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Institutional Investment Manager
LPL Financial LLC
LPL Financial LLC (CIK: 0001403438) incorporated in California, located at 4707 Executive Drive, San Diego, CA. Institutional holdings reported to the SEC.

Institutional Holdings (2014Q3)
Original 13F HR (0001403438-14-000011) filed in 2014.11.10
#
Name
Shares
Value ($)
%
Options
Notes
101 CAPE BANCORP INC 12,000 111 0.00%
102 COMPUGEN LTD 12,946 111 0.00%
103 PIMCO Low Duration 10,885 112 0.00%
104 ADVANCED MICRO DEVICES INC 33,962 114 0.00%
105 ADVENT CLAYMORE ENH GRW & IN 12,113 114 0.00%
106 QUICKLOGIC CORP 39,429 114 0.00%
107 BOULDER GROWTH & INCOME FUND COM 13,229 115 0.00%
108 OFFICE DEPOT INC 23,071 116 0.00%
109 VOYA INTL HIGH DIV EQTY INM 12,824 117 0.00%
110 IXYS Corporation 11,427 119 0.00%
111 DEUTSCHE BK AG LDN BRH 19,700 121 0.00%
112 FX ENERGY INC 41,600 121 0.00%
113 Wasatch Emerging Markets Small Cap 44,236 121 0.00%
114 REGULUS THERAPEUTICS INC COM 18,100 121 0.00%
115 MANITEX INTL INC COM 11,125 124 0.00%
116 SANDRIDGE PERMIAN TR 12,966 125 0.00%
117 KANDI TECHNOLOGIES GROUP INC 10,476 126 0.00%
118 BLACKROCK CAP INVT CORP 14,761 126 0.00%
119 SUMMIT HOTEL PPTYS 11,862 127 0.00%
120 KINDRED BIOSCIENCES INC 13,758 128 0.00%
121 BELMOND LTD 11,342 128 0.00%
122 Energy XXI LTD 11,831 129 0.00%
123 VIRTUS TOTAL RETURN FD 28,175 130 0.00%
124 BLACKROCK LONG-TERM MUNI ADV 11,733 132 0.00%
125 KINDER MORGAN INCORPORATED DEL WARRANT EXP 052517 38,006 133 0.00%
126 EGSHARES INDIA INFRA ETF 10,510 133 0.00%
127 OLD NATL BANCORP IND COM 10,486 134 0.00%
128 AEGON N V 16,487 135 0.00%
129 AMERICAN SOFTWARE CL A CLASS A 15,632 137 0.00%
130 SILICON GRAPHICS INTL CORP 15,259 138 0.00%
131 RUTHS CHRIS STEAK HSE INC COM 12,500 138 0.00%
132 NUVEEN TX ADV TOTAL RET STRG 10,297 140 0.00%
133 TRINA SOLAR ADR REPTG 50 ORD 12,328 141 0.00%
134 EBIX INC 10,231 141 0.00%
135 POTBELLY CORP 12,285 141 0.00%
136 ACCO BRANDS CORPORATION COM 20,726 141 0.00%
137 FIRST MAJESTIC SILVER CORP 18,193 142 0.00%
138 NOVAGOLD RES INC 48,184 142 0.00%
139 PETMED EXPRESS INC 10,495 142 0.00%
140 MANAGED HIGH YIELD PLUS FUND INC 71,619 143 0.00%
141 PRECISION DRILLING CORP 13,844 144 0.00%
142 MFS INTERMARKET INCOME TRUST I SH BEN INT 17,242 144 0.00%
143 MORGAN STANLEY EMER MKTS DEB 14,931 144 0.00%
144 BROCADE COMMUNICATIONS SYS I 13,369 145 0.00%
145 CAPITOL FED FINL INC 12,254 145 0.00%
146 Virtus Insight Tr Emrg Mkt Opps Cl I 14,273 146 0.00%
147 DRYSHIPS INC 62,770 146 0.00%
148 PERMIAN BASIN RTY TR 10,937 147 0.00%
149 FUELCELL ENERGY INC COM 72,683 147 0.00%
150 WESTERN ASSET INTER MUNI FD 15,241 147 0.00%
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