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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
51 ISHARES TR 1,189,726 65,137 0.44%
52 AMAZON COM INC 73,056 64,767 0.43%
53 ISHARES TR 445,977 61,313 0.41%
54 SPDR S&P MIDCAP 400 ETF TR 194,079 60,634 0.41%
55 PHILIP MORRIS INTL INC 513,929 58,023 0.39%
56 JPMORGAN CHASE & CO 658,498 57,842 0.39%
57 HOME DEPOT INC 392,680 57,657 0.39%
58 MERCK & CO INC 894,233 56,820 0.38%
59 FACEBOOK INC 397,874 56,518 0.38%
60 SPDR SER TR 1,163,716 56,370 0.38%
61 VANGUARD INTL EQUITY INDEX F 538,037 55,229 0.37%
62 ISHARES TR 605,142 55,128 0.37%
63 MCDONALDS CORP 417,770 54,147 0.36%
64 INTEL CORP 1,452,198 52,381 0.35%
65 COCA COLA CO 1,230,999 52,244 0.35%
66 ISHARES TR 612,647 51,377 0.34%
67 ISHARES TR 873,205 50,602 0.34%
68 SSGA ACTIVE ETF TR 1,016,592 49,681 0.33%
69 BANK AMER CORP 2,061,020 48,619 0.33%
70 ISHARES TR 729,583 48,153 0.32%
71 VANGUARD BD INDEX FDS 578,648 46,917 0.31%
72 WELLS FARGO CO NEW 830,346 46,217 0.31%
73 ISHARES TR 240,000 44,923 0.30%
74 NEXTERA ENERGY INC 338,677 43,476 0.29%
75 CISCO SYS INC 1,274,591 43,081 0.29%
76 SELECT SECTOR SPDR TR 1,779,426 42,226 0.28%
77 SPDR GOLD TR 350,886 41,657 0.28%
78 BOEING CO 234,565 41,485 0.28%
79 ALPHABET INC 48,197 40,861 0.27%
80 ISHARES TR 354,811 40,679 0.27%
81 3M CO 212,370 40,633 0.27%
82 ABBVIE INC 622,240 40,545 0.27%
83 POWERSHARES ETF TRUST 387,148 39,671 0.27%
84 VANGUARD INTL EQUITY INDEX F 810,890 38,785 0.26%
85 BRISTOL MYERS SQUIBB CO 701,467 38,146 0.26%
86 VANGUARD INDEX FDS 348,722 37,693 0.25%
87 AMGEN INC 229,662 37,681 0.25%
88 UNITED TECHNOLOGIES CORP 329,210 36,941 0.25%
89 VANGUARD INDEX FDS 300,269 36,891 0.25%
90 FIRST TR VALUE LINE DIVID IN 1,270,333 36,852 0.25%
91 SELECT SECTOR SPDR TR 525,309 36,719 0.25%
92 ALPHABET INC 44,142 36,618 0.25%
93 VISA INC 408,904 36,339 0.24%
94 FLEXSHARES US MARKET TILT ETF 362,049 36,299 0.24%
95 VANGUARD SCOTTSDALE FDS 452,413 36,075 0.24%
96 ISHARES TR 178,859 34,146 0.23%
97 ISHARES TR 216,643 33,164 0.22%
98 VANGUARD INDEX FDS 291,538 32,929 0.22%
99 ISHARES TR 667,827 31,909 0.21%
100 POWERSHARES ETF TR II 730,908 31,773 0.21%
Page 2 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