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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
1851 QUALYS INC 7,992 303 0.00%
1852 PROVIDENT BANCORP INC 14,375 301 0.00%
1853 HALOZYME THERAPEUTICS INC 23,245 301 0.00%
1854 ALAMOS GOLD INC NEW 37,517 301 0.00%
1855 Kinder Morgan Inc 9.75 Convertible Preferred 6,015 300 0.00%
1856 TRC COS INC 17,158 299 0.00%
1857 ABERDEEN AUSTRALIA EQUITY FD 49,241 298 0.00%
1858 UNIVERSAL HEALTH RLTY INCOME 4,613 298 0.00%
1859 WYNDHAM WORLDWIDE CORP 3,528 297 0.00%
1860 MOHAWK INDS INC 1,295 297 0.00%
1861 JOHN HANCOCK EXCHANGE TRADED 8,642 297 0.00%
1862 KAYNE ANDERSON ENRGY TTL RT FD 23,440 296 0.00%
1863 BOULDER GROWTH & INCOME FUND COM 31,842 296 0.00%
1864 XCERRA CORP COM 33,299 296 0.00%
1865 CYS INVTS INC COM 37,230 296 0.00%
1866 UNION BANKSHARES INC 6,877 295 0.00%
1867 NOBLE CORP PLC 47,691 295 0.00%
1868 RIVERVIEW BANCORP INC 41,109 294 0.00%
1869 DEXCOM INC 3,471 294 0.00%
1870 LOGMEIN INC 3,016 294 0.00%
1871 ASTORIA FINL CORPORATION 14,289 293 0.00%
1872 ETFS PHYSICAL SILVER SHARES 16,465 293 0.00%
1873 DST SYS INC DEL 2,381 292 0.00%
1874 POSCO 4,508 291 0.00%
1875 INVESCO TR INVT GRADE NY MUN 21,572 291 0.00%
1876 DEUTSCHE MULTI-MARKET INCOME TRUST 33,487 291 0.00%
1877 CLAYMORE EXCHANGE TRD FD TR 11,588 290 0.00%
1878 U S G CORP 9,091 289 0.00%
1879 SERVICENOW INC 3,299 289 0.00%
1880 DIREXION NASDAQ-100 EQUAL WEIGHTED INDEX SHARES 3,756 289 0.00%
1881 FIDELITY MERRIMACK STR TR 5,760 288 0.00%
1882 TERADATA CORP DEL 9,255 288 0.00%
1883 GENESIS ENERGY L P 8,896 288 0.00%
1884 WINTRUST FINL CORP COM 4,167 288 0.00%
1885 ZIOPHARM ONCOLOGY INC 45,242 287 0.00%
1886 RYANAIR HLDGS PLC 3,456 287 0.00%
1887 SQUARE INC 16,603 287 0.00%
1888 NEW YORK MTG TR INC 46,448 287 0.00%
1889 PROSHARES TR 8,360 286 0.00%
1890 FIDELITY 10,186 285 0.00%
1891 PowerShares Russell Midcap Equal Wt ETF 6,559 285 0.00%
1892 ARROW ETF TR 15,174 284 0.00%
1893 STAR GROUP L P 30,822 284 0.00%
1894 GRANITE CONSTR INC 5,659 284 0.00%
1895 Forest City Realty Trust Inc 13,000 283 0.00%
1896 POWERSHARES ETF TR II 8,793 283 0.00%
1897 ISHARES INC 8,824 282 0.00%
1898 ELECTRONIC ARTS INC 3,139 281 0.00%
1899 DBX ETF TRUST MSCI JAPAN CURRENCY 7,497 281 0.00%
1900 UBS AG JERSEY BRH 11,823 281 0.00%
Page 38 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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