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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
201 POWERSHARES ETF TRUST 13,867 162 0.00%
202 CALIX INC COM 22,350 162 0.00%
203 PROSPECT CAPITAL CORPORATION 158,000 162 0.00%
204 PEOPLES FINL CORP MISS 10,848 163 0.00%
205 CEMEX SAB DE CV 18,117 164 0.00%
206 MFS CALIF MUN FD 14,157 164 0.00%
207 IMMUNOMEDICS INCORPORATED 25,500 165 0.00%
208 Innodata Inc 75,513 166 0.00%
209 ALON USA PARTNERS LP 18,280 167 0.00%
210 VALE S A 17,585 167 0.00%
211 NORDIC AMERICAN TANKERS LIMI 20,477 168 0.00%
212 WESTERN ASSET GLOBAL HIGH IN 16,618 168 0.00%
213 CARLYLE GROUP L P 10,564 168 0.00%
214 DIAMOND OFFSHR DRILLING 10,108 169 0.00%
215 BOSTON PRIVATE FINANCIAL HLDGS INC (FORM BOSTON PRIVATE BANCORP INC) 10,365 170 0.00%
216 ENCANA CORP 14,639 171 0.00%
217 NEW GOLD INC CDA 57,587 172 0.00%
218 ENERPLUS CORP 21,417 172 0.00%
219 GERON CORP 75,667 172 0.00%
220 ENERGOUS CORP 11,170 174 0.00%
221 NUVEEN ENHANCED MUN VALUE FD 12,420 174 0.00%
222 BLACKROCK MUNIYIELD PA QLTY 12,384 175 0.00%
223 VOYA PRIME RATE TR 32,374 175 0.00%
224 MFS MUN INCOME TR 25,135 175 0.00%
225 MSB FINANCIAL CORP COM 10,724 177 0.00%
226 WESTERN ASSET MTG CAP CORP 18,141 177 0.00%
227 NUVEEN FLEXIBLE INVT INCOME FD 10,454 177 0.00%
228 ICICI BANK LIMITED 20,703 178 0.00%
229 PENNEY J C 28,844 178 0.00%
230 GOPRO INC 20,565 179 0.00%
231 AMERICA FIRST MULTIFAMILY IN 31,911 179 0.00%
232 TENET HEALTHCARE CORP 10,124 179 0.00%
233 FIRST TR/ABERDEEN EMERG OPT 11,791 180 0.00%
234 NAPCO SEC TECHNOLOGIES INC COM 17,608 180 0.00%
235 CAPITOL FED FINL INC 12,334 180 0.00%
236 CLEARBRIDGE ENERGY MLP TR FD 13,233 180 0.00%
237 UNITED STS BRENT OIL FD LP UNIT 12,410 180 0.00%
238 NUVEEN MARYLAND QLT MUN INCORPORATED FD 14,306 181 0.00%
239 BLACKROCK INCOME TR INC 29,372 182 0.00%
240 DUFF PHELPS UTIL CORP BD T 19,903 183 0.00%
241 DIREXION SHS ETF TR 20,590 185 0.00%
242 COLLEGIUM PHARMACEUTICAL INC COM 18,391 185 0.00%
243 TIDEWATER INC 162,134 186 0.00%
244 ENVIRI CORP COM 14,708 188 0.00%
245 SUPERVALU INC 48,638 188 0.00%
246 INVESCO TR INVT GRADE MUNS 14,480 188 0.00%
247 PROSPECT CAPITAL CORPORATION 190,000 188 0.00%
248 CONSOL ENERGY INC 11,259 189 0.00%
249 FAIRMOUNT SANTROL HLDGS INC 25,875 190 0.00%
250 AMERICAN EAGLE OUTFITTERS NE 13,535 190 0.00%
Page 5 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