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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 (2016Q2)
Original 13F HR (0001403438-16-000017) filed in 2016.08.15
#
Name
Shares
Value ($)
%
Options
Notes
51 ANTARES PHARMA INC 40,303 40 0.00%
52 GERON CORP 15,125 41 0.00%
53 POLYMET MINING CORP 53,110 42 0.00%
54 SYNERGY PHARMACEUTICALS DEL 11,500 44 0.00%
55 RESEARCH FRONTIERS INC 12,483 45 0.00%
56 DENBURY RESOURCES INC 14,596 47 0.00%
57 COMPANHIA ENERGETICA DE MINA 21,456 48 0.00%
58 ARRAY BIOPHARMA INC 13,350 49 0.00%
59 Sizmek Inc 21,300 49 0.00%
60 NORTHWEST BIOTHERAPEUTICS 99,456 49 0.00%
61 CHROMADEX CORP 12,605 50 0.00%
62 GOLDMAN SACHS GROUP INC 45,000 50 0.00%
63 KINDRED BIOSCIENCES INC 13,925 52 0.00%
64 REX ENERGY CORPORATION 80,255 53 0.00%
65 MFS HIGH INCOME MUN TR 10,030 55 0.00%
66 AMERICA FIRST MULTIFAMILY IN 10,150 56 0.00%
67 ARROWHEAD PHARMACEUTICALS IN 10,233 56 0.00%
68 GABELLI CONV&INCOM SECS FD I 12,178 57 0.00%
69 SEADRILL PARTNERS LLC 10,080 57 0.00%
70 Bank of America Corp Warrants Exp 01/16/19 18,429 57 0.00%
71 NAM TAI PPTY INC SHS 10,600 58 0.00%
72 PROSPECT CAPITAL CORPORATION 60,000 60 0.00%
73 Cipher Pharmaceuticals Inc 11,000 60 0.00%
74 JASON INDS INC 16,800 60 0.00%
75 ZION OIL & GAS INC 43,794 62 0.00%
76 AMICUS THERAPEUTICS INC COM 11,000 62 0.00%
77 ENDEAVOUR SILVER CORP 13,630 64 0.00%
78 TURQUOISE HILL RES LTD 18,466 64 0.00%
79 ICONIX BRAND GROUP INC 10,100 65 0.00%
80 BANCO BILBAO VIZCAYA ARGENTA 12,094 65 0.00%
81 FULL HOUSE RESORTS INC 35,000 67 0.00%
82 MFS INTERMEDIATE HIGH INC FD 27,488 68 0.00%
83 SPRINT CORP 15,455 69 0.00%
84 PENGROWTH ENERGY CORP 39,521 71 0.00%
85 ZIOPHARM ONCOLOGY INC 12,039 72 0.00%
86 SPECTRUM PHARMACEUTICALS INC COM 10,869 74 0.00%
87 KCAP FINL INC 18,920 74 0.00%
88 GRAN TIERRA ENERGY INC 25,652 76 0.00%
89 MANNKIND CORP. 68,350 77 0.00%
90 BELLEROPHON THERAPEUTICS INC 48,600 80 0.00%
91 Inventure Foods Inc 10,335 81 0.00%
92 PROSPECT CAPITAL CORPORATION 80,000 81 0.00%
93 HARMONIC INC 29,223 81 0.00%
94 ACCURAY INCORPORATED COM 15,985 81 0.00%
95 AEGON N V 24,115 83 0.00%
96 NOVAGOLD RES INC 11,558 83 0.00%
97 SAN JUAN BASIN RTY TR 11,732 84 0.00%
98 HIMAX TECHNOLOGIES INC 10,593 84 0.00%
99 LIBERTY ALL STAR GROWTH FD I 20,579 84 0.00%
100 AXOGEN INC 12,163 85 0.00%
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