 26,564 4,136 0.03%
483 SPDR DOW JONES REIT ETF 44,692 4,124 0.03%
484 RETAIL PPTYS AMER INC CL A 285,034 4,110 0.03%
485 FIDELITY 118,243 4,101 0.03%
486 BANK MONTREAL QUE 54,768 4,096 0.03%
487 ISHARES TR 32,797 4,075 0.03%
488 SEMPRA ENERGY 36,670 4,052 0.03%
489 PRICE T ROWE GROUP INC 59,437 4,051 0.03%
490 ISHARES TR 26,750 4,051 0.03%
491 ISHARES TR 24,635 4,040 0.03%
492 SELECT SECTOR SPDR TR 76,380 4,003 0.03%
493 SALESFORCE COM INC 48,501 4,001 0.03%
494 TOTAL S A 79,271 3,997 0.03%
495 ISHARES 88,830 3,970 0.03%
496 SIRIUS XM HOLDINGS INC 770,822 3,970 0.03%
497 FIRST TR EXCHANGE-TRADED FD 202,829 3,959 0.03%
498 CROWN CASTLE INTL CORP NEW 41,791 3,947 0.03%
499 ASTRAZENECA PLC 126,580 3,942 0.03%
500 SANOFI 87,076 3,940 0.03%
Page 10 of 49
Restatement filing (0001333978-18-000004) filed in 2018.02.16
#
Name
Shares
Value ($)
%
Options
Notes
1 Kinder Morgan Inc Del Wt Exp 052517 79,340 0 0.00%
2 PALATIN TECHNOLOGIES INC 13,250 4 0.00%
3 BIOSTAGE INC 14,547 5 0.00%
4 CYTRX CORP 16,701 7 0.00%
5 SYNTHETIC BIOLOGICS INCORPORATED 11,033 7 0.00%
6 CERECOR INC 13,012 9 0.00%
7 HORNBECK OFFSHORE SVCS INC NEW SR CONV NT1.5 19 16,000 10 0.00%
8 ARVINMERITOR INC 10,000 10 0.00%
9 JEFFERIES GROUP INC NEW SR DB CV3.875 29 10,000 10 0.00%
10 UNI PIXEL INC COM NEW 13,300 11 0.00%
11 HELIX ENERGY SOLUTIONS GRP INC SR GLBL CV NT 32 11,000 11 0.00%
12 SECOND SIGHT MED PRODS INC 11,099 13 0.00%
13 RAIT FINANCIAL TRUST 13,000 13 0.00%
14 EXCO RESOURCES INC 22,938 14 0.00%
15 LIGHTBRIDGE CORP 11,346 15 0.00%
16 URANIUM ENERGY CORP 10,881 15 0.00%
17 LIQTECH INTL INC 42,000 16 0.00%
18 ZION OIL & GAS INC 13,287 16 0.00%
19 BIOLASE INC 12,634 17 0.00%
20 GLOBALSTAR INC 10,788 17 0.00%
21 DRYSHIPS INC 10,619 18 0.00%
22 SANDRIDGE MISSISSIPPIAN TR I 12,601 18 0.00%
23 NANOVIRICIDES INC 16,331 18 0.00%
24 VIVUS INC 16,733 19 0.00%
25 SANOFI 42,259 19 0.00%
26 INTEL CORP JR SB CONV DB 35 14,000 19 0.00%
27 TRANSENTERIX INC 16,930 20 0.00%
28 PERION NETWORK LTD 11,400 20 0.00%
29 NAVIDEA BIOPHARM INC 34,087 20 0.00%
30 NETLIST INC 20,000 20 0.00%
31 NEOVASC INC 12,900 20 0.00%
32 ATHERSYS INC NEW 12,500 21 0.00%
33 BANK OF NOVA SCOTIA 20,000 21 0.00%
34 Durect Corp Com 20,500 22 0.00%
35 ENCORE CAP GROUP INC 25,000 22 0.00%
36 HURON CONSULTING GROUP INC 25,000 23 0.00%
37 LAM RESEARCH CORP SR NT CV 1.25 18 11,000 23 0.00%
38 Chesapeake Energy Corp 39,000 23 0.00%
39 INSEEGO CORP 11,006 23 0.00%
40 TCP CAP CORP NOTE 5.25012/1 23,000 24 0.00%
41 NEW MTN FIN CORP 23,000 24 0.00%
42 TPG Specialty Lending Inc 23,000 24 0.00%
43 HUGOTON RTY TR TEX 13,398 25 0.00%
44 KB HOME SR CV NT1.375 19 24,000 25 0.00%
45 COLONY CAP INC 25,000 25 0.00%
46 NAVIOS MARITIME ACQUIS CORP 14,312 25 0.00%
47 RYLAND GROUP INC SR NT CV 0.25 19 27,000 25 0.00%
48 REDWOOD TR INC NOTE 4.625 4/1 26,000 26 0.00%
49 INTELLIPHARMACEUTICS INTL IN 10,264 26 0.00%
50 TOP SHIPS INC 23,809 26 0.00%
Page 1 of 49