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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 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
Restatement filing (0001333978-18-000004) filed in 2018.02.16
#
Name
Shares
Value ($)
%
Options
Notes
2251 MANAGED DURATION INVT GRD FU 10,112 133 0.00%
2252 TEEKAY CORPORATION 14,302 131 0.00%
2253 CAPSTEAD MTG CORP COM NO PAR 12,467 131 0.00%
2254 ALPINE GLOBAL PREMIER PPTYS FD COM SBI 22,687 130 0.00%
2255 GLADSTONE INVT CORP 14,170 129 0.00%
2256 CVD Equipment Corp 12,428 129 0.00%
2257 ADVAXIS INC COM NEW 15,685 128 0.00%
2258 POLYMET MINING CORP 171,725 128 0.00%
2259 GUGGENHEIM ENHANCED EQUITY I 15,778 127 0.00%
2260 ANTARES PHARMA INC 44,336 126 0.00%
2261 CENTER COAST MLP & INFRSTR FD COM SHS 10,100 126 0.00%
2262 STONEMOR PARTNERS L P 15,711 125 0.00%
2263 MFS SPL VALUE TR 20,879 121 0.00%
2264 AMBEV SA 20,873 120 0.00%
2265 NEUBERGER BERMAN HIGH YIELD 10,017 119 0.00%
2266 BLACKROCK CAPITAL INVESTMENT 116,000 119 0.00%
2267 BANK MUTUAL CORP NEW 12,596 118 0.00%
2268 PIMCO MUN INCOME FD III 10,478 118 0.00%
2269 COMMUNITY HEALTH SYS INC NEW 13,067 116 0.00%
2270 CENOVUS ENERGY INC 10,043 113 0.00%
2271 SYNERGY PHARMACEUTICALS DEL 23,929 112 0.00%
2272 SEVERN BANCORP ANNAPOLIS MD 15,208 110 0.00%
2273 COHEN & STEERS GLOBAL INCORPORATED BLDR 11,784 108 0.00%
2274 NEURALSTEM INCORPORATED COM NEW 20,108 106 0.00%
2275 SYNERON MEDICAL LTD 10,000 106 0.00%
2276 CLOUD PEAK ENERGY INC COM 22,423 103 0.00%
2277 MORGAN STANLEY EMER MKTS DEB 11,031 103 0.00%
2278 SANOFI SPOND FUNSPONSORED ADR 33,075 102 0.00%
2279 NEUBERGER BERMAN MLP INCOME FD 10,074 102 0.00%
2280 INDEPENDENCE RLTY TR INC COM 10,664 100 0.00%
2281 OCLARO INC 10,230 100 0.00%
2282 AK STL HLDG CORP 13,944 100 0.00%
2283 JUST ENERGY GROUP INC 15,910 100 0.00%
2284 NORTHERN DYNASTY MINERALS LTD COM 70,212 100 0.00%
2285 PUTNAM HIGH INC SECURITIES FD N/C 7/24/18 42968F108 11,463 99 0.00%
2286 LIFEVANTAGE CORP 18,449 99 0.00%
2287 THERAPEUTICSMD INC 13,449 97 0.00%
2288 INOVIO PHARMACEUTICALS INC 14,725 97 0.00%
2289 SPROTT FOCUS TR INC COM 12,773 95 0.00%
2290 INVESCO SR INCOME TR 20,292 94 0.00%
2291 MILESTONE SCIENTIFIC INC 69,097 93 0.00%
2292 EVOKE PHARMA INC 30,062 93 0.00%
2293 AMARIN CORP PLC 27,716 89 0.00%
2294 MFS HIGH INCOME MUN TR 17,462 88 0.00%
2295 EURONAV NV ANTWERPEN 11,069 87 0.00%
2296 IDERA PHARMACEUTICALS INCORPORATED COM NEW 35,100 87 0.00%
2297 FIRST MAJESTIC SILVER CORP 10,473 85 0.00%
2298 AROTECH CORP 28,953 85 0.00%
2299 REVOLUTION LIGHTING TECHNOLOGI COM NEW 10,989 82 0.00%
2300 BIOTIME INC 22,649 78 0.00%
Page 46 of 49