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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 UT LTDPART INT 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 FUND SH BEN INT 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 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 TR 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 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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