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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
2151 POWERSHARES ETF WILDER HILL CLEAN ENERGY PORTFOLIO 49,799 199 0.00%
2152 BLACKROCK ENHANCED CAP INC 13,872 199 0.00%
2153 GOLDEN MINERALS CO 313,518 198 0.00%
2154 FLAHERTY & CRUMRINE PFD INC 16,633 198 0.00%
2155 BLACKROCK INVT QUALITY MUN T 13,649 198 0.00%
2156 COVANTA HLDG CORP 12,620 198 0.00%
2157 MEDLEY CAP CORPORATION 25,569 197 0.00%
2158 INVESCO MUNI INCOME OPP TRST 26,186 197 0.00%
2159 NORTHEAST BANCORP 12,650 194 0.00%
2160 TEKLA WORLD HEALTHCARE FD 13,518 194 0.00%
2161 PENNANTPARK INVT CORP COM 23,755 193 0.00%
2162 EATON VANCE NEW YORK MUN BD 15,500 191 0.00%
2163 MFS CHARTER INCOME TR 22,238 191 0.00%
2164 MFS MULTIMARKET INCOME TR 31,227 191 0.00%
2165 AMERICAN EAGLE OUTFITTERS NE 13,535 190 0.00%
2166 FAIRMOUNT SANTROL HLDGS INC 25,875 190 0.00%
2167 CONSOL ENERGY INC 11,259 189 0.00%
2168 PROSPECT CAPITAL CORPORATION 190,000 188 0.00%
2169 INVESCO TR INVT GRADE MUNS 14,480 188 0.00%
2170 SUPERVALU INC 48,638 188 0.00%
2171 ENVIRI CORP COM 14,708 188 0.00%
2172 TIDEWATER INC 162,134 186 0.00%
2173 DIREXIOIN DLY GLD MNS INX BL 20,590 185 0.00%
2174 COLLEGIUM PHARMACEUTICAL INC COM 18,391 185 0.00%
2175 DUFF PHELPS UTIL CORP BD T 19,903 183 0.00%
2176 BLACKROCK INCOME TR INC 29,372 182 0.00%
2177 NUVEEN MARYLAND QLT MUN INCORPORATED FD 14,306 181 0.00%
2178 CLEARBRIDGE ENERGY MLP TR FD 13,233 180 0.00%
2179 UNITED STS BRENT OIL FD LP UNIT 12,410 180 0.00%
2180 NAPCO SEC TECHNOLOGIES INC COM 17,608 180 0.00%
2181 CAPITOL FED FINL INC 12,334 180 0.00%
2182 FIRST TR/ABERDEEN EMERG OPT 11,791 180 0.00%
2183 GOPRO INC 20,565 179 0.00%
2184 TENET HEALTHCARE CORP 10,124 179 0.00%
2185 AMERICA FIRST MULTIFAMILY IN 31,911 179 0.00%
2186 PENNEY J C INC 28,844 178 0.00%
2187 ICICI BANK LIMITED 20,703 178 0.00%
2188 MSB FINANCIAL CORP COM 10,724 177 0.00%
2189 NUVEEN FLEXIBLE INVT INCOME FD 10,454 177 0.00%
2190 WESTERN ASSET MTG CAP CORP 18,141 177 0.00%
2191 VOYA PRIME RATE TR 32,374 175 0.00%
2192 BLACKROCK MUNIYIELD PA QLTY 12,384 175 0.00%
2193 MFS MUN INCOME TR 25,135 175 0.00%
2194 NUVEEN ENHANCED MUN VALUE FD 12,420 174 0.00%
2195 ENERGOUS CORP 11,170 174 0.00%
2196 ENERPLUS CORP 21,417 172 0.00%
2197 GERON CORP 75,667 172 0.00%
2198 NEW GOLD INC CDA 57,587 172 0.00%
2199 ENCANA CORP 14,639 171 0.00%
2200 BOSTON PRIVATE FINANCIAL HLDGS INC (FORM BOSTON PRIVATE BANCORP INC) 10,365 170 0.00%
Page 44 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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