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Livermore
Livermore
ZHEN

Commonwealth Equity Services, LLC

SEC CIK
0000312272
Latest filing
Jul 29, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Oct 29, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
3,573
+53 vs. Q2 2021
Portfolio value
$39.8B
+$449.0M (+1.1%) vs. Q2 2021
Filed
Oct 29, 2021
SEC
Holdings of Commonwealth Equity Services, LLC in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
Rivernorth Doubleline Strate76882G156RIGHT 10/01/202152,140$00.0%+52,140New–
Diffusion Pharmaceuticals IN253748305COM PAR10,143$5.00K<0.1%00.0%Unchanged–
Color Star Technology Co LtdG2287A100SHS NEW10,000$5.00K<0.1%00.0%Unchanged–
SDEVStablecoin Development CorpCOM NEW10,030$6.00K<0.1%00.0%UnchangedHistory
AAUAFAlmaden Minerals LtdCOM CL B23,345$9.00K<0.1%00.0%UnchangedHistory
RMTIRockwell Medical, Inc.COM15,960$9.00K<0.1%−5,000−23.9%ReducedHistory
TRXTRX GOLD CorpCOM19,166$9.00K<0.1%+666+3.6%AddedHistory
LGMKLogicMark, Inc.COM NEW24,353$10.0K<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–
RNTXRein Therapeutics, Inc.COM11,000$11.0K<0.1%00.0%UnchangedHistory
BXRXBaudax Bio, Inc.COM20,525$11.0K<0.1%−2,500−10.9%ReducedHistory
Naked Brand Group LimitedQ6519T117SHS NEW16,294$11.0K<0.1%+16,294New–
CRBPCorbus Pharmaceuticals Holdings, Inc.COM11,978$12.0K<0.1%−625−5.0%ReducedHistory
GTEGran Tierra Energy Inc.COM17,488$12.0K<0.1%−1,000−5.4%ReducedHistory
ITRMIterum Therapeutics plcSHS22,000$12.0K<0.1%+10,300+88.0%AddedHistory
New Gold Inc Cda644535106COM12,850$13.0K<0.1%+12,850New–
Fireeye Inc31816QAD3NOTE 1.625% 6/015,000$14.0K<0.1%+15,000New–
Southwest Airls Co844741BG2NOTE 1.250% 5/010,000$14.0K<0.1%00.0%Unchanged–
NAKNorthern Dynasty Minerals LtdCOM NEW38,050$17.0K<0.1%+10,000+35.7%AddedHistory
UAMYUnited States Antimony CorpCOM18,790$17.0K<0.1%+290+1.6%AddedHistory
COCPCocrystal Pharma, Inc.COM16,549$17.0K<0.1%+49+0.3%AddedHistory
TRVNTrevena IncCOM14,121$17.0K<0.1%−400−2.8%ReducedHistory
AIFAAll In FutureTech Alliance, Inc.COM10,425$18.0K<0.1%+10,425NewHistory
Sierra Metals Inc82639W106COM11,396$20.0K<0.1%−3,250−22.2%Reduced–
Ares Capital Corp04010LAT0NOTE 3.750% 2/020,000$21.0K<0.1%00.0%Unchanged–
CBIOCrescent Biopharma, Inc.COM10,000$21.0K<0.1%00.0%UnchangedHistory
IDEXIdeanomics, Inc.COM10,948$21.0K<0.1%+10,948NewHistory
Liberty Media Corp530715AL5DEB 3.750% 2/128,238$21.0K<0.1%+28,238New–
XWELXWELL, Inc.COM15,236$22.0K<0.1%+536+3.6%AddedHistory
AQMSAqua Metals, Inc.COM11,197$23.0K<0.1%−6,200−35.6%ReducedHistory
SPPISpectrum Pharmaceuticals IncCOM10,850$23.0K<0.1%+10,850NewHistory
GLDGGoldMining Inc.COM21,932$25.0K<0.1%00.0%UnchangedHistory
CATXPerspective Therapeutics, Inc.COM39,784$25.0K<0.1%00.0%UnchangedHistory
PTNPalatin Technologies IncCOM PAR $ .0158,665$25.0K<0.1%00.0%UnchangedHistory
YTRAYatra Online, Inc.ORD SHS12,525$25.0K<0.1%00.0%UnchangedHistory
Cybin Ord23256X100COM12,200$26.0K<0.1%+12,200New–
PLGPlatinum Group Metals LtdCOM13,000$26.0K<0.1%+750+6.1%AddedHistory
YARWYarrow Bioscience, Inc.COM19,908$27.0K<0.1%+1,230+6.6%AddedHistory
ADMAAdma Biologics, Inc.COM25,010$28.0K<0.1%−5,000−16.7%ReducedHistory
DRRXDurect CorpCOM21,955$28.0K<0.1%00.0%UnchangedHistory
MBIOMustang Bio, Inc.COM10,525$28.0K<0.1%00.0%UnchangedHistory
CNSPCNS Pharmaceuticals, Inc.COM20,000$29.0K<0.1%00.0%UnchangedHistory
BIOLBiolase, IncCOM NEW49,396$31.0K<0.1%+49,396NewHistory
CLRBCellectar Biosciences, Inc.COM PAR34,474$31.0K<0.1%+7,482+27.7%AddedHistory
PHUNPhunware, Inc.COM33,731$31.0K<0.1%+33,731NewHistory
OBSVObsEva SACOM10,284$31.0K<0.1%−285−2.7%ReducedHistory
CCOClear Channel Outdoor Holdings, Inc.COM12,041$32.0K<0.1%00.0%UnchangedHistory
MRKRMarker Therapeutics, Inc.COM19,029$32.0K<0.1%+1,200+6.7%AddedHistory
UBXUnity Biotechnology, Inc.COM10,697$32.0K<0.1%−1,500−12.3%ReducedHistory
DNNDenison Mines Corp.COM22,939$33.0K<0.1%+22,939NewHistory
Western Digital Corp958102AP0NOTE 1.500% 2/033,000$33.0K<0.1%00.0%Unchanged–
KALAKALA BIO, Inc.COM12,980$34.0K<0.1%−1,341−9.4%ReducedHistory
FRBKRepublic First Bancorp IncCOM11,311$34.0K<0.1%+11,311NewHistory
Atlas Air Worldwide Hldgs IN049164BH8NOTE 2.250% 6/030,000$35.0K<0.1%00.0%Unchanged–
CARMCarisma Therapeutics Inc.COM44,923$35.0K<0.1%+34,250+320.9%AddedHistory
CFMSConformis IncCOM27,901$37.0K<0.1%+15,000+116.3%AddedHistory
HIVEHIVE Digital Technologies Ltd.COM14,220$37.0K<0.1%+14,220NewHistory
TGBTrekor Metals LtdCOM19,595$37.0K<0.1%00.0%UnchangedHistory
EVGNEvogene Ltd.SHS14,098$37.0K<0.1%−625−4.2%ReducedHistory
TOONKartoon Studios, Inc.COM28,086$38.0K<0.1%−1,050−3.6%ReducedHistory
CRNTCeragon Networks LtdStock11,360$39.0K<0.1%+185+1.7%AddedHistory
Hexo Corp428304307COM NEW22,128$40.0K<0.1%−399−1.8%Reduced–
GYREGyre Therapeutics, Inc.COM NEW10,000$41.0K<0.1%+10,000NewHistory
Emx Rty Corp26873J107COM16,019$41.0K<0.1%00.0%Unchanged–
GNCAGenocea Biosciences, Inc.COM NEW21,405$41.0K<0.1%+700+3.4%AddedHistory
DAREDare Bioscience, Inc.COM25,875$43.0K<0.1%00.0%UnchangedHistory
HOSHornbeck Offshore Services, Inc.Stock11,454$44.0K<0.1%+11,454NewHistory
New York Mtg Tr Inc649604AD7NOTE 6.250% 1/145,000$45.0K<0.1%00.0%Unchanged–
UPHLUpHealth, Inc.COM14,525$45.0K<0.1%00.0%UnchangedHistory
GALTGalectin Therapeutics IncCOM NEW11,902$46.0K<0.1%+11,902NewHistory
REIRing Energy, Inc.COM15,900$46.0K<0.1%00.0%UnchangedHistory
OTLKOutlook Therapeutics, Inc.COM NEW21,522$46.0K<0.1%+21,522NewHistory
SQFTPresidio Property Trust, Inc.COM CL A12,407$46.0K<0.1%+1,329+12.0%AddedHistory
BCDABioCardia, Inc.COM16,492$51.0K<0.1%+16,492NewHistory
NXENexGen Energy Ltd.COM10,999$52.0K<0.1%+10,999NewHistory
EVFMEvofem Biosciences, Inc.COM70,540$52.0K<0.1%−20,727−22.7%ReducedHistory
ASXCAsensus Surgical, Inc.COM29,020$53.0K<0.1%+2,716+10.3%AddedHistory
RDHLRedHill Biopharma Ltd.SPONSORED ADS11,687$53.0K<0.1%+11,687NewHistory
ZYNEZynerba Pharmaceuticals, Inc.COM12,955$54.0K<0.1%+75+0.6%AddedHistory
SCORComscore, Inc.COM14,150$55.0K<0.1%+14,150NewHistory
CMUMFS High Yield Municipal TrustSH BEN INT12,402$56.0K<0.1%−5,284−29.9%ReducedHistory
TTOOT2 Biosystems, Inc.COM61,510$56.0K<0.1%00.0%UnchangedHistory
OPTTOcean Power Technologies, Inc.COM NEW24,614$57.0K<0.1%−386−1.5%ReducedHistory
GSATGlobalstar, Inc.COM34,714$57.0K<0.1%+3,069+9.7%AddedHistory
TXMDTherapeuticsMD, Inc.COM78,200$57.0K<0.1%−27,500−26.0%ReducedHistory
LogicBio Therapeutics, Inc.54142F102COM12,836$58.0K<0.1%+12,836New–
SEELSeelos Therapeutics, Inc.COM24,361$58.0K<0.1%+4,681+23.8%AddedHistory
MAMAMama's Creations, Inc.COM24,500$59.0K<0.1%+24,500NewHistory
NNBRNN IncCOM11,265$59.0K<0.1%00.0%UnchangedHistory
AMPEAmpio Pharmaceuticals, Inc.COM35,626$59.0K<0.1%00.0%UnchangedHistory
NBEVNewAge, Inc.COM43,313$60.0K<0.1%+795+1.9%AddedHistory
HOFVHall of Fame Resort & Entertainment CoCOM23,330$61.0K<0.1%−1,084−4.4%ReducedHistory
IAGIamgold CorpCOM28,263$63.0K<0.1%00.0%UnchangedHistory
PXLWPixelworks, IncCOM NEW13,273$63.0K<0.1%−250−1.8%ReducedHistory
HMYHarmony Gold Mining Co LtdADR20,434$64.0K<0.1%00.0%UnchangedHistory
CPRXCatalyst Pharmaceuticals, Inc.COM12,214$64.0K<0.1%+1,158+10.5%AddedHistory
AVGRAvinger IncCOM87,272$64.0K<0.1%+15,000+20.8%AddedHistory
VTGNVistagen Therapeutics, Inc.COM NEW23,535$64.0K<0.1%00.0%UnchangedHistory
DAKTDaktronics IncCOM12,308$66.0K<0.1%00.0%UnchangedHistory

Sold out since Q2 2021 (163)

Positions held at the end of Q2 2021 that are gone from this filing.

The largest 100 of 163 by value last quarter.

Positions of Commonwealth Equity Services, LLC sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
MXIMMaxim Integrated Products IncCOM48,818$5.14M<0.1%History
HAEHaemonetics CorpCOM55,782$3.72M<0.1%History
EWBCEast West Bancorp IncCOM49,618$3.56M<0.1%History
ETF Ser Solutions26922A388APTUS DEFINED103,557$3.07M<0.1%–
Churchill Capital Corp IV171439102CL A94,543$2.72M<0.1%–
WORKSlack Technologies, Inc.COM CL A44,019$1.95M<0.1%History
ALXNAlexion Pharmaceuticals, Inc.COM10,019$1.84M<0.1%History
CPRICapri Holdings LtdSHS30,905$1.77M<0.1%History
AHTAshford Hospitality Trust IncCOM SHS380,991$1.74M<0.1%History
ProShares Tr74347G804K1 FRE CRD OIL21,845$1.35M<0.1%–
Pacer FDS Tr69374H691CFRA STVAL EQL34,320$1.30M<0.1%–
BWBabcock & Wilcox Enterprises, Inc.COM152,235$1.20M<0.1%History
CTRNCiti Trends IncCOM12,713$1.11M<0.1%History
Starboard Value Acquisitn Co85521J208UNIT 09/10/202593,460$965.0K<0.1%–
SBHSally Beauty Holdings, Inc.COM39,398$869.0K<0.1%History
EPIXESSA Pharma Inc.COM NEW29,195$834.0K<0.1%History
CALCaleres IncCOM29,983$818.0K<0.1%History
AZEKAZEK Co Inc.CL A17,830$757.0K<0.1%History
TLSTelos CorpCOM22,093$751.0K<0.1%History
First Tr Exch TRD Alphdx FD33737J141CHINA ALPHADEX23,105$726.0K<0.1%–
COWNCowen Inc.CL A NEW16,037$658.0K<0.1%History
FUTUFutu Holdings LtdSPON ADS CL A3,551$635.0K<0.1%History
EVRIEveri Holdings Inc.COM25,491$635.0K<0.1%History
SYNHSyneos Health, Inc.CL A7,029$629.0K<0.1%History
VATEINNOVATE Corp.COM140,583$559.0K<0.1%History
LOOPLoop Industries, Inc.COM45,142$556.0K<0.1%History
Trillium Therapeutics Inc.89620X506COM NEW55,508$538.0K<0.1%–
Innovator ETFs Tr45782C243INVTOR 2 PLS 522,295$521.0K<0.1%–
IMAXImax CorpCOM23,731$510.0K<0.1%History
Barclays Bank PLC06739H313ETN DJUBSCOCO 3817,215$495.0K<0.1%–
CBAYCymaBay Therapeutics, Inc.COM113,394$494.0K<0.1%History
Vedanta Limited92242Y100SPONSORED ADR31,816$451.0K<0.1%–
Renaissance Cap Greenwich FD759937303INTNTL IPO ETF12,318$444.0K<0.1%–
VVNTVivint Smart Home, Inc.COM CL A33,332$439.0K<0.1%History
GMSGMS Inc.COM8,882$427.0K<0.1%History
GIIIG III Apparel Group LtdCOM12,493$410.0K<0.1%History
TRUPTrupanion, Inc.COM3,482$400.0K<0.1%History
ANGIAngi Inc.COM CL A NEW29,071$393.0K<0.1%History
CYRXCryoport, Inc.COM PAR $0.0016,140$387.0K<0.1%History
Innovator U.S. Equity Ultra Buffer ETF - October45782C821ETF13,927$386.0K<0.1%–
First Tr Exchange Traded FD33733A102CHINDIA ETF6,103$381.0K<0.1%–
Dominion Energy, Inc25746U133UNIT 99/99/99993,737$362.0K<0.1%–
IMOImperial Oil LtdCOM NEW11,700$355.0K<0.1%History
TCSContainer Store Group, Inc.COM27,299$355.0K<0.1%History
EGLEEagle Bulk Shipping Inc.COM7,379$349.0K<0.1%History
SPDR Series Trust78464A789ST STR SP INS8,902$343.0K<0.1%–
ANVSAnnovis Bio, Inc.COM3,964$339.0K<0.1%History
EVYEaton Vance New York Municipal Income TrustSH BEN INT22,320$334.0K<0.1%History
AVIDAvid Technology, Inc.COM8,495$332.0K<0.1%History
Invesco Exchange Traded FD T46137V860DWA FINL MUMT6,398$324.0K<0.1%–
PSFCohen & Steers Select Preferred & Income Fund, Inc.COM10,563$323.0K<0.1%History
Rodgers Silicon Valley Aq Co774873202UNIT 11/30/202511,543$320.0K<0.1%–
PQ Group Hldgs Inc73943T103COM20,500$314.0K<0.1%–
CEVACeva IncCOM6,596$311.0K<0.1%History
RLAYRelay Therapeutics, Inc.COM8,448$309.0K<0.1%History
Soaring Eagle Acquisition CoG8354H126CL A SHS31,105$309.0K<0.1%–
ONTOnterris, Inc.COM5,737$307.0K<0.1%History
J P Morgan Exchange Traded F46641Q241BETABUILDERS US5,635$306.0K<0.1%–
WWWW International, Inc.COM8,423$304.0K<0.1%History
LPLLG Display Co., Ltd.SPONS ADR REP28,357$303.0K<0.1%History
FROGJFrog LtdStock6,532$297.0K<0.1%History
ATKRAtkore Inc.COM4,168$295.0K<0.1%History
Just Eat Takeaway Com N V48214T305SPONSORED ADS15,657$285.0K<0.1%–
1895 Bancorp of Wis Inc28252W105COM18,954$284.0K<0.1%–
Lightspeed Pos Inc53227R106SUB VTG SHS3,398$284.0K<0.1%–
BILIBilibili Inc.SPONS ADS REP Z2,300$280.0K<0.1%History
POSTPost Holdings, Inc.COM2,531$274.0K<0.1%History
TALTAL Education GroupSPONSORED ADS10,896$274.0K<0.1%History
COURCoursera, Inc.COM6,880$272.0K<0.1%History
CM Life Sciences II Inc125842203UNIT 02/25/202820,000$269.0K<0.1%–
TMETencent Music Entertainment GroupSPON ADS16,973$262.0K<0.1%History
DGIIDigi International IncCOM12,700$255.0K<0.1%History
GRAW R Grace & CoCOM3,678$254.0K<0.1%History
Portman Ridge Fin Corp73688F102COM106,348$253.0K<0.1%–
NBRNabors Industries LtdSHS2,202$251.0K<0.1%History
CITCit Group IncCOM NEW4,822$248.0K<0.1%History
USCRU.S. Concrete, Inc.COM3,348$247.0K<0.1%History
CMPRCIMPRESS plcSHS EURO2,273$246.0K<0.1%History
EOSEEos Energy Enterprises, Inc.COM CL A13,717$246.0K<0.1%History
VLDRVelodyne Lidar, Inc.COM23,168$246.0K<0.1%History
CSIQCanadian Solar Inc.COM5,463$244.0K<0.1%History
BCOBrinks CoCOM3,164$243.0K<0.1%History
SAGESage Therapeutics, Inc.COM4,239$240.0K<0.1%History
Vanguard World FD921910691ESG US CORP BD3,206$238.0K<0.1%–
GHCGraham Holdings CoCOM CL B375$237.0K<0.1%History
ACMRACM Research, Inc.Stock2,314$236.0K<0.1%History
First Tr Exchange-Traded Alp33737M201MID CAP VAL FD5,290$235.0K<0.1%–
SPDR Index Shs FDS78463X756ST MARKE CAP ETF3,770$231.0K<0.1%–
OSSOne Stop Systems, Inc.COM40,000$231.0K<0.1%History
iShares Inc46434G830MSCI ITALY ETF7,104$230.0K<0.1%–
CHEChemed CorpCOM482$228.0K<0.1%History
UCOProShares Trust IIULTA BLMBG 20172,904$227.0K<0.1%History
ZUOZuora IncCOM CL A13,125$226.0K<0.1%History
State Street SPDR S&P Emerging Asia Pacific ETF78463X301ETF1,661$223.0K<0.1%–
SPDR Index Shs FDS78463X855S&P GBLINF ETF4,272$223.0K<0.1%–
Franklin Templeton ETF Tr35473P207LIBERTYQ EMERG7,133$223.0K<0.1%–
SUNWSunworks, Inc.COM NEW21,280$223.0K<0.1%History
GKOSGLAUKOS CorpCOM2,618$222.0K<0.1%History
GNKGenco Shipping & Trading LtdSHS11,795$222.0K<0.1%History
LHCGLHC Group, IncCOM1,109$222.0K<0.1%History