Dark
Light
System
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
151 ASA GOLD AND PRECIOUS MTLS L 28,314 341 0.00%
152 ASANKO GOLD INC 11,250 29 0.00%
153 ASHLAND GLOBAL HLDGS INC 2,803 347 0.00%
154 ASTORIA FINL CORPORATION 14,289 293 0.00%
155 ASTRAZENECA PLC 126,580 3,942 0.03%
156 ASTRONOVA INC 10,310 157 0.00%
157 AT&T INC 3,480,265 144,605 0.97%
158 ATHENA HEALTH INC. 4,479 505 0.00%
159 ATHERSYS INC NEW 12,500 21 0.00%
160 ATLANTIC PWR CORP 15,602 41 0.00%
161 ATLAS AIR WORLDWIDE HLDGS INC 2.25 06/01/2022 30,000 32 0.00%
162 ATMOS ENERGY CORP 14,305 1,130 0.01%
163 AUDIOVOX CORP CL A 100,304 522 0.00%
164 AUTODESK INC 6,120 529 0.00%
165 AUTOMATIC DATA PROCESSING IN 140,728 14,409 0.10%
166 AUTOZONE INC 638 461 0.00%
167 AVALONBAY COMM 2,867 526 0.00%
168 AVANGRID INC COM 23,529 1,006 0.01%
169 AVERY DENNISON CORP 22,156 1,786 0.01%
170 AVISTA CORP 7,043 275 0.00%
171 AVON PRODS INC 31,238 137 0.00%
172 AZURRX BIOPHARMA 14,247 55 0.00%
173 Abraxas Petroleum Corp 18,503 37 0.00%
174 Arena Pharmaceuticals, Inc 24,071 35 0.00%
175 B & G FOODS INC NEW COM 43,859 1,765 0.01%
176 B/E AEROSPACE INC 5,685 364 0.00%
177 BAIDU INC 25,021 4,317 0.03%
178 BAKER HUGHES INC 24,913 1,490 0.01%
179 BALCHEM CORP 8,298 684 0.00%
180 BALL CORP 4,555 338 0.00%
181 BALLARD PWR SYS INC NEW 66,390 147 0.00%
182 BANCO BILBAO VIZCAYA ARGENTA 118,093 899 0.01%
183 BANCO SANTANDER SA 266,118 1,615 0.01%
184 BANK AMER CORP 2,061,020 48,619 0.33%
185 BANK AMER CORP 754 901 0.01%
186 BANK HAWAII CORP 4,322 356 0.00%
187 BANK MONTREAL QUE 54,768 4,096 0.03%
188 BANK MUTUAL CORP NEW 12,596 118 0.00%
189 BANK N S HALIFAX 26,834 1,572 0.01%
190 BANK NEW YORK MELLON CORP 157,741 7,450 0.05%
191 BANK NOVA 20,000 21 0.00%
192 BANK OF THE OZARKS INC 8,971 467 0.00%
193 BARCLAYS BANK 65,923 368 0.00%
194 BARCLAYS BANK PLC 9,512 247 0.00%
195 BARCLAYS BANK PLC 61,422 1,588 0.01%
196 BARCLAYS BK PLC 4,741 678 0.00%
197 BARCLAYS PLC 37,282 419 0.00%
198 BARD C R INC 12,661 3,147 0.02%
199 BARINGS CORPORATE INVS 35,585 543 0.00%
200 BARINGS PARTN INVS SH BEN INT 31,064 438 0.00%
Page 4 of 49
Restatement filing (0001333978-18-000004) filed in 2018.02.16
#
Name
Shares
Value ($)
%
Options
Notes
1 ISHARES TR 4,346,303 494,609 3.31%
2 ISHARES TR 4,134,957 475,272 3.18%
3 VANGUARD TAX-MANAGED FDS 9,339,170 367,029 2.46%
4 APPLE INC 2,549,443 366,253 2.45%
5 VANGUARD INDEX FDS 1,857,375 225,337 1.51%
6 ISHARES TR 850,814 201,873 1.35%
7 SPDR S&P 500 ETF TR 850,785 200,564 1.34%
8 EXXON MOBIL CORP 2,048,805 168,022 1.12%
9 GENERAL ELECTRIC CO 5,227,036 155,766 1.04%
10 BERKSHIRE HATHAWAY INC DEL 912,460 152,089 1.02%
11 JOHNSON & JOHNSON 1,199,588 149,409 1.00%
12 AT&T INC 3,480,265 144,605 0.97%
13 POWERSHARES QQQ TRUST 1,078,563 142,780 0.96%
14 ISHARES TR 1,297,190 134,596 0.90%
15 ISHARES TR 1,858,395 128,527 0.86%
16 ISHARES TR 1,547,264 128,407 0.86%
17 VERIZON COMMUNICATIONS INC 2,563,486 124,970 0.84%
18 ISHARES TR 709,440 121,470 0.81%
19 FS KKR CAPITAL CORP COM 12,108,525 118,664 0.79%
20 PROCTER AND GAMBLE CO 1,318,817 118,496 0.79%
21 VANGUARD INDEX FDS 948,912 115,445 0.77%
22 VANGUARD INTL EQUITY INDEX F 2,867,564 113,900 0.76%
23 ISHARES RUSSELL 2000 VALUE ETF 945,462 111,716 0.75%
24 VANGUARD SPECIALIZED FUNDS 1,181,949 106,304 0.71%
25 MICROSOFT CORP 1,589,981 104,716 0.70%
26 VANGUARD INDEX FDS 475,334 102,838 0.69%
27 VANGUARD INDEX FDS 1,049,449 100,086 0.67%
28 ISHARES TR 706,659 92,940 0.62%
29 RYDEX ETF TRUST 998,371 90,672 0.61%
30 ALTRIA GROUP INC 1,248,790 89,189 0.60%
31 ISHARES TR 825,563 85,892 0.58%
32 PFIZER INC 2,504,859 85,691 0.57%
33 VANGUARD BD INDEX FDS 1,060,315 84,528 0.57%
34 CHEVRON CORP NEW 780,324 83,783 0.56%
35 ISHARES TR 2,130,339 82,444 0.55%
36 VANGUARD WHITEHALL FDS 1,056,328 82,024 0.55%
37 ISHARES TR 738,105 80,077 0.54%
38 ISHARES TR 1,478,707 79,895 0.53%
39 ISHARES RUSSELL 2000 GROWTH ETF 492,051 79,545 0.53%
40 ISHARES TR 1,235,679 76,970 0.52%
41 ISHARES TR 1,603,462 76,517 0.51%
42 SPDR SER TR 1,532,089 73,418 0.49%
43 PEPSICO INC 647,907 72,475 0.49%
44 VANGUARD INDEX FDS 535,498 71,371 0.48%
45 ISHARES TR 676,861 71,226 0.48%
46 INTERNATIONAL BUSINESS MACHS 408,653 71,163 0.48%
47 SPDR SER TR 800,782 70,581 0.47%
48 DISNEY WALT CO 615,622 69,805 0.47%
49 VANGUARD INDEX FDS 812,952 67,142 0.45%
50 VANGUARD INDEX FDS 477,489 66,486 0.45%
Page 1 of 49