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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
1801 BLACKBERRY LTD 41,525 322 0.00%
1802 JD COM INC 10,323 321 0.00%
1803 INGREDION INC 2,648 319 0.00%
1804 WHITING PETROLEUM CORP COM 33,704 319 0.00%
1805 VANECK VECTORS ETF TR 13,254 318 0.00%
1806 VANECK VECTORS ETF TR 22,970 318 0.00%
1807 MFS GOVT MKTS INCOME TR 63,995 317 0.00%
1808 GUGGENHEIM TAXABLE MUN MNGD 14,255 317 0.00%
1809 ISHARES TR 3,110 316 0.00%
1810 FMC 4,530 315 0.00%
1811 LANDAUER INC CM 6,439 314 0.00%
1812 CURRENCYSHARES AUSTRALIAN DL 4,109 314 0.00%
1813 OPPENHEIMER REV WEIGHTD ETF 5,308 314 0.00%
1814 CELANESE CORP DEL 3,479 313 0.00%
1815 SCIENCE APPLICATNS INTL CP N 4,207 313 0.00%
1816 TOMPKINS FINL CORP COM 3,890 313 0.00%
1817 ISHARES TR 10,921 313 0.00%
1818 FLEETCOR TECHNOLOGIES INC 2,066 313 0.00%
1819 POWERSHARES ETF TR II 12,633 312 0.00%
1820 COMMERCIAL METALS CO COM 16,327 312 0.00%
1821 ROYAL GOLD INC 4,457 312 0.00%
1822 BRANDYWINE RLTY TR 19,175 311 0.00%
1823 THOMSON REUTERS CORP 7,193 311 0.00%
1824 FIRST TR EXCHANGE TRADED FD 6,117 311 0.00%
1825 ISHARES S&P GSCI COMMODITY I 21,018 311 0.00%
1826 DISCOVERY C 10,968 311 0.00%
1827 ENTEGRIS INC 13,236 310 0.00%
1828 RED HAT INC 3,585 310 0.00%
1829 DUFF PHELPS UTLITY AND INF 19,052 310 0.00%
1830 BIO PATH HOLDINGS INC 374,398 310 0.00%
1831 PHYSICIANS RLTY TR 15,579 310 0.00%
1832 SPDR SERIES TRUST 4,485 309 0.00%
1833 INTERPUBLIC GROUP COS INC 12,543 308 0.00%
1834 RGC RES INC 13,985 308 0.00%
1835 CALGON CARBON CORP 21,127 308 0.00%
1836 WEINGARTEN RLTY INVS 9,216 308 0.00%
1837 MAGNA INTL INC 7,105 307 0.00%
1838 STOCK YDS BANCORP INC 7,561 307 0.00%
1839 WADDELL & REED FINL INC 17,989 306 0.00%
1840 VICTORY PORTFOLIOS II 7,133 306 0.00%
1841 WISDOMTREE CONTINUOUS COMMOD 15,931 306 0.00%
1842 NUVEEN SELECT TAX FREE INCM 21,787 306 0.00%
1843 VAIL RESORTS INC 1,591 305 0.00%
1844 City Office REIT, INc 25,101 305 0.00%
1845 FIRST TRUST NASDAQ-100 EX-TECHNOLOGY SECTOR INDEX FUND 6,801 304 0.00%
1846 VANECK VECTORS ETF TR 12,337 304 0.00%
1847 ADVISORSHARES TR 8,533 304 0.00%
1848 NORDSON CORP 2,472 304 0.00%
1849 UNITED CONTL HLDGS INC 4,288 303 0.00%
1850 MKS INSTRUMENT INC 4,406 303 0.00%
Page 37 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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