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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
151 VANGUARD WORLD FDS 141,100 19,844 0.13%
152 ISHARES TR 117,870 19,638 0.13%
153 POWERSHARES ETF TRUST 542,542 19,168 0.13%
154 LOWES COS INC 230,586 18,956 0.13%
155 DU PONT E I DE NEMOURS & CO 233,873 18,787 0.13%
156 COLGATE PALMOLIVE CO 255,589 18,707 0.13%
157 UNITEDHEALTH GROUP INC 113,917 18,684 0.13%
158 LILLY ELI & CO 221,381 18,620 0.12%
159 FEDEX CORP 94,985 18,536 0.12%
160 SELECT SECTOR SPDR TR 338,098 18,453 0.12%
161 ORACLE CORP 413,497 18,446 0.12%
162 ISHARES TR 131,440 18,388 0.12%
163 CELGENE CORP 147,418 18,343 0.12%
164 DBX ETF TR 618,028 18,287 0.12%
165 WISDOMTREE TR 266,684 18,260 0.12%
166 BP PLC 524,078 18,091 0.12%
167 SELECT SECTOR SPDR TR 350,678 17,993 0.12%
168 PHILLIPS 66 225,297 17,848 0.12%
169 MOLINA HEALTHCARE INC 382,954 17,463 0.12%
170 WALGREENS BOOTS ALLIANCE INC 209,561 17,404 0.12%
171 ISHARES GOLD TRUST 1,448,996 17,402 0.12%
172 SPDR SERIES TRUST PRTFLO S&P500 GW ETF 152,693 17,363 0.12%
173 VANGUARD WORLD FD 181,414 17,363 0.12%
174 OPPENHEIMER REV WEIGHTD ETF 259,779 17,252 0.12%
175 VANGUARD INDEX FDS 122,506 17,233 0.12%
176 VANGUARD BD INDEX FDS 204,091 17,064 0.11%
177 VANGUARD WORLD FD 123,398 17,007 0.11%
178 SELECT SECTOR SPDR TR 192,795 16,956 0.11%
179 NOVARTIS A G 227,978 16,932 0.11%
180 COMCAST CORP NEW 448,972 16,877 0.11%
181 ISHARES 314,505 16,826 0.11%
182 KRAFT HEINZ CO 183,315 16,647 0.11%
183 ISHARES INC 345,539 16,513 0.11%
184 VANGUARD STAR FDS 326,607 16,226 0.11%
185 GLAXOSMITHKLINE PLC 382,246 16,115 0.11%
186 PAYCHEX INC 273,144 16,088 0.11%
187 ISHARES TR 152,395 15,857 0.11%
188 BB&T CORP 354,465 15,845 0.11%
189 CLOROX CO DEL 116,208 15,668 0.10%
190 FIDELITY 380,760 15,668 0.10%
191 FIRST TR EXCHANGE TRADED FD 642,364 15,442 0.10%
192 VANGUARD WORLD FD 159,484 15,424 0.10%
193 ISHARES TR 400,147 15,422 0.10%
194 ISHARES TR 141,233 15,387 0.10%
195 VANGUARD CHARLOTTE FDS 274,580 14,863 0.10%
196 PROSHARES TR 258,632 14,538 0.10%
197 AUTOMATIC DATA PROCESSING IN 140,728 14,409 0.10%
198 US BANCORP DEL 277,903 14,312 0.10%
199 VANGUARD WORLD FD 105,168 14,264 0.10%
200 RAYTHEON CO 91,754 13,992 0.09%
Page 4 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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