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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
2001 FIRST TR EXCHANGE TRADED FD 11,002 247 0.00%
2002 LIFE STORAGE INC 3,012 247 0.00%
2003 BARCLAYS BANK PLC 9,512 247 0.00%
2004 ALKERMES PLC 4,216 247 0.00%
2005 CNOOC LTD 2,051 246 0.00%
2006 PACWEST BANCORP DEL COM 4,609 246 0.00%
2007 JOHN HANCOCK EXCHANGE TRADED 7,734 245 0.00%
2008 ORCHIDS PAPER PRODS CO DEL COM 10,218 245 0.00%
2009 BLUE HILLS BANCORP INC 13,690 244 0.00%
2010 JUNIPER NETWORKS INC 8,778 244 0.00%
2011 PLUG POWER INC 176,470 244 0.00%
2012 MFS HIGH YIELD MUN TR 52,662 243 0.00%
2013 PACIFIC CONTINENTAL CORP 9,902 243 0.00%
2014 COCA COLA CONS INC COM 1,181 243 0.00%
2015 NUVEEN FLTNG RTE INCM OPP FD 20,713 243 0.00%
2016 CREDIT SUISSE HIGH YIELD BD 90,656 242 0.00%
2017 ISHARES US & INTL HIGH YIELD CORPORATE BOND ETF 4,907 242 0.00%
2018 DELPHI AUTOMOTIVE PLC 3,009 242 0.00%
2019 BLACKROCK MUNI INCOME TR II 16,190 241 0.00%
2020 FIRST TR DOW JONES SELECT MICROCAP INDEX FD COM SHS ANNUAL 5,670 241 0.00%
2021 WORKDAY INC 2,885 240 0.00%
2022 TENNANT CO COM 3,300 240 0.00%
2023 GLOBAL X FDS 16,245 240 0.00%
2024 ALEXANDER & BALDWIN INC NEW COM 5,372 239 0.00%
2025 MARRIOTT VACATIONS WORLDWIDE C COM 2,391 239 0.00%
2026 SPDR SERIES TRUST 3,965 239 0.00%
2027 SKECHERS U S A INC 8,646 237 0.00%
2028 BLACKROCK MUN INCOME TR 17,005 237 0.00%
2029 HD SUPPLY 5,732 236 0.00%
2030 BROCADE COMMUNICATIONS SYS I 18,915 236 0.00%
2031 TWILIO INC 8,161 236 0.00%
2032 DENTSPLY SIRONA INC 3,772 236 0.00%
2033 S & T BANCORP INC COM 6,826 236 0.00%
2034 CINEMARK HOLDINGS INC 5,305 235 0.00%
2035 STUDENT TRANSN INC 40,107 235 0.00%
2036 ALPS ETF TR 9,132 235 0.00%
2037 HEALTHCARE RLTY TR 7,239 235 0.00%
2038 ENSTAR GROUP LIMITED COM 1,230 235 0.00%
2039 SAN JUAN BASIN RTY TR 32,432 235 0.00%
2040 ISHARES INC 10,336 235 0.00%
2041 FLEXSHARES NATURAL RESOURCES ETF 7,970 235 0.00%
2042 YAMANA GOLD INC 84,745 234 0.00%
2043 FULLER H B CO 4,539 234 0.00%
2044 NUVEEN CORE EQUITY ALPHA FD 16,766 234 0.00%
2045 BLACKROCK ENHANCED INTL DIV 40,219 233 0.00%
2046 WATTS WATER TECHNOLOGIES INC 3,728 232 0.00%
2047 CARA THERAPEUTICS INC 12,624 232 0.00%
2048 FLY LEASING LTD SPONSORED ADR 17,700 232 0.00%
2049 MORGAN STANLEY TRUSTS 12,945 231 0.00%
2050 ABIOMED INC 1,848 231 0.00%
Page 41 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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