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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
2101 EATON VANCE OH MUNI INCOME TR SH BEN INT 15,774 214 0.00%
2102 SPDR INDEX SHS FDS 4,352 213 0.00%
2103 LEMAITRE VASCULAR INC 8,599 212 0.00%
2104 PB BANCORP INC 20,777 212 0.00%
2105 Oak Valley Bancorp Oakdale C 16,073 212 0.00%
2106 POWERSHARES ETF TRUST II S&P SMALLCAP ENERGY PORT 11,663 212 0.00%
2107 CLEAN ENERGY FUELS CORPORATION COM 82,606 211 0.00%
2108 FIRST TR EXCHANGE TRADED ALP 6,186 211 0.00%
2109 ISHARES TR GL TIMB FORE ETF 3,657 211 0.00%
2110 AEGON N V 41,153 211 0.00%
2111 ALPINE TOTAL DYNAMIC DIVID F 25,486 211 0.00%
2112 GENWORTH FINL INC 50,896 210 0.00%
2113 DAVIS SELECT FINANCIAL ETF 10,103 210 0.00%
2114 TBBK 6,004 210 0.00%
2115 XPO LOGISTICS INC 4,375 210 0.00%
2116 NEWTEKONE INC 12,351 210 0.00%
2117 NUVEEN MINESOTA QLT MUN INC 12,487 209 0.00%
2118 COCA COLA EUROPEAN PARTNERS 5,551 209 0.00%
2119 CHOICE HOTELS INTL NEW 3,342 209 0.00%
2120 PIMCO ETF TR 4,126 209 0.00%
2121 WHITE MOUNTAINS INSURANCE GRP LTD 236 208 0.00%
2122 LAKELAND FINL CORP 4,816 208 0.00%
2123 HERTZ GLOBAL HLDGS INC 11,874 208 0.00%
2124 HEALTHCARE SVCS GRP INC 4,823 208 0.00%
2125 WESTERN ASSET CLYM INFL SEC IN COM SH BEN INT 17,968 207 0.00%
2126 CVR ENERGY INC COM 10,236 206 0.00%
2127 COLUMBIA BKG SYS INC COM 5,283 206 0.00%
2128 Union Bankshares Corporation 5,843 206 0.00%
2129 AMEDISYS INC COM 4,028 206 0.00%
2130 SBA COMMUNICATIONS CORP NEW 1,707 205 0.00%
2131 EASTGROUP PPTYS INC COM 2,783 205 0.00%
2132 AERCAP HOLDINGS NV 4,465 205 0.00%
2133 COTY INC 11,228 204 0.00%
2134 ZIONS BANCORPORATION 4,844 203 0.00%
2135 NATIXIS ETF TR 4,950 202 0.00%
2136 ADVISORSHARES TR 11,121 202 0.00%
2137 CST BRANDS INC 4,210 202 0.00%
2138 WISDOMTREE TR 5,383 202 0.00%
2139 ISHARES TR 1,318 202 0.00%
2140 HUBSPOT INCORPORATED 3,333 202 0.00%
2141 SPDR INDEX SHS FDS 4,422 201 0.00%
2142 ISHARES INC 8,815 201 0.00%
2143 LANNET INC 9,010 201 0.00%
2144 AGRIUM INC 2,106 201 0.00%
2145 TELEDYNE TECHNOLOGIES INC 1,593 201 0.00%
2146 FOUR CORNERS PPTY TR INC COM 8,819 201 0.00%
2147 TEJON RANCH CO 9,150 200 0.00%
2148 PACER FDS TR 7,692 200 0.00%
2149 WISDOMTREE TR 7,079 200 0.00%
2150 ING GROEP N V 13,248 200 0.00%
Page 43 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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