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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
1651 TRANSMONTAIGNE PARTNERS L P 9,060 405 0.00%
1652 KLA-TENCOR CORP 4,239 403 0.00%
1653 INTREXON CORP 20,262 402 0.00%
1654 EATON VANCE RISK MNGD DIV EQ 44,128 401 0.00%
1655 CORE LABORATORIES N V 3,468 401 0.00%
1656 OSHKOSH CORP 5,845 401 0.00%
1657 IMPERIAL OIL LTD 13,124 400 0.00%
1658 ISHARES TR 7,912 400 0.00%
1659 BIO TECHNE CORP 3,938 400 0.00%
1660 VANECK VECTORS ETF TR 13,475 398 0.00%
1661 ALLEGHENY TECHNOLOGIES INC 22,112 397 0.00%
1662 BP PRUDHOE BAY RTY TR 19,699 396 0.00%
1663 RENASANT CORP 9,958 395 0.00%
1664 INVESCO MUN OPPORTUNITY TR 30,457 395 0.00%
1665 BLACKROCK MUNIYIELD QUALITY 26,389 395 0.00%
1666 MEAD JOHNSON NUTRITION CO 4,435 395 0.00%
1667 GREENLIGHT CAPITAL RE LTD 17,834 394 0.00%
1668 EATON VANCE TAX ADVANTAGED G 17,096 394 0.00%
1669 LAKELAND BANCORP INC COM 20,087 394 0.00%
1670 WisdomTree Tr Europe Quality Div Growth Fd 16,977 393 0.00%
1671 CLEAN HARBORS INC 7,054 392 0.00%
1672 NUVEEN HIGH INCOME NOVEMBER 39,151 392 0.00%
1673 SPDR PORTFOLIO S&P 1500 COMPOSITE STOCK MARKET ETF 2,220 391 0.00%
1674 SPDR SERIES TRUST 4,545 391 0.00%
1675 NUVEEN REAL ESTATE INCOME FD 35,148 390 0.00%
1676 LOEWS CORP 8,328 390 0.00%
1677 LASALLE HOTEL PPTYS 13,438 389 0.00%
1678 BERKLEY W R CORP 5,506 389 0.00%
1679 VORNADO REALTY 3,878 389 0.00%
1680 WASTE CONNECTIONS INC 4,395 388 0.00%
1681 ALEXION PHARMACEUTICALS INC 3,203 388 0.00%
1682 TATA MTRS LTD 10,877 388 0.00%
1683 BROOKFIELD RENEWABLE PARTNER 13,025 387 0.00%
1684 ISHARES U.S. ETF TRUST ISHARES GSCI COMMODITY DYNAMIC ROLL STRATEGY ETF 11,531 387 0.00%
1685 CHEESECAKE FACTORY INC 6,102 387 0.00%
1686 GLOBAL X FDS 10,748 387 0.00%
1687 INTERDIGITAL INC 4,464 385 0.00%
1688 SHAKE SHACK INC 11,503 384 0.00%
1689 WASHINGTON FED INC 11,603 384 0.00%
1690 ITT INC COM 9,366 384 0.00%
1691 LEVEL 3 COMMUNICATIONS INC 6,696 383 0.00%
1692 EXACT SCIENCES CORP 16,222 383 0.00%
1693 YORK WTR CO 10,893 382 0.00%
1694 NUVEEN SELECT TAX FREE INCOM 28,475 382 0.00%
1695 ALBEMARLE CORP 3,620 382 0.00%
1696 PUTNAM MANAGED MUN INCOME TR 52,251 379 0.00%
1697 LAUDER ESTEE COS INC 4,470 379 0.00%
1698 COPART INC 6,080 377 0.00%
1699 JONES LANG LASALLE INC 3,382 377 0.00%
1700 VANECK VECTORS ETF TR 9,309 376 0.00%
Page 34 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%
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