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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
401 FIRST TR EXCHANGE TRADED FD 208,171 5,267 0.04%
402 ISHARES TR 104,790 5,252 0.04%
403 ADOBE INC 40,318 5,247 0.04%
404 XCEL ENERGY INC 117,673 5,231 0.04%
405 EATON CORP PLC 70,542 5,231 0.04%
406 VANGUARD WORLD FDS 37,544 5,199 0.03%
407 DANAHER CORP DEL 60,764 5,197 0.03%
408 BROADCOM LTD 23,698 5,189 0.03%
409 ANTHEM INC 31,234 5,166 0.03%
410 ARES CAPITAL CORP 295,292 5,132 0.03%
411 ISHARES 106,114 5,112 0.03%
412 OPPENHEIMER REV WEIGHTD ETF 147,336 5,109 0.03%
413 XENIA HOTELS & RESORTS INC COM 298,345 5,093 0.03%
414 ISHARES 119,774 5,077 0.03%
415 SPDR SERIES TRUST 89,632 5,074 0.03%
416 POWERSHARES ETF TRUST 86,272 5,069 0.03%
417 ISHARES TR 48,245 5,051 0.03%
418 ISHARES TR 79,601 5,036 0.03%
419 FIRST TRUST EXCH TRADED FUND 2 CONSUMR STAPLE ETF 108,951 5,027 0.03%
420 VALERO ENERGY CORP NEW 75,308 4,992 0.03%
421 ISHARES TR 42,095 4,978 0.03%
422 GLOBAL X FDS 178,387 4,957 0.03%
423 TORONTO DOMINION BK ONT 98,599 4,939 0.03%
424 ANHEUSER BUSCH INBEV SA/NV 44,924 4,931 0.03%
425 CALAMOS CONV OPPORTUNITIES & 447,106 4,918 0.03%
426 VODAFONE GROUP PLC NEW 185,356 4,899 0.03%
427 FLAHERTY CRUMRINE PFD SECS 237,710 4,885 0.03%
428 ECOLAB INC 38,900 4,876 0.03%
429 WISDOMTREE TR 74,283 4,863 0.03%
430 UNILEVER PLC 98,507 4,860 0.03%
431 Vanguard Russell 1000 Value 48,266 4,847 0.03%
432 PRAXAIR INC 40,861 4,846 0.03%
433 CARDINAL HEALTH INC 59,272 4,834 0.03%
434 FLUOR CORP NEW 91,875 4,834 0.03%
435 MARRIOTT INTL INC NEW 51,005 4,804 0.03%
436 FIDELITY 156,768 4,786 0.03%
437 ISHARES TR 109,622 4,782 0.03%
438 PUBLIC STORAGE 21,778 4,767 0.03%
439 FIDELITY 170,697 4,751 0.03%
440 ISHARES TR 36,824 4,729 0.03%
441 MCKESSON CORP 31,867 4,725 0.03%
442 SPDR SER TR 86,233 4,709 0.03%
443 DNP SELECT INCOME FD INC 434,774 4,696 0.03%
444 GENUINE PARTS CO 50,345 4,652 0.03%
445 WISDOMTREE TR 113,873 4,652 0.03%
446 REGIONS FINANCIAL CORP NEW 318,771 4,632 0.03%
447 SIMON PPTY GROUP INC NEW 26,677 4,589 0.03%
448 SPDR SERIES TRUST 124,223 4,588 0.03%
449 OCCIDENTAL PETE CORP DEL 72,341 4,584 0.03%
450 CHURCH & DWIGHT 91,446 4,560 0.03%
Page 9 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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