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 (2017Q1)
Original 13F HR (0001333978-17-000006) filed in 2017.05.15
#
Name
Shares
Value ($)
%
Options
Notes
501 ETF MANAGERS TR 133,205 3,932 0.03%
502 GOLDMAN SACHS ETF TR 84,044 3,932 0.03%
503 DTE ENERGY CO 38,467 3,928 0.03%
504 WILLIAMS COS INC DEL 132,380 3,917 0.03%
505 AMEREN CORP 71,583 3,908 0.03%
506 SPDR SER TR 28,074 3,906 0.03%
507 ISHARES INC 75,840 3,906 0.03%
508 ZIMMER BIOMET HLDGS INC 31,856 3,890 0.03%
509 CANADIAN NATL RY CO 52,364 3,871 0.03%
510 POWERSHARES ETF TRUST 207,223 3,867 0.03%
511 FREEPORT-MCMORAN INC 288,139 3,850 0.03%
512 CLAYMORE EXCHANGE TRD FD TR 122,984 3,821 0.03%
513 AMERISOURCEBERGEN CORP 42,979 3,804 0.03%
514 NUVEEN AMT FREE MUN CR INC F 259,863 3,799 0.03%
515 CUBESMART 144,848 3,760 0.03%
516 ISHARES 103,303 3,755 0.03%
517 SPDR SER TR 54,110 3,752 0.03%
518 WILLIAMS SONOMA INC 69,643 3,734 0.03%
519 JOHN HANCOCK EXCHANGE TRADED 132,578 3,729 0.02%
520 KITE RLTY GROUP TR 171,775 3,693 0.02%
521 BROOKFIELD ASSET MGMT INC 100,914 3,679 0.02%
522 CIGNA CORPORATION 25,085 3,675 0.02%
523 CONSTELLATION BRANDS INC 22,635 3,669 0.02%
524 EATON VANCE CORP 80,878 3,636 0.02%
525 CENTRAL FD CDA LTD 281,872 3,625 0.02%
526 WISDOMTREE TR 112,482 3,623 0.02%
527 POWERSHARES GLOBAL ETF FD 163,674 3,609 0.02%
528 KEYCORP NEW 202,320 3,597 0.02%
529 MAIN STREET CAPITAL CORP 93,782 3,589 0.02%
530 NBT BANCORP INC COM 96,383 3,573 0.02%
531 ISHARES TR 51,084 3,550 0.02%
532 MAIDEN HOLDINGS LTD 253,101 3,543 0.02%
533 FIRST TR EXCHANGE TRADED FD 144,371 3,541 0.02%
534 CLAYMORE EXCHANGE TRD FD TR 85,024 3,520 0.02%
535 MICROCHIP TECHNOLOGY INC. 47,705 3,520 0.02%
536 WISDOMTREE TR 99,277 3,502 0.02%
537 ISHARES TR 38,890 3,467 0.02%
538 PIMCO DYNMIC CREDIT AND MRT 161,526 3,463 0.02%
539 VANGUARD SCOTTSDALE FDS 53,801 3,460 0.02%
540 ISHARES TR 22,886 3,454 0.02%
541 FIRST TR EXCHANGE TRADED FD 54,392 3,395 0.02%
542 EDISON INTL 42,218 3,361 0.02%
543 VALLEY NATL BANCORP 283,786 3,349 0.02%
544 RYDEX ETF TRUST 24,532 3,327 0.02%
545 COGNIZANT TECHNOLOGY SOLUTIO 55,905 3,327 0.02%
546 ISHARES NORTH AMERICAN NATURAL RESOURCES ETF 97,023 3,325 0.02%
547 CME GROUP INC 27,878 3,312 0.02%
548 VANGUARD MUN BD FDS 65,106 3,297 0.02%
549 BAXTER INTL INC 62,815 3,258 0.02%
550 GOLDMAN SACHS ETF TR 107,596 3,225 0.02%
Page 11 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