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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
2201 DIAMOND OFFSHR DRILLING 10,108 169 0.00%
2202 WESTERN ASSET GLOBAL HIGH IN 16,618 168 0.00%
2203 CARLYLE GROUP L P 10,564 168 0.00%
2204 NORDIC AMERICAN TANKERS LIMI 20,477 168 0.00%
2205 ALON USA PARTNERS LP 18,280 167 0.00%
2206 VALE S A 17,585 167 0.00%
2207 Innodata Inc 75,513 166 0.00%
2208 IMMUNOMEDICS INCORPORATED 25,500 165 0.00%
2209 CEMEX SAB DE CV 18,117 164 0.00%
2210 MFS CALIF MUN FD 14,157 164 0.00%
2211 PEOPLES FINL CORP MISS 10,848 163 0.00%
2212 PROSPECT CAPITAL CORPORATION 158,000 162 0.00%
2213 POWERSHARES ETF TRUST 13,867 162 0.00%
2214 CALIX INC COM 22,350 162 0.00%
2215 SEASPAN CORP SHS 23,260 161 0.00%
2216 PHOTRONICS INC 14,873 159 0.00%
2217 NUVEEN VIRGINIA QLTY MUNCPL 12,329 159 0.00%
2218 BLACKROCK MASS TAX-EXEMPT TR 11,634 159 0.00%
2219 ASTRONOVA INC 10,310 157 0.00%
2220 MUELLER WTR PRODUCTS INCORPORATED COM SER A 12,988 154 0.00%
2221 ADR - Nabriva Therapeutics AG- Usd 12,760 153 0.00%
2222 FIRST TRUST MORTGAGE INCM FD 10,756 152 0.00%
2223 NUVEEN SELECT MAT MUN FD 15,329 152 0.00%
2224 BLACKROCK MUNIC INCM INVST T 10,271 151 0.00%
2225 NUVEEN PENNSYLVANIA QLT MUN 11,490 151 0.00%
2226 LIBERTY ALL STAR EQUITY FD 27,711 151 0.00%
2227 Prospect Capital Corp 147,000 150 0.00%
2228 BLACKROCK MUNI INCOME INV QL 10,479 150 0.00%
2229 ABERCROMBIE & FITCH CO 12,563 150 0.00%
2230 CLEARBRIDGE AMERN ENERG MLP FD 15,138 150 0.00%
2231 DENISON MINES CORP 241,862 150 0.00%
2232 BELMOND LTD 12,343 149 0.00%
2233 INVESCO DYNAMIC CR OPPORTUNI 12,202 149 0.00%
2234 INTELLIA THERAPEUTICS INC 10,450 147 0.00%
2235 BALLARD PWR SYS INC NEW 66,390 147 0.00%
2236 PREFERRED APT CMNTYS INC COM 11,135 147 0.00%
2237 NOVAGOLD RES INC 30,123 147 0.00%
2238 DREYFUS HIGH YIELD STRATEGIE 43,220 147 0.00%
2239 LEGG MASON BW GLB INC OPP FD 11,344 145 0.00%
2240 ISHARES TRUST GL CLEAN ENE ETF 16,873 144 0.00%
2241 RAMBUS INC DEL 10,956 144 0.00%
2242 SPROTT PHYSICAL PLAT PALLAD 18,600 144 0.00%
2243 TELEFONAKTIEBOLAGET LM ERICS 21,578 143 0.00%
2244 BARNES & NOBLE ED INC COM 14,704 141 0.00%
2245 GABELLI HLTHCARE & WELLNESS 13,904 139 0.00%
2246 BLACKROCK MUNIENHANCED FD IN 11,878 139 0.00%
2247 WESTERN ASSET CORPORATE LN F 12,117 137 0.00%
2248 AVON PRODS INC 31,238 137 0.00%
2249 PIONEER MUN HIGH INCOME ADVA 12,384 136 0.00%
2250 NEOGENOMICS INC 17,200 136 0.00%
Page 45 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