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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
NMLNeuberger Energy Infrastructure & Income Fund Inc.COM17,052$85.0K<0.1%+68+0.4%AddedHistory
AVGRAvinger IncCOM72,272$88.0K<0.1%−3,000−4.0%ReducedHistory
TLMDSOC Telemed, Inc.COM CL A15,580$88.0K<0.1%+2,000+14.7%AddedHistory
SDCSmileDirectClub, Inc.CL A COM10,321$89.0K<0.1%+10,321NewHistory
ASURAsure Software IncCOM10,172$90.0K<0.1%00.0%UnchangedHistory
Enerplus Corp292766102COM12,751$91.0K<0.1%−230−1.8%Reduced–
ProShares Tr74347G861ULTRAPRO SHT QQQ10,000$91.0K<0.1%−10,000−50.0%Reduced–
TDAYUSA TODAY Co., Inc.COM17,012$93.0K<0.1%−1,491−8.1%ReducedHistory
BGCBGC Group, Inc.CL A16,492$93.0K<0.1%+40.0%AddedHistory
BlackRock Cap Invt Corp092533AC2NOTE 5.000% 6/193,000$93.0K<0.1%−10,000−9.7%Reduced–
Goldman Sachs BDC, Inc.38147UAB3NOTE 4.500% 4/092,000$94.0K<0.1%00.0%Unchanged–
NBEVNewAge, Inc.COM42,518$94.0K<0.1%+22,940+117.2%AddedHistory
Ares Capital Corp04010LAW3NOTE 4.625% 3/088,000$95.0K<0.1%00.0%Unchanged–
HOFVHall of Fame Resort & Entertainment CoCOM24,414$95.0K<0.1%+24,414NewHistory
TELFYTelefonica S ASPONSORED ADR20,386$95.0K<0.1%+2,069+11.3%AddedHistory
GGALGrupo Financiero Galicia SASPONSORED ADR11,173$96.0K<0.1%+11,173NewHistory
UPHLUpHealth, Inc.COM14,525$97.0K<0.1%+14,525NewHistory
KODKEastman Kodak CoCOM NEW11,993$99.0K<0.1%−4,254−26.2%ReducedHistory
Thayer Ventures Acqu Corp88332T100COM CL A10,000$100.0K<0.1%+10,000New–
ALITAlight, Inc. / DelawareCOM CL A10,377$101.0K<0.1%+10,377NewHistory
EDUNew Oriental Education & Technology Group Inc.SPON ADR12,390$101.0K<0.1%+12,390NewHistory
KMFKayne Anderson NextGen Energy & Infrastructure, Inc.COM13,587$102.0K<0.1%−174−1.3%ReducedHistory
IGAVoya Global Advantage & Premium Opportunity FundCOM10,415$102.0K<0.1%−7,317−41.3%ReducedHistory
EVFMEvofem Biosciences, Inc.COM91,267$103.0K<0.1%+54,069+145.4%AddedHistory
ACGNAceragen, Inc.COM PAR86,662$103.0K<0.1%+49,125+130.9%AddedHistory
Navsight Hldgs Inc639358100CL A10,500$104.0K<0.1%00.0%Unchanged–
Jack Creek Investment Corp.G4989X107UNIT 10/01/202310,490$105.0K<0.1%+38+0.4%Added–
Sandstorm Gold Ltd Com New80013R206Stock13,552$106.0K<0.1%+148+1.1%Added–
CVVCVD Equipment CorpCOM23,765$106.0K<0.1%00.0%UnchangedHistory
OSUROrasure Technologies IncCOM10,521$106.0K<0.1%−584−5.3%ReducedHistory
PUMPProPetro Holding Corp.COM11,752$107.0K<0.1%+500+4.4%AddedHistory
Custom Truck One23204X111COM46,500$107.0K<0.1%+46,500New–
CXEMFS High Income Municipal TrustSH BEN INT20,288$107.0K<0.1%+26+0.1%AddedHistory
OCSLOaktree Specialty Lending CorpCOM16,065$107.0K<0.1%+1,350+9.2%AddedHistory
Invesco High Income 2023 Tar46135X108COM11,102$108.0K<0.1%+59+0.5%Added–
ATHXAthersys, IncCOM76,284$109.0K<0.1%−2,707−3.4%ReducedHistory
AGENAgenus IncCOM NEW20,121$110.0K<0.1%+1,000+5.2%AddedHistory
EODAllspring Global Dividend Opportunity FundCOM19,437$112.0K<0.1%+37+0.2%AddedHistory
RFILR F Industries LtdCOM PAR $0.0115,016$112.0K<0.1%−8,500−36.1%ReducedHistory
FROFrontline plcSHS NEW12,461$112.0K<0.1%−36,983−74.8%ReducedHistory
LITSLite Strategy, Inc.COM NEW40,000$114.0K<0.1%00.0%UnchangedHistory
Gabelli Equity Tr Inc362397218RIGHT 07/14/2021980,280$114.0K<0.1%+980,280New–
Theratechnologies Inc88338H100COM29,700$115.0K<0.1%00.0%Unchanged–
PRPHProPhase Labs, Inc.COM18,866$116.0K<0.1%+930+5.2%AddedHistory
ELMDElectromed, Inc.Stock10,417$117.0K<0.1%00.0%UnchangedHistory
XFLTXAI Floating Rate & Alternative Income TrustCOM12,807$122.0K<0.1%+884+7.4%AddedHistory
SNDLSNDL Inc.COM130,539$123.0K<0.1%+61,619+89.4%AddedHistory
VERUVeru Inc.COM15,292$123.0K<0.1%+1,000+7.0%AddedHistory
VGIVirtus Global Multi-Sector Income FundCOM10,442$124.0K<0.1%00.0%UnchangedHistory
CBHVirtus Convertible & Income 2024 Target Term FundCOM11,900$124.0K<0.1%00.0%UnchangedHistory
TXMDTherapeuticsMD, Inc.COM105,700$125.0K<0.1%+57,600+119.8%AddedHistory
RIVERiverview Financial CorpCOM11,044$126.0K<0.1%−3,000−21.4%ReducedHistory
AVDLAvadel Pharmaceuticals PLCSPONSORED ADR18,877$127.0K<0.1%−1,700−8.3%ReducedHistory
USAUU.S. Gold Corp.COM NEW11,741$130.0K<0.1%−6,903−37.0%ReducedHistory
Guggenheim Enhanced Equity I40167B100COM15,127$130.0K<0.1%−790−5.0%Reduced–
Hexo Corp428304307COM NEW22,527$130.0K<0.1%−1,010−4.3%Reduced–
UPWheels Up Experience Inc.COM13,050$130.0K<0.1%+13,050NewHistory
BlackRock 2022 GBL Incm Opp09258P104COM14,188$131.0K<0.1%−1,720−10.8%Reduced–
EGOEldorado Gold CorpCOM13,351$132.0K<0.1%−100−0.7%ReducedHistory
ALTGAlta Equipment Group Inc.COMMON STOCK10,000$132.0K<0.1%00.0%UnchangedHistory
NRONeuberger Real Estate Securities Income Fund IncCOM26,579$133.0K<0.1%+4,411+19.9%AddedHistory
GLADGladstone Capital CorpCOM11,649$133.0K<0.1%+505+4.5%AddedHistory
ALTOAlto Ingredients, Inc.COM21,979$134.0K<0.1%+5,463+33.1%AddedHistory
MEHCQChrome Holding Co.CLASS A COM11,610$135.0K<0.1%+11,610NewHistory
SIENProject Sage Oldco, Inc.COM17,170$136.0K<0.1%+5,000+41.1%AddedHistory
VSTMVerastem, Inc.COM33,550$136.0K<0.1%−2,500−6.9%ReducedHistory
First Tr MLP & Energy Incom33739B104COM17,365$137.0K<0.1%−877−4.8%Reduced–
EOLSEvolus, Inc.COM11,100$140.0K<0.1%−1,000−8.3%ReducedHistory
BRMKBroadmark Realty Capital Inc.COM13,246$140.0K<0.1%+1,966+17.4%AddedHistory
APTSPreferred Apartment Communities IncCOM14,461$140.0K<0.1%+120+0.8%AddedHistory
CIOCity Office REIT, Inc.COM11,381$141.0K<0.1%−4,111−26.5%ReducedHistory
MCNXAI Madison Equity Premium Income FundCOM17,524$141.0K<0.1%+6,101+53.4%AddedHistory
PRETQPennsylvania Real Estate Investment TrustSH BEN INT56,901$141.0K<0.1%−10,000−14.9%ReducedHistory
VFLabrdn National Municipal Income FundCEF10,078$142.0K<0.1%+10,078NewHistory
CTSOCytosorbents CorpCOM NEW18,923$142.0K<0.1%+1,738+10.1%AddedHistory
IVRInvesco Mortgage Capital Inc.COM36,886$143.0K<0.1%−2,904−7.3%ReducedHistory
PHDPioneer Floating Rate Fund, Inc.COM12,000$143.0K<0.1%−1,000−7.7%ReducedHistory
CNSLConsolidated Communications Holdings, Inc.COM16,586$145.0K<0.1%+36+0.2%AddedHistory
Beachbody Company, Inc.073463101COM CL A13,975$145.0K<0.1%+13,975New–
GERNGeron CorpCOM104,308$147.0K<0.1%+15,515+17.5%AddedHistory
BTGB2GOLD CorpCOM35,101$147.0K<0.1%+21,625+160.5%AddedHistory
NXDTNexpoint Diversified Real Estate TrustCOM NEW10,780$148.0K<0.1%−325−2.9%ReducedHistory
FNCBFNCB Bancorp, Inc.COM20,418$148.0K<0.1%+7,406+56.9%AddedHistory
ISBCInvestors Bancorp, Inc.COM10,395$148.0K<0.1%+333+3.3%AddedHistory
BRWSaba Capital Income & Opportunities FundSHARES31,735$149.0K<0.1%+31,735NewHistory
ZIVOZivo Bioscience, Inc.COM NEW31,636$149.0K<0.1%+31,636NewHistory
MHFWestern Asset Municipal High Income Fund Inc.COM17,944$151.0K<0.1%−605−3.3%ReducedHistory
Ivy High Income Opportunitie465893105COM10,787$151.0K<0.1%−3,905−26.6%Reduced–
CONXCONX Corp.COM CL A15,500$152.0K<0.1%00.0%UnchangedHistory
ASGLiberty All Star Growth Fund Inc.COM17,139$152.0K<0.1%+5,994+53.8%AddedHistory
LCTXLineage Cell Therapeutics, Inc.COM54,339$154.0K<0.1%+6,014+12.4%AddedHistory
IMGNImmunoGen, Inc.COM23,506$154.0K<0.1%−20,580−46.7%ReducedHistory
Star Equity Holdings, Inc.85513Q103COM50,000$155.0K<0.1%00.0%Unchanged–
ZTRVirtus Total Return Fund Inc.COM16,176$156.0K<0.1%+4,846+42.8%AddedHistory
PRVBProvention Bio, Inc.COM18,596$156.0K<0.1%+669+3.7%AddedHistory
GFIGold Fields LtdSPONSORED ADR17,716$157.0K<0.1%+3,111+21.3%AddedHistory
TRTXTPG RE Finance Trust, Inc.COM11,735$157.0K<0.1%−7,769−39.8%ReducedHistory
AWHLAspira Women's Health Inc.COM28,000$157.0K<0.1%00.0%UnchangedHistory
ACHRArcher Aviation Inc.COM15,840$157.0K<0.1%+855+5.7%AddedHistory
RESNResonant IncCOM49,334$158.0K<0.1%+24,620+99.6%AddedHistory

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