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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
2251 MANAGED DURATION INVT GRD FU 10,112 133 0.00%
2252 CAPSTEAD MTG CORP COM NO PAR 12,467 131 0.00%
2253 TEEKAY CORPORATION 14,302 131 0.00%
2254 ALPINE GLOBAL PREMIER PPTYS FD COM SBI 22,687 130 0.00%
2255 GLADSTONE INVT CORP 14,170 129 0.00%
2256 CVD EQUIPMENT CORP 12,428 129 0.00%
2257 Advaxis Inc Com 15,685 128 0.00%
2258 POLYMET MINING CORP 171,725 128 0.00%
2259 GUGGENHEIM ENHANCED EQUITY I 15,778 127 0.00%
2260 ANTARES PHARMA INC 44,336 126 0.00%
2261 CENTER COAST MLP & INFRSTR F 10,100 126 0.00%
2262 STONEMOR PARTNERS L P 15,711 125 0.00%
2263 MFS SPL VALUE TR 20,879 121 0.00%
2264 AMBEV SA 20,873 120 0.00%
2265 BLACKROCK CAPITAL INVESTMENT 116,000 119 0.00%
2266 NEUBERGER BERMAN HIGH YIELD 10,017 119 0.00%
2267 PIMCO MUN INCOME FD III 10,478 118 0.00%
2268 BANK MUTUAL CORP NEW 12,596 118 0.00%
2269 COMMUNITY HEALTH SYS INC NEW 13,067 116 0.00%
2270 CENOVUS ENERGY INC 10,043 113 0.00%
2271 SYNERGY PHARMACEUTICALS DEL 23,929 112 0.00%
2272 SEVERN BANCORP ANNAPOLIS MD 15,208 110 0.00%
2273 COHEN & STEERS GLOBAL INCORPORATED BLDR 11,784 108 0.00%
2274 NEURALSTEM INCORPORATED COM NEW 20,108 106 0.00%
2275 SYNERON MEDICAL LTD 10,000 106 0.00%
2276 MORGAN STANLEY EMER MKTS DEB 11,031 103 0.00%
2277 CLOUD PEAK ENERGY INC COM 22,423 103 0.00%
2278 SANOFI SPOND FUNSPONSORED ADR 33,075 102 0.00%
2279 NEUBERGER BERMAN MLP INCOME FD 10,074 102 0.00%
2280 NORTHERN DYNASTY MINERALS LT 70,212 100 0.00%
2281 JUST ENERGY GROUP INC 15,910 100 0.00%
2282 OCLARO INC 10,230 100 0.00%
2283 INDEPENDENCE RLTY TR INC COM 10,664 100 0.00%
2284 AK STL HLDG CORP 13,944 100 0.00%
2285 PUTNAM HIGH INC SECURITIES FD N/C 7/24/18 42968F108 11,463 99 0.00%
2286 LIFEVANTAGE CORP 18,449 99 0.00%
2287 THERAPEUTICSMD INC 13,449 97 0.00%
2288 INOVIO PHARMACEUTICALS INC 14,725 97 0.00%
2289 SPROTT FOCUS TR INC COM 12,773 95 0.00%
2290 INVESCO SR INCOME TR 20,292 94 0.00%
2291 Evoke Pharma Inc 30,062 93 0.00%
2292 MILESTONE SCIENTIFIC INC 69,097 93 0.00%
2293 AMARIN CORP PLC 27,716 89 0.00%
2294 MFS HIGH INCOME MUN TR 17,462 88 0.00%
2295 IDERA PHARMACEUTICALS INCORPORATED COM NEW 35,100 87 0.00%
2296 EURONAV NV ANTWERPEN 11,069 87 0.00%
2297 AROTECH CORP 28,953 85 0.00%
2298 FIRST MAJESTIC SILVER CORP 10,473 85 0.00%
2299 REVOLUTION LIGHTING TECHNOLOGI COM NEW 10,989 82 0.00%
2300 BIOTIME INC 22,649 78 0.00%
Page 46 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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