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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
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 1.13%
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 TR 945,462 111,716 0.75%
24 VANGUARD SPECIALIZED PORTFOL 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 TR 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
Restatement filing (0001333978-18-000004) filed in 2018.02.16
#
Name
Shares
Value ($)
%
Options
Notes
51 OCH ZIFF CAP MGMT GROUP 11,474 26 0.00%
52 CHROMADEX CORP 10,002 27 0.00%
53 M/I HOMES INC 27,000 27 0.00%
54 APOLLO COML REAL EST FIN INC 25,000 27 0.00%
55 IPASS INC 23,738 28 0.00%
56 BLACKSTONE MTG TR INC 25,000 29 0.00%
57 ASANKO GOLD INC 11,250 29 0.00%
58 PHOTRONICS INC 25,000 30 0.00%
59 ALASKA COMMUNICATIONS SYS GR 16,925 31 0.00%
60 ANI PHARMACEUTICALS INC 29,000 31 0.00%
61 ADDVANTAGE TECHNOLOGIES GROU 16,645 32 0.00%
62 ATLAS AIR WORLDWIDE HLDGS INC 2.25 06/01/2022 30,000 32 0.00%
63 APPLIED DNA SCIENCES INC COM 19,694 33 0.00%
64 DENBURY RES INC COM NEW 13,038 34 0.00%
65 MANNKIND CORP 22,699 34 0.00%
66 PLURISTEM THERAPEUTICS INC 27,516 34 0.00%
67 GLU MOBILE INC 15,100 34 0.00%
68 CREDIT SUISSE ASSET MGMT INC 10,680 35 0.00%
69 ARENA PHARMACEUTICALS INC 24,071 35 0.00%
70 ENERGY FOCUS INC COM NEW 10,957 36 0.00%
71 FUELCELL ENERGY INC 26,120 36 0.00%
72 Abraxas Petroleum Corp 18,503 37 0.00%
73 PARKER DRILLING COMPANY 21,410 37 0.00%
74 SEADRILL LIMITED 23,757 39 0.00%
75 DANAHER CORP DEL LYON 01/21 12,000 39 0.00%
76 PROPHASE LABS INC 17,500 40 0.00%
77 MICRON SOLUTIONS INC 10,000 40 0.00%
78 22ND CENTY GROUP INCORPORATED 33,828 40 0.00%
79 ATLANTIC PWR CORP 15,602 41 0.00%
80 ROYAL BANK OF CANADA 40,000 42 0.00%
81 CELLDEX THERAPEUTICS INC NEW 12,023 43 0.00%
82 FUEL TECH INCORPORATED 42,215 43 0.00%
83 FUSION TELECOMM INTL INC 28,304 45 0.00%
84 TANZANIAN ROYALTY EXPL CORP 106,565 46 0.00%
85 WESTPORT FUEL SYSTEMS INC 47,569 46 0.00%
86 CATALYST PHARMACEUTICALS INC 24,090 47 0.00%
87 REAL GOODS SOLAR INC 34,503 48 0.00%
88 ELDORADO GOLD CORP NEW 14,088 48 0.00%
89 PROTALIX BIOTHERAPEUTICS INC 37,750 51 0.00%
90 Teekay Offshore Partners L.P. 10,009 51 0.00%
91 NEVSUN RES LTD 20,432 52 0.00%
92 TERRAVIA HLDGS INC COM 71,802 52 0.00%
93 KINROSS GOLD CORP 14,916 52 0.00%
94 RELM WIRELESS CORP 10,524 53 0.00%
95 BIOLINERX LTD 55,000 53 0.00%
96 GOLDEN STAR RES LTD CDA 62,269 53 0.00%
97 CHAMPIONS ONCOLOGY INC 16,653 53 0.00%
98 PENGROWTH ENERGY CORP 53,757 54 0.00%
99 PENN WEST PETE LTD NEW 32,545 55 0.00%
100 AZURRX BIOPHARMA 14,247 55 0.00%
Page 2 of 49