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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
651 YUM CHINA HLDGS INC 90,633 2,465 0.02%
652 ISHARES TR 20,016 2,463 0.02%
653 HEWLETT PACKARD ENTERPRISE C 103,926 2,463 0.02%
654 WISDOMTREE TR 61,835 2,459 0.02%
655 DYNEX CAP INC 346,661 2,458 0.02%
656 HARRIS CORP 22,076 2,456 0.02%
657 ROCKWELL COLLINS INC 25,261 2,454 0.02%
658 SCHWAB U.S. LARGE-CAP ETF 43,358 2,440 0.02%
659 HARLEY DAVIDSON INC 40,217 2,433 0.02%
660 ISHARES TR 86,415 2,414 0.02%
661 SKYWORKS SOLUTIONS INC 24,567 2,407 0.02%
662 VEEVA SYS INC 46,469 2,383 0.02%
663 PIMCO INCOME OPPORTUNITY FD 95,905 2,381 0.02%
664 EATON VANCE TAX ADVT DIV INC 112,129 2,372 0.02%
665 POWERSHARES ETF TR II 81,375 2,365 0.02%
666 NU SKIN ENTERPRISES INC 42,458 2,358 0.02%
667 VANGUARD WORLD FDS 19,060 2,358 0.02%
668 MARATHON OIL CORP 148,942 2,353 0.02%
669 AGNC INVT CORP 118,201 2,351 0.02%
670 GRAMERCY PPTY TR 89,237 2,347 0.02%
671 PIMCO STRATEGIC INCOME FD IN 246,037 2,342 0.02%
672 HUNTINGTON BANCSHARES INC 174,452 2,336 0.02%
673 ONEOK INC NEW 42,027 2,330 0.02%
674 MANULIFE FINL CORP 131,267 2,329 0.02%
675 HANCOCK JOHN PFD INCOME FD 109,486 2,327 0.02%
676 FIRST TRUST PORTFOLIOS SHS ETF 38,627 2,323 0.02%
677 DISCOVER FINL SVCS 33,677 2,303 0.02%
678 ACTIVISION BLIZZARD INC 46,125 2,300 0.02%
679 CBS CORP NEW 33,093 2,295 0.02%
680 SPDR SER TR 28,107 2,292 0.02%
681 PG&E CORP 34,487 2,289 0.02%
682 WISDOMTREE TRUST EUROPE SMCP DV ETF 38,615 2,281 0.02%
683 DEUTSCHE MUNICIPAL 171,920 2,278 0.02%
684 SUNTRUST BKS INC 40,981 2,266 0.02%
685 NUVEEN DIVID ADVANTAGE MUN FD COM SH BEN INT 157,018 2,259 0.02%
686 FIRST TR EXCH TRD ALPHA FD I 70,638 2,257 0.02%
687 NEW YORK CMNTY BANCORP INC 161,134 2,251 0.02%
688 DIVERSIFIED REAL ASSET INCOME FD COM SHS 129,389 2,245 0.02%
689 Berkshire Hills Bancorp Inc 62,169 2,241 0.02%
690 UNILEVER N V 44,997 2,235 0.01%
691 CHENIERE ENERGY INC 47,160 2,229 0.01%
692 DARDEN RESTAURANTS INC 26,630 2,228 0.01%
693 INTUITIVE SURGICAL INC 2,896 2,220 0.01%
694 INDEXIQ ETF TR 114,336 2,220 0.01%
695 HASBRO INC 22,198 2,216 0.01%
696 ISHARES TR 20,110 2,216 0.01%
697 UNITED STATES STL CORP NEW 65,281 2,207 0.01%
698 HEALTHCARE TR AMER INC 69,906 2,199 0.01%
699 REGENERON PHARMACEUTICALS 5,656 2,192 0.01%
700 BGC PARTNERS INCORPORATED CLASS A 192,808 2,190 0.01%
Page 14 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