Skip to main content
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
JRONuveen Floating Rate Income Opportunity FundCOM SHS30,293$295.0K<0.1%+6,966+29.9%AddedHistory
FROGJFrog LtdStock6,532$297.0K<0.1%+1,902+41.1%AddedHistory
UGAUnited States Gasoline Fund, LPUNITS8,302$297.0K<0.1%+8,302NewHistory
FIVEFive Below, IncCOM1,539$297.0K<0.1%+24+1.6%AddedHistory
ProShares Tr74348A541HGH YLD INT RATE4,727$298.0K<0.1%−131−2.7%Reduced–
UMCUnited Microelectronics CorpSPON ADR NEW31,569$298.0K<0.1%+5,778+22.4%AddedHistory
IDCCInterDigital, Inc.COM4,086$298.0K<0.1%+4,086NewHistory
GBABGuggenheim Taxable Municipal Bond & Investment Grade Debt TrustCOM12,078$298.0K<0.1%+2,382+24.6%AddedHistory
PAGPPlains GP Holdings LPLTD PARTNR INT A24,967$298.0K<0.1%+35+0.1%AddedHistory
DLXDeluxe CorpCOM6,244$298.0K<0.1%+37+0.6%AddedHistory
VICRVicor CorpCOM2,840$300.0K<0.1%+71+2.6%AddedHistory
HUNHuntsman CORPCOM11,341$300.0K<0.1%+2,484+28.0%AddedHistory
EVGEaton Vance Short Duration Diversified Income FundCOM22,678$300.0K<0.1%+458+2.1%AddedHistory
FLEXFlex Ltd.Stock16,872$301.0K<0.1%+1,152+7.3%AddedHistory
Invesco Exch Traded FD Tr II46138E107EQUAL WEGT 0-308,293$301.0K<0.1%−857−9.4%Reduced–
SSYSStratasys Ltd.SHS11,663$301.0K<0.1%+2,183+23.0%AddedHistory
Innovator ETFs Trust45782C581US EQTY BUF NOV9,497$301.0K<0.1%−65−0.7%Reduced–
MMTAberdeen Multi-Market Income FundSH BEN INT48,318$301.0K<0.1%−21,249−30.5%ReducedHistory
ENLCEnLink Midstream, LLCCOM UNIT REP LTD47,244$301.0K<0.1%+2,804+6.3%AddedHistory
Guggenheim CR Allocation FD40168G108COM13,798$301.0K<0.1%+3,357+32.2%Added–
INFNInfinera CorpCOM29,554$301.0K<0.1%+7,080+31.5%AddedHistory
AIZAssurant, Inc.Stock1,935$302.0K<0.1%+13+0.7%AddedHistory
CHDNChurchill Downs IncCOM1,525$302.0K<0.1%+643+72.9%AddedHistory
Yamana Gold Inc98462Y100COM71,566$302.0K<0.1%−8,749−10.9%Reduced–
SWXSouthwest Gas Holdings, Inc.COM4,590$303.0K<0.1%−288−5.9%ReducedHistory
WisdomTree Tr97717W802ITL HIGH DIV FD7,671$303.0K<0.1%+370+5.1%Added–
NPVNuveen Virginia Quality Municipal Income FundCOM18,346$303.0K<0.1%+131+0.7%AddedHistory
LPLLG Display Co., Ltd.SPONS ADR REP28,357$303.0K<0.1%−10,361−26.8%ReducedHistory
CANOCano Health, Inc.COM CL A25,106$303.0K<0.1%+25,106NewHistory
TEXTerex CorpStock6,392$304.0K<0.1%+1,421+28.6%AddedHistory
WSRWhitestone REITCOM36,903$304.0K<0.1%+60.0%AddedHistory
PSNParsons CorpCOM7,731$304.0K<0.1%+7,731NewHistory
iShares Tr464288729GLOB INDSTRL ETF2,548$304.0K<0.1%+63+2.5%Added–
NSPInsperity, Inc.COM3,373$304.0K<0.1%+364+12.1%AddedHistory
SILKSilk Road Medical IncCOM6,355$304.0K<0.1%+1,665+35.5%AddedHistory
WWWW International, Inc.COM8,423$304.0K<0.1%+667+8.6%AddedHistory
RLRalph Lauren CorpCL A2,590$305.0K<0.1%+73+2.9%AddedHistory
MATMattel IncCOM15,220$305.0K<0.1%+724+5.0%AddedHistory
EXPEagle Materials IncCOM2,152$305.0K<0.1%+132+6.5%AddedHistory
AGOAssured Guaranty LtdCOM6,451$306.0K<0.1%+178+2.8%AddedHistory
CBTCabot CorpCOM5,376$306.0K<0.1%+8+0.1%AddedHistory
SUPNSupernus Pharmaceuticals, Inc.COM9,940$306.0K<0.1%+362+3.8%AddedHistory
VRSNVerisign IncCOM1,344$306.0K<0.1%−533−28.4%ReducedHistory
J P Morgan Exchange Traded F46641Q241BETABUILDERS US5,635$306.0K<0.1%+5,635New–
SPDR Series Trust78468R754ST STR R1K LOWV2,948$306.0K<0.1%+90+3.1%Added–
POWWOutdoor Holding CoCOM31,307$306.0K<0.1%−4,882−13.5%ReducedHistory
Exchange Listed FDS Tr30151E814HIGH YIELD ETF9,427$306.0K<0.1%+9,427New–
ONTOnterris, Inc.COM5,737$307.0K<0.1%+5,737NewHistory
WisdomTree Tr97717W547US VALUE FD5,161$308.0K<0.1%00.0%UnchangedConverted for a 2-for-1 split–
BOEBlackRock Enhanced Global Dividend TrustCOM24,604$308.0K<0.1%−3,676−13.0%ReducedHistory
OGCPEmpire State Realty OP, L.P.UNIT LTD PRT 6029,511$308.0K<0.1%+5,384+22.3%AddedHistory
GLUGabelli Global Utility & Income TrustCOM SH BEN INT14,757$308.0K<0.1%−5,169−25.9%ReducedHistory
RLAYRelay Therapeutics, Inc.COM8,448$309.0K<0.1%−188−2.2%ReducedHistory
Soaring Eagle Acquisition CoG8354H126CL A SHS31,105$309.0K<0.1%+31,105New–
Amplify ETF Tr032108870INTL ONLINE5,758$310.0K<0.1%+5,758New–
Nushares ETF Tr67092P706NUVEEN SHRT TERM9,155$310.0K<0.1%−435−4.5%Reduced–
NUONuveen Ohio Quality Municipal Income FundCOM18,982$310.0K<0.1%+250+1.3%AddedHistory
Flexshares Tr33939L787GLB QLT R/E IDX4,681$311.0K<0.1%−5,250−52.9%Reduced–
DNLIDenali Therapeutics Inc.COM3,969$311.0K<0.1%00.0%UnchangedHistory
iShares Tr46435G250HIGH YLD SYSTM B5,977$311.0K<0.1%−2,439−29.0%Reduced–
CEVACeva IncCOM6,596$311.0K<0.1%+130+2.0%AddedHistory
SAICScience Applications International CorpCOM3,559$312.0K<0.1%−704−16.5%ReducedHistory
CTRECareTrust REIT, Inc.COM13,453$312.0K<0.1%+625+4.9%AddedHistory
PRLDPrelude Therapeutics IncCOM10,927$312.0K<0.1%+10,927NewHistory
iShares 1-10 Year U.S. Aggregate Bond ETF464288596ETF2,559$313.0K<0.1%−526−17.1%Reduced–
EHCEncompass Health CorpCOM4,017$313.0K<0.1%−333−7.7%ReducedHistory
NTRANatera, Inc.COM2,759$313.0K<0.1%+57+2.1%AddedHistory
FOXAFox CorpCL A COM8,453$313.0K<0.1%+765+10.0%AddedHistory
EGPEastgroup Properties IncCOM1,903$313.0K<0.1%+152+8.7%AddedHistory
ENSEnerSysCOM3,219$314.0K<0.1%+3,219NewHistory
BECNQxo Building Products, Inc.COM5,899$314.0K<0.1%+184+3.2%AddedHistory
BGYBlackRock Enhanced International Dividend TrustCOM BENE INTER47,967$314.0K<0.1%+4,369+10.0%AddedHistory
PQ Group Hldgs Inc73943T103COM20,500$314.0K<0.1%+10,000+95.2%Added–
VCYTVeracyte, Inc.COM7,890$315.0K<0.1%+906+13.0%AddedHistory
MMUWestern Asset Managed Municipals Fund Inc.COM23,251$315.0K<0.1%−30.0%ReducedHistory
WisdomTree Tr97717X784WSDM EMKTBD FD4,150$316.0K<0.1%+315+8.2%Added–
ARWArrow Electronics, Inc.COM2,781$316.0K<0.1%+140+5.3%AddedHistory
PIMFranklin Master Intermediate Income TrustSH BEN INT75,501$316.0K<0.1%+29,177+63.0%AddedHistory
CSWCCapital Southwest CorpCOM13,656$317.0K<0.1%−178−1.3%ReducedHistory
MVTBlackRock Munivest Fund II, Inc.COM20,212$317.0K<0.1%+139+0.7%AddedHistory
Invesco Exch Traded FD Tr II46138E172S&P SMLCP STAP2,977$318.0K<0.1%+849+39.9%Added–
WTIW&T Offshore IncCOM65,900$319.0K<0.1%−185−0.3%ReducedHistory
MYJBlackRock Muniyield New Jersey Fund, Inc.COM20,085$319.0K<0.1%+3,155+18.6%AddedHistory
Rodgers Silicon Valley Aq Co774873202UNIT 11/30/202511,543$320.0K<0.1%00.0%Unchanged–
WDWalker & Dunlop, Inc.COM3,083$321.0K<0.1%+356+13.1%AddedHistory
Goldman Sachs ETF Tr381430438EQUAL WEIGHT US4,783$321.0K<0.1%+4,783New–
New York Life Investments Et45409B107HEDGE MULTI STRA9,974$321.0K<0.1%+1,818+22.3%Added–
ABCBAmeris BancorpCOM6,341$321.0K<0.1%−62−1.0%ReducedHistory
Vanguard Scottsdale FDS92206C573TOTAL CORP BND3,494$321.0K<0.1%−94−2.6%Reduced–
FSMFortuna Mining Corp.COM57,967$321.0K<0.1%+10,500+22.1%AddedHistory
BARGraniteShares Gold TrustSHS BEN INT18,340$322.0K<0.1%+4,614+33.6%AddedHistory
VanEck ETF Trust92189F387SHRT HGH YLD MUN12,702$323.0K<0.1%−825−6.1%Reduced–
UNFUnifirst CorpCOM1,378$323.0K<0.1%+229+19.9%AddedHistory
NRIMNorthrim Bancorp IncCOM7,572$323.0K<0.1%+11+0.1%AddedHistory
PSFCohen & Steers Select Preferred & Income Fund, Inc.COM10,563$323.0K<0.1%+1,584+17.6%AddedHistory
ERIEErie Indemnity CoCL A1,676$324.0K<0.1%+514+44.2%AddedHistory
iShares Inc464286632MSCI ISRAEL ETF4,660$324.0K<0.1%00.0%Unchanged–
Invesco Exchange Traded FD T46137V860DWA FINL MUMT6,398$324.0K<0.1%+597+10.3%Added–
JRVRJames River Group Holdings, Inc.COM8,687$325.0K<0.1%+303+3.6%AddedHistory
PBProsperity Bancshares IncCOM4,547$326.0K<0.1%+55+1.2%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