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Livermore
Livermore
ZHEN

Commonwealth Equity Services, LLC

SEC CIK
0000312272
Latest filing
Jul 29, 2026

Holdings in Q2 2021

Holdings as of Jun 30, 2021, filed Aug 11, 2021. Long positions only; changes compare share counts with Q1 2021.

Institution overview
Positions
3,520
+124 vs. Q1 2021
Portfolio value
$39.4B
+$4.04B (+11.4%) vs. Q1 2021
Filed
Aug 11, 2021
SEC
Holdings of Commonwealth Equity Services, LLC in Q2 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
SDEVStablecoin Development CorpCOM NEW10,030$6.00K<0.1%+10,030NewHistory
Diffusion Pharmaceuticals IN253748305COM PAR10,143$7.00K<0.1%00.0%Unchanged–
Acasti Pharma Inc00430K402CL A NEW15,700$8.00K<0.1%+15,700New–
TRXTRX GOLD CorpCOM18,500$9.00K<0.1%00.0%UnchangedHistory
Redwood Tr Inc758075AC9NOTE 4.750% 8/110,000$10.0K<0.1%00.0%Unchanged–
Teva Pharmaceutical Fin LLC88163VAE9DBCV 0.250% 2/011,000$10.0K<0.1%00.0%Unchanged–
Color Star Technology Co LtdG2287A100SHS NEW10,000$10.0K<0.1%00.0%Unchanged–
AAUAFAlmaden Minerals LtdCOM CL B23,345$11.0K<0.1%00.0%UnchangedHistory
REEDReed's, Inc.COM11,350$11.0K<0.1%00.0%UnchangedHistory
BlackRock Science & Technolo09258G112RIGHT 07/14/202119,626$12.0K<0.1%+19,626New–
NAKNorthern Dynasty Minerals LtdCOM NEW28,050$13.0K<0.1%+3,498+14.2%AddedHistory
RNTXRein Therapeutics, Inc.COM11,000$13.0K<0.1%00.0%UnchangedHistory
GTEGran Tierra Energy Inc.COM18,488$13.0K<0.1%−9,000−32.7%ReducedHistory
CFMSConformis IncCOM12,901$14.0K<0.1%00.0%UnchangedHistory
Southwest Airls Co844741BG2NOTE 1.250% 5/010,000$15.0K<0.1%00.0%Unchanged–
Aenza S.A.A00776D103SPONSORED ADS10,189$17.0K<0.1%00.0%Unchanged–
BXRXBaudax Bio, Inc.COM23,025$17.0K<0.1%00.0%UnchangedHistory
UAMYUnited States Antimony CorpCOM18,500$18.0K<0.1%00.0%UnchangedHistory
CWBRCohBar, Inc.COM13,579$19.0K<0.1%−6,615−32.8%ReducedHistory
RMTIRockwell Medical, Inc.COM20,960$19.0K<0.1%00.0%UnchangedHistory
Ares Capital Corp04010LAT0NOTE 3.750% 2/020,000$20.0K<0.1%00.0%Unchanged–
COCPCocrystal Pharma, Inc.COM16,500$20.0K<0.1%+5,000+43.5%AddedHistory
TONXTON Strategy CoCOM10,114$20.0K<0.1%+10,114NewHistory
LGMKLogicMark, Inc.COM NEW24,353$21.0K<0.1%−10,750−30.6%ReducedHistory
XWELXWELL, Inc.COM14,700$22.0K<0.1%+1,500+11.4%AddedHistory
CRBPCorbus Pharmaceuticals Holdings, Inc.COM12,603$23.0K<0.1%00.0%UnchangedHistory
CBIOCrescent Biopharma, Inc.COM10,000$23.0K<0.1%00.0%UnchangedHistory
TRVNTrevena IncCOM14,521$24.0K<0.1%−2,522−14.8%ReducedHistory
ITRMIterum Therapeutics plcSHS11,700$27.0K<0.1%−6,800−36.8%ReducedHistory
MTNBMatinas BioPharma Holdings, Inc.COM36,500$28.0K<0.1%00.0%UnchangedHistory
YTRAYatra Online, Inc.ORD SHS12,525$28.0K<0.1%+150+1.2%AddedHistory
GTT Communications, Inc.362393100COM12,600$30.0K<0.1%+12,600New–
CCOClear Channel Outdoor Holdings, Inc.COM12,041$31.0K<0.1%00.0%UnchangedHistory
GLDGGoldMining Inc.COM21,932$31.0K<0.1%+400+1.9%AddedHistory
CATXPerspective Therapeutics, Inc.COM39,784$31.0K<0.1%00.0%UnchangedHistory
Atlas Air Worldwide Hldgs IN049164BH8NOTE 2.250% 6/030,000$32.0K<0.1%00.0%Unchanged–
CLRBCellectar Biosciences, Inc.COM PAR26,992$32.0K<0.1%+4,047+17.6%AddedHistory
OBSVObsEva SACOM10,569$32.0K<0.1%+10,569NewHistory
MBIOMustang Bio, Inc.COM10,525$34.0K<0.1%+10,525NewHistory
DRRXDurect CorpCOM21,955$35.0K<0.1%00.0%UnchangedHistory
PTNPalatin Technologies IncCOM PAR $ .0158,665$35.0K<0.1%+40+0.1%AddedHistory
Western Digital Corp958102AP0NOTE 1.500% 2/033,000$35.0K<0.1%00.0%Unchanged–
CNSPCNS Pharmaceuticals, Inc.COM20,000$39.0K<0.1%+20,000NewHistory
TGBTrekor Metals LtdCOM19,595$41.0K<0.1%00.0%UnchangedHistory
CRNTCeragon Networks LtdStock11,175$42.0K<0.1%+11,175NewHistory
SQFTPresidio Property Trust, Inc.COM CL A11,078$43.0K<0.1%+84+0.8%AddedHistory
AVTXAvalo Therapeutics, Inc.COM13,533$44.0K<0.1%+13,533NewHistory
PLGPlatinum Group Metals LtdCOM12,250$44.0K<0.1%+150+1.2%AddedHistory
Sierra Metals Inc82639W106COM14,646$44.0K<0.1%+14,646New–
New York Mtg Tr Inc649604AD7NOTE 6.250% 1/145,000$45.0K<0.1%00.0%Unchanged–
EZGOEZGO Technologies Ltd.SHS10,450$45.0K<0.1%+10,450NewHistory
PXLWPixelworks, IncCOM NEW13,523$46.0K<0.1%00.0%UnchangedHistory
REIRing Energy, Inc.COM15,900$47.0K<0.1%−500−3.0%ReducedHistory
Emx Rty Corp26873J107COM16,019$47.0K<0.1%00.0%Unchanged–
KDMNKadmon Holdings, Inc.COM12,340$47.0K<0.1%−500−3.9%ReducedHistory
ADMAAdma Biologics, Inc.COM30,010$48.0K<0.1%−20,344−40.4%ReducedHistory
DAREDare Bioscience, Inc.COM25,875$48.0K<0.1%+9,250+55.6%AddedHistory
GNCAGenocea Biosciences, Inc.COM NEW20,705$48.0K<0.1%00.0%UnchangedHistory
WATTEnergous CorpCOM17,142$49.0K<0.1%−4,964−22.5%ReducedHistory
MRKRMarker Therapeutics, Inc.COM17,829$49.0K<0.1%+17,829NewHistory
CARMCarisma Therapeutics Inc.COM10,673$49.0K<0.1%−1,500−12.3%ReducedHistory
EVGNEvogene Ltd.SHS14,723$50.0K<0.1%+300+2.1%AddedHistory
SEELSeelos Therapeutics, Inc.COM19,680$51.0K<0.1%+1,060+5.7%AddedHistory
AQMSAqua Metals, Inc.COM17,397$52.0K<0.1%+500+3.0%AddedHistory
TOONKartoon Studios, Inc.COM29,136$53.0K<0.1%+1,050+3.7%AddedHistory
GSATGlobalstar, Inc.COM31,645$56.0K<0.1%−10,818−25.5%ReducedHistory
UBXUnity Biotechnology, Inc.COM12,197$56.0K<0.1%+12,197NewHistory
WPRTWestport Fuel Systems Inc.COM NEW10,807$57.0K<0.1%−4,900−31.2%ReducedHistory
WIMIWiMi Hologram Cloud Inc.SPON ADS CL B10,500$57.0K<0.1%+10,500NewHistory
EGIOEdgio, Inc.COM18,513$58.0K<0.1%00.0%UnchangedHistory
AMPEAmpio Pharmaceuticals, Inc.COM35,626$59.0K<0.1%+582+1.7%AddedHistory
FST Tr New Opport MLP & Ene33739M100COM10,401$61.0K<0.1%+10,401New–
OPTTOcean Power Technologies, Inc.COM NEW25,000$62.0K<0.1%+25,000NewHistory
CPRXCatalyst Pharmaceuticals, Inc.COM11,056$63.0K<0.1%00.0%UnchangedHistory
SIGASiga Technologies IncCOM10,290$64.0K<0.1%00.0%UnchangedHistory
CIGEnergy Co of Minas GeraisSP ADR N-V PFD26,947$64.0K<0.1%+4,077+17.8%AddedHistory
LXRXLexicon Pharmaceuticals, Inc.COM NEW14,169$65.0K<0.1%00.0%UnchangedHistory
RGLSRegulus Therapeutics Inc.COM NEW80,000$65.0K<0.1%+60,000+300.0%AddedHistory
Transglobe Energy Corp893662106COM34,000$65.0K<0.1%00.0%Unchanged–
YARWYarrow Bioscience, Inc.COM18,678$65.0K<0.1%00.0%UnchangedHistory
ZYNEZynerba Pharmaceuticals, Inc.COM12,880$68.0K<0.1%+95+0.7%AddedHistory
DYAIDyadic International IncCOM19,512$70.0K<0.1%+19,512NewHistory
WMCWestern Asset Mortgage Capital CorpCOM21,753$70.0K<0.1%+80.0%AddedHistory
TTOOT2 Biosystems, Inc.COM61,510$73.0K<0.1%+2,250+3.8%AddedHistory
ADILAdial Pharmaceuticals, Inc.COM29,050$74.0K<0.1%+7,000+31.7%AddedHistory
ASMBAssembly Biosciences, Inc.COM19,299$74.0K<0.1%00.0%UnchangedHistory
VTGNVistagen Therapeutics, Inc.COM NEW23,535$74.0K<0.1%+5,340+29.3%AddedHistory
KALAKALA BIO, Inc.COM14,321$75.0K<0.1%+1,155+8.8%AddedHistory
HMYHarmony Gold Mining Co LtdADR20,434$76.0K<0.1%−346−1.7%ReducedHistory
GNTGAMCO Natural Resources, Gold & Income TrustSH BEN INT13,908$76.0K<0.1%+7+0.1%AddedHistory
DAKTDaktronics IncCOM12,308$81.0K<0.1%00.0%UnchangedHistory
WITWipro LtdSPON ADR 1 SH10,555$82.0K<0.1%−124−1.2%ReducedHistory
NNBRNN IncCOM11,265$82.0K<0.1%00.0%UnchangedHistory
IAGIamgold CorpCOM28,263$83.0K<0.1%00.0%UnchangedHistory
ASXCAsensus Surgical, Inc.COM26,304$83.0K<0.1%−3,777−12.6%ReducedHistory
SOLOElectrameccanica Vehicles Corp.COM NEW19,529$83.0K<0.1%−13,606−41.1%ReducedHistory
NMTR9 Meters Biopharma, Inc.COM76,002$83.0K<0.1%+3,400+4.7%AddedHistory
Titan Med Inc88830X819COM NEW48,858$83.0K<0.1%+600+1.2%Added–
CMUMFS High Yield Municipal TrustSH BEN INT17,686$84.0K<0.1%−6,413−26.6%ReducedHistory
Golden Star Res Ltd Cda38119T807COM30,053$85.0K<0.1%00.0%Unchanged–

Sold out since Q1 2021 (124)

Positions held at the end of Q1 2021 that are gone from this filing.

The largest 100 of 124 by value last quarter.

Positions of Commonwealth Equity Services, LLC sold out since Q1 2021
SecurityClassShares in Q1 2021Value in Q1 2021% of portfolio in Q1 2021History
FS KKR Cap Corp II35952V303COM4,219,729$82.4M0.2%–
GW Pharmaceuticals PLC36197T103ADS22,517$4.88M<0.1%–
Aphria Inc03765K104COM259,231$4.76M<0.1%–
ProShares Tr74347B714SHORT QQQ NEW330,324$4.59M<0.1%–
Franklin Templeton ETF Tr35473P744FTSE JAPAN ETF102,355$3.11M<0.1%–
iShares Tr464288430ASIA 50 ETF27,150$2.50M<0.1%–
BSYBentley Systems IncCOM CL B42,399$1.99M<0.1%History
SNBRQSleep Number CorpCOM12,972$1.86M<0.1%History
IAC Interactivecorp New44891N109COM8,583$1.86M<0.1%–
Alpha Architect ETF Tr02072L862MERLYN AI SECTOR58,945$1.57M<0.1%–
Colony Cap Inc New19626G108CL A COM202,816$1.31M<0.1%–
Varian Med Sys Inc92220P105COM7,394$1.30M<0.1%–
TCF Finl Corp872307103COM23,818$1.11M<0.1%–
COHUCohu IncCOM23,066$965.0K<0.1%History
Invesco Exchange Traded FD T46137V522RYMND JMS SB 116,260$940.0K<0.1%–
iShares Inc464286251JP MRG EM CRP BD16,860$876.0K<0.1%–
Flir Sys Inc302445101COM15,306$864.0K<0.1%–
Social Capital Hedosopha HLDG8252P105SHS CL A48,976$839.0K<0.1%–
Innovator ETFs Trust45782C649US EQTY ULTRA B29,750$821.0K<0.1%–
AMBAAmbarella IncSHS7,836$786.0K<0.1%History
iShares Tr46436E7180-3 MTH TREASURY7,186$718.0K<0.1%–
Forest Road Acquisition Corp34619R102COM70,623$714.0K<0.1%–
Colony CR Real Estate Inc19625T101COM CL A77,761$662.0K<0.1%–
Star Peak Energy Transition855185104CL A24,264$644.0K<0.1%–
Western Asset Mun Def Opp Tr95768A109COM29,661$626.0K<0.1%–
COOPMaverick Merger Sub 2, LLCCOM16,244$564.0K<0.1%History
Global X FDS37954Y434GENOMIC BIOTECH23,077$518.0K<0.1%–
AMRCAmeresco, Inc.CL A10,620$516.0K<0.1%History
ROCKGibraltar Industries, Inc.COM4,969$454.0K<0.1%History
BlackRock Munienhanced FD IN09253Y100COM38,134$450.0K<0.1%–
MSGSMadison Square Garden Sports Corp.CL A2,479$444.0K<0.1%History
Inphi Corp45772F107COM2,425$432.0K<0.1%–
DQDaqo New Energy Corp.SPNSRD ADS NEW5,203$392.0K<0.1%History
Nic Inc62914B100COM11,274$382.0K<0.1%–
QTSQTS Realty Trust, Inc.COM CL A5,889$365.0K<0.1%History
WLLWhiting Holdings LLCCOM NEW9,967$353.0K<0.1%History
J P Morgan Exchange-Traded F46641Q613US AGGREGATE12,722$341.0K<0.1%–
CMBMFCambium Networks CorpSHS7,309$341.0K<0.1%History
iShares Tr46428865310-20 YR TRS ETF2,307$323.0K<0.1%–
RBNCReliant Bancorp, Inc.COM11,232$322.0K<0.1%History
Jaws Acquisition CorpG50744104SHS24,250$321.0K<0.1%–
SEMSelect Medical Holdings CorpCOM9,322$317.0K<0.1%History
BWFGBankwell Financial Group, Inc.COM11,759$316.0K<0.1%History
PLCEChildrens Place, Inc.COM4,530$315.0K<0.1%History
CMCOColumbus McKinnon CorpCOM5,771$304.0K<0.1%History
ProShares Tr74347R206PSHS ULTRA QQQ2,588$303.0K<0.1%–
First Tr Exch Traded FD III33739P608RIVRFRNT DYN DEV4,433$290.0K<0.1%–
Highcape Cap Acquisition Cor42984L105COM CL A24,305$289.0K<0.1%–
PEverpure, Inc.CL A13,248$285.0K<0.1%History
QTRXQuanterix CorpCOM4,750$277.0K<0.1%History
Soaring Eagle Acquisition CoG8354H100UNIT 02/23/202627,435$277.0K<0.1%–
IRDMIridium Communications Inc.COM6,713$276.0K<0.1%History
Alpha Architect ETF Tr02072L201INTL QUAN VALUE9,332$269.0K<0.1%–
AGXArgan IncStock4,714$251.0K<0.1%History
Agf Invts Tr00110G408US MARKET NETRL14,636$250.0K<0.1%–
Northern LTS FD Tr IV66538H369INSPIRE FAITH MD8,610$250.0K<0.1%–
ONEM1Life Healthcare IncCOM6,341$247.0K<0.1%History
IBKRInteractive Brokers Group, Inc.Stock3,340$244.0K<0.1%History
VanEck ETF Trust92189F460CEF MUNI INCOME8,396$240.0K<0.1%–
TLNDTalend S.A.ADS3,762$239.0K<0.1%History
AXNXAxonics, Inc.COM3,984$238.0K<0.1%History
Goldman Sachs ETF Tr381430396JUST US LRG CP4,072$235.0K<0.1%–
First Tr Exch Traded FD III33739P707RIVR FRNT DYN3,149$231.0K<0.1%–
TNCTennant CoCOM2,879$230.0K<0.1%History
ENOVEnovis CORPCOM5,251$230.0K<0.1%History
LMNXLuminex CorpCOM7,207$229.0K<0.1%History
ETF Ser Solutions26922B204DEFIANCE NXT GN8,655$228.0K<0.1%–
First Tr Exchng Traded FD VI33740U406FT VEST U.S.7,282$227.0K<0.1%–
PCRXPacira BioSciences, Inc.COM3,229$226.0K<0.1%History
KYNBKyntra Bio, Inc.COM6,537$226.0K<0.1%History
PFPTProofpoint IncCOM1,785$224.0K<0.1%History
Invesco Exch Traded FD Tr II46138E123S&P SMLCP INDL2,379$223.0K<0.1%–
ARRYArray Technologies, Inc.COM SHS7,448$222.0K<0.1%History
ADCAgree Realty CorpCOM3,259$219.0K<0.1%History
ETF Managers Tr26924G805WEDBUSH ETFMG4,564$219.0K<0.1%–
MTS Sys Corp553777103COM3,704$215.0K<0.1%–
PJTPJT Partners Inc.COM CL A3,165$214.0K<0.1%History
SAFTSafety Insurance Group IncCOM2,537$213.0K<0.1%History
ALSumisho Air Lease CorpCL A4,334$212.0K<0.1%History
Textainer Group Holdings LtdG8766E109SHS7,425$212.0K<0.1%–
Voya Prime Rate Tr92913A100SH BEN INT44,374$205.0K<0.1%–
iShares Tr4642881253YRTB ETF2,493$203.0K<0.1%–
WisdomTree Tr97717W521JAPAN OPPOR FD4,474$201.0K<0.1%–
PRLBProto Labs IncCOM1,640$199.0K<0.1%History
BlackRock New York Mun Incom09249U105COM13,874$199.0K<0.1%–
Eaton Vance 2021 Target TRM27829W101COM SHS BEN INT20,000$196.0K<0.1%–
CLDRCloudera, Inc.COM16,092$195.0K<0.1%History
NSNuStar Energy L.P.UNIT COM11,420$195.0K<0.1%History
Rignet Inc766582100COM22,000$191.0K<0.1%–
Northern Genesis Acquisition66516T104COMMON STOCK11,701$190.0K<0.1%–
Thunder BRDG Acquistion II LG8857S116CL A SHS17,457$181.0K<0.1%–
CCIFCarlyle Credit Income FundSHS BEN INT17,312$178.0K<0.1%History
AUPHAurinia Pharmaceuticals Inc.COM13,578$176.0K<0.1%History
Eaton Vance FLTG Rate Incom278284104COM SHS BEN INT10,579$172.0K<0.1%–
SYSo-Young International Inc.SPONSORED ADS17,306$170.0K<0.1%History
Paysafe LtdG6964L115*W EXP 08/11/20236,046$156.0K<0.1%–
BlackRock New York Mun Incom09249R102COM10,251$155.0K<0.1%–
BlackRock Mass Tax-Exempt Tr09258E109SH BEN INT11,361$151.0K<0.1%–
UONEUrban One, Inc.CL A27,600$148.0K<0.1%History
GEOGeo Group IncCOM18,813$145.0K<0.1%History