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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 (2016Q4)
Portfolio Summary: 2,680 holdings with a total value of $13,149,349,000.
#
Name
Shares
Value ($)
%
Options
Notes
151 EXELIXIS INC 10,934 161,000 0.00%
152 BLACKROCK LONG-TERM MUNI ADV 14,295 161,000 0.00%
153 EDGE THERAPEUTICS INC 12,671 162,000 0.00%
154 ALON USA PARTNERS LP 15,710 162,000 0.00%
155 BROCADE COMMUNICATIONS SYS I 12,976 162,000 0.00%
156 PROSHARES TR 11,585 163,000 0.00%
157 BLACKROCK FLA MUN 2020 TERM 10,885 163,000 0.00%
158 LMP CAP & INCOME FD INC 12,208 163,000 0.00%
159 TEMPLETON EMERGING MKTS FD 13,293 164,000 0.00%
160 CLAYMORE EXCHANGE TRD FD TR 16,035 164,000 0.00%
161 GUGGENHEIM ENHANCED EQUITY I 20,664 164,000 0.00%
162 Dreyfus Mun Income Inc Com 19,208 166,000 0.00%
163 EATON VANCE OHIO MUN BD FD 12,295 166,000 0.00%
164 INVESCO PA VALUE MUN INC TR 13,737 168,000 0.00%
165 ADVANCED MICRO DEVICES INC 14,761 169,000 0.00%
166 RIDGEWORTH FDS 19,594 171,000 0.00%
167 LMI Aerospace, Inc. 19,415 171,000 0.00%
168 CREDIT SUISSE GROUP 11,280 172,000 0.00%
169 INNOVIVA INC COM 15,419 172,000 0.00%
170 GLOBAL X FDS 21,501 173,000 0.00%
171 POWERSHARES ETF WILDER HILL CLEAN ENERGY PORTFOLIO 47,385 176,000 0.00%
172 SUNCOKE ENERGY INC COM 15,644 177,000 0.00%
173 DEUTSCHE HIGH INCOME OPPORT FD 12,242 178,000 0.00%
174 VALLEY NATL BANCORP 15,383 180,000 0.00%
175 VOYA INTL HIGH DIV EQTY INM 27,923 181,000 0.00%
176 PENN ENTERTAINMENT INC COM 12,824 181,000 0.00%
177 INVESCO MORTGAGE CAPITAL INC 12,332 182,000 0.00%
178 NUVEEN NEW YORK QLT MUN INCORPORATED FD 13,599 183,000 0.00%
179 BLACKROCK MUNIHOLDINGS QUALI 11,343 184,000 0.00%
180 GOLUB CAP BDC INC 10,001 184,000 0.00%
181 NUVEEN FLEXIBLE INVT INCOME FD 11,051 185,000 0.00%
182 BLACKROCK MUNIENHANCED FD IN 16,434 186,000 0.00%
183 TPG SPECIALTY LENDING INC 10,010 186,000 0.00%
184 GLOBAL NET LEASE INC COM NEW 23,520 187,000 0.00%
185 CALUMET SPECIALTY PRODS PTNR 46,644 187,000 0.00%
186 FIRST TR EXCHANGE TRADED FD 12,018 188,000 0.00%
187 ATHERSYS INC NEW 122,000 188,000 0.00%
188 GENWORTH FINL INC 48,521 188,000 0.00%
189 MORGAN STANLEY EM MKTS DM DECOM 26,473 189,000 0.00%
190 Bank of America Corp Warrants Exp 01/16/19 18,429 190,000 0.00%
191 WESTERN ASSET INTER MUNI FD 20,111 192,000 0.00%
192 VIRTUS GLOBAL MULTI-SEC INC 12,460 194,000 0.00%
193 NRG ENERGY INC 15,953 196,000 0.00%
194 GLOBAL X FDS 14,741 196,000 0.00%
195 TEUCRIUM COMMODITY TR 28,832 198,000 0.00%
196 FUTUREFUEL CORPORATION 14,200 198,000 0.00%
197 FNB CORP PA 12,472 200,000 0.00%
198 HOSPITALITY PPTYS TR 6,256 200,000 0.00%
199 DREYFUS MUN BD INFRSTRCTR FD SHS 16,355 201,000 0.00%
200 SCHWAB STRATEGIC TRUST SCHWAB FUNDAMENTAL US 6,128 201,000 0.00%
Page 4 of 54

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001403438-17-000001, filed 2017.02.13).

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.