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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
301 ISHARES TR 54,588 7,871 0.05%
302 SIMMONS 1ST NATL CORP CL A $1 PAR 140,928 7,772 0.05%
303 FASTENAL CO 149,015 7,674 0.05%
304 METLIFE INC 145,021 7,660 0.05%
305 DUNKIN BRANDS GROUP INC COM 139,689 7,638 0.05%
306 GOLDMAN SACHS ETF TR 291,500 7,629 0.05%
307 NUVEEN AMT FREE QLTY MUN INC 558,093 7,456 0.05%
308 BANK NEW YORK MELLON CORP 157,741 7,450 0.05%
309 SPDR SERIES TRUST 66,054 7,447 0.05%
310 POWERSHARES ETF TRUST 269,640 7,380 0.05%
311 PUBLIC SVC ENTERPRISE GRP IN 165,276 7,330 0.05%
312 POWERSHARES KBW REGIONAL BANKING PORTFOLIO 136,169 7,318 0.05%
313 ANALOG DEVICES INC 88,825 7,279 0.05%
314 CUMMINS INC 47,923 7,246 0.05%
315 TEXAS INSTRS INC 89,316 7,195 0.05%
316 ROYAL DUTCH SHELL PLC 135,741 7,158 0.05%
317 TJX COS INC NEW 90,346 7,145 0.05%
318 VENTAS INC 109,853 7,145 0.05%
319 SPDR SERIES TRUST 161,685 7,108 0.05%
320 ISHARES TR 97,467 7,096 0.05%
321 RYDEX ETF TRUST 120,288 7,080 0.05%
322 TARGET CORP 127,997 7,064 0.05%
323 WELLTOWER INC 99,508 7,047 0.05%
324 ISHARES TR 139,380 7,011 0.05%
325 WASHINGTON TR BANCORP COM 141,820 6,992 0.05%
326 VANGUARD INTL EQUITY INDEX F 135,494 6,987 0.05%
327 SPDR S&P 600 SMALL CAP GROWTH ETF 32,731 6,962 0.05%
328 VICTORY PORTFOLIOS II 162,676 6,938 0.05%
329 VANECK ETF TRUST 303,055 6,913 0.05%
330 KROGER CO 233,783 6,894 0.05%
331 WISDOMTREE TR 82,925 6,845 0.05%
332 ISHARES TR 62,656 6,827 0.05%
333 ISHARES TR 50,439 6,818 0.05%
334 MICRON TECHNOLOGY INC 235,725 6,812 0.05%
335 NUVEEN PREFERRED SECURITIES 711,895 6,791 0.05%
336 FIRST TR LRGE CP CORE ALPHA 131,488 6,787 0.05%
337 BROOKLINE BANCORP INC DEL COM 433,476 6,784 0.05%
338 RYDEX ETF TRUST 56,143 6,781 0.05%
339 PROSPECT CAPITAL CORPORATION 742,858 6,715 0.04%
340 ISHARES TR 85,526 6,713 0.04%
341 EXPRESS SCRIPTS HLDG CO 101,481 6,689 0.04%
342 OPPENHEIMER REV WEIGHTD ETF 146,730 6,676 0.04%
343 PIMCO HIGH INCOME FD 766,719 6,670 0.04%
344 POWERSHARES ETF TR II 155,433 6,662 0.04%
345 AMERIGAS PARTNERS L P 140,124 6,598 0.04%
346 ISHARES TR 121,844 6,597 0.04%
347 VANGUARD WORLD FDS 55,425 6,592 0.04%
348 HALLIBURTON CO 132,567 6,524 0.04%
349 FIRST TR EXCHANGE TRADED FD 74,090 6,523 0.04%
350 PIMCO ETF TR 61,773 6,506 0.04%
Page 7 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%
Page 1 of 49