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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
251 TESLA INC 37,212 10,356 0.07%
252 NORDSTROM INC 221,417 10,311 0.07%
253 DIAGEO P L C 88,897 10,275 0.07%
254 ISHARES TR 77,944 10,263 0.07%
255 AFLAC INC 141,230 10,228 0.07%
256 POWERSHARES ETF TR II 236,842 10,023 0.07%
257 ISHARES TR 94,575 9,986 0.07%
258 VANGUARD WORLD FDS 165,109 9,984 0.07%
259 AQUA AMERICA INC 309,598 9,954 0.07%
260 PNC FINL SVCS GROUP INC 81,876 9,845 0.07%
261 VANGUARD SCOTTSDALE FDS 84,298 9,838 0.07%
262 REYNOLDS AMERICAN INC 155,802 9,819 0.07%
263 VANGUARD WORLD FD 121,460 9,796 0.07%
264 SMUCKER J M CO 74,484 9,763 0.07%
265 NORFOLK SOUTHERN CORP 87,049 9,747 0.07%
266 ISHARES TR 207,748 9,635 0.06%
267 SCHWAB U.S. LARGE-CAP GROWTH ETF 158,283 9,573 0.06%
268 FIDELITY 265,148 9,468 0.06%
269 WISDOMTREE TR 114,099 9,462 0.06%
270 SHERWIN WILLIAMS CO 30,332 9,409 0.06%
271 DEERE & CO 86,085 9,371 0.06%
272 BLACKROCK INC 24,354 9,340 0.06%
273 VANGUARD ADMIRAL FDS INC 80,606 9,325 0.06%
274 ISHARES 151,261 9,307 0.06%
275 ALLERGAN PLC 38,882 9,290 0.06%
276 ISHARES TR 92,046 9,182 0.06%
277 NUCOR CORP 153,097 9,143 0.06%
278 ISHARES TR 60,989 9,070 0.06%
279 POWERSHARES ETF TRUST 77,717 9,048 0.06%
280 FLEXSHARES TR 174,396 9,003 0.06%
281 TRAVELERS COMPANIES INC 72,824 8,778 0.06%
282 SPDR INDEX SHS FDS 185,226 8,720 0.06%
283 EXELON CORP 241,396 8,685 0.06%
284 PACER FDS TR 342,973 8,670 0.06%
285 BECTON DICKINSON & CO 47,209 8,660 0.06%
286 RYDEX ETF TRUST 144,054 8,524 0.06%
287 PRUDENTIAL FINL INC 79,180 8,447 0.06%
288 BIOGEN INC 30,879 8,443 0.06%
289 ISHARES TR 58,918 8,357 0.06%
290 SYSCO CORP 159,751 8,294 0.06%
291 PPG INDS INC 77,856 8,181 0.05%
292 SCHWAB US DIVIDEND EQUITY ETF 183,488 8,180 0.05%
293 AMERICAN WTR WKS CO INC NEW 104,615 8,136 0.05%
294 ISHARES 7-10 YEAR TREASURY BOND ETF 76,838 8,113 0.05%
295 GOLDMAN SACHS GROUP INC 35,315 8,113 0.05%
296 MONSANTO CO NEW 71,038 8,041 0.05%
297 NORTHROP GRUMMAN CORP 33,435 7,952 0.05%
298 ARCHER DANIELS MIDLAND CO 172,212 7,929 0.05%
299 TEMPLETON GLOBAL INCOME FD 1,189,774 7,912 0.05%
300 ISHARES TR 156,603 7,905 0.05%
Page 6 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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