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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
2651 BALLANTYNE STRONG INC 10,064 44 0.00%
2652 IAMGOLD CORP 15,165 42 0.00%
2653 VIVUS INC 10,701 40 0.00%
2654 LAM RESEARCH CORP SR NT CV 1.25 18 29,000 38 0.00%
2655 AGENUS INC 12,003 36 0.00%
2656 RADIOSHACK CORP 36,700 36 0.00%
2657 POLYMET MINING CORP 32,110 35 0.00%
2658 TANZANIAN ROYALTY EXPL CORP 16,800 35 0.00%
2659 BARCLAYS BANK PLC 13,825 34 0.00%
2660 MAGELLAN PETROLEUM CORP 15,500 32 0.00%
2661 Ipass Inc 20,000 30 0.00%
2662 Old Republic International Corp 25,000 29 0.00%
2663 WABASH NATL CORP SR NT CV3.375 18 22,000 29 0.00%
2664 EXELIXIS INC 18,607 28 0.00%
2665 WALTER ENERGY INC COM 12,456 26 0.00%
2666 ZIOPHARM ONCOLOGY INC 10,200 26 0.00%
2667 Curis, Inc 20,050 26 0.00%
2668 ACTIVE POWER INC COM NEW 13,020 25 0.00%
2669 ANTARES PHARMA INC 10,810 21 0.00%
2670 * LEXICON PHARMACEUTICALS INC COM 14,000 18 0.00%
2671 Capstone Turbine 17,100 17 0.00%
2672 Amern Superconductor Cp 12,685 17 0.00%
2673 PEREGRINE PHARMACEUTICALS IN 13,160 17 0.00%
2674 CAL DIVE INTERNATIONAL INC 19,025 17 0.00%
2675 ALPHATEC HOLDINGS INC 10,000 16 0.00%
2676 DENISON MINES CORP 13,004 14 0.00%
2677 STEMCELLS INC COM NEW 11,600 14 0.00%
2678 ALPHA NATURAL RESOURCES 20,000 14 0.00%
2679 BRISTOL MYERS SQUIBB CO DBCV 9/1 12,000 12 0.00%
2680 DOCUMENT SEC SYS INC COM 14,392 12 0.00%
2681 GABELLI EQUITY TR INC 205,863 12 0.00%
2682 URANIUM ENERGY CORP 10,000 12 0.00%
2683 CYTORI THERAPEUTIC INC 17,793 12 0.00%
2684 DRYSHIPS INC. 5%14F DUE 12/01/14 DRYSHIPS INC. 12,000 12 0.00%
2685 AMERICAN RLTY CAP PPTYS INC SR CONV NT 3 18 10,000 10 0.00%
2686 SAMSON OIL & GAS LTD 32,916 10 0.00%
2687 WET SEAL INC 16,545 10 0.00%
2688 NANOSPHERE INC 16,000 9 0.00%
2689 ROCK CREEK PHARMACEUTICALS INCORPORATED 34,751 9 0.00%
2690 GTX INC 13,000 9 0.00%
2691 MINES MGMT INC 12,235 8 0.00%
2692 SANOFI 13,066 7 0.00%
2693 DEJOUR ENERGY INC 20,000 5 0.00%
2694 COMMUNITY HEALTH SYS INC NEW 96,640 3 0.00%
2695 SILVER BULL RES INC 11,050 2 0.00%
2696 Corinthian Colleges, Inc. 17,730 2 0.00%
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