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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
GNLNGreenlane Holdings, Inc.CL A28,202$66.0K<0.1%+28,202NewHistory
GCVGabelli Convertible & Income Securities Fund IncCOM11,081$67.0K<0.1%+11,081NewHistory
LXRXLexicon Pharmaceuticals, Inc.COM NEW14,276$68.0K<0.1%+107+0.8%AddedHistory
BGCBGC Group, Inc.CL A13,136$68.0K<0.1%−3,356−20.3%ReducedHistory
MTNBMatinas BioPharma Holdings, Inc.COM52,400$68.0K<0.1%+15,900+43.6%AddedHistory
CIFMFS Intermediate High Income FundSH BEN INT22,558$68.0K<0.1%+22,558NewHistory
SDCSmileDirectClub, Inc.CL A COM12,890$68.0K<0.1%+2,569+24.9%AddedHistory
CIKUBS Asset Management Income Fund, Inc.COM19,964$69.0K<0.1%+19,964NewHistory
CTXRCitius Pharmaceuticals, Inc.COM NEW34,316$69.0K<0.1%+34,316NewHistory
VIEWView, Inc.COM CL A12,899$69.0K<0.1%+12,899NewHistory
ASMBAssembly Biosciences, Inc.COM20,299$70.0K<0.1%+1,000+5.2%AddedHistory
NCMINational CineMedia, Inc.COM19,927$70.0K<0.1%+19,927NewHistory
Golden Star Res Ltd Cda38119T807COM30,053$71.0K<0.1%00.0%Unchanged–
DYAIDyadic International IncCOM13,162$73.0K<0.1%−6,350−32.5%ReducedHistory
KPTIKaryopharm Therapeutics Inc.COM12,740$74.0K<0.1%+12,740NewHistory
Titan Med Inc88830X819COM NEW48,858$74.0K<0.1%00.0%Unchanged–
Transglobe Energy Corp893662106COM34,000$74.0K<0.1%00.0%Unchanged–
SIGASiga Technologies IncCOM10,290$76.0K<0.1%00.0%UnchangedHistory
RGLSRegulus Therapeutics Inc.COM NEW111,000$76.0K<0.1%+31,000+38.8%AddedHistory
GNTGAMCO Natural Resources, Gold & Income TrustSH BEN INT15,370$77.0K<0.1%+1,462+10.5%AddedHistory
CIGEnergy Co of Minas GeraisSP ADR N-V PFD30,839$77.0K<0.1%+3,892+14.4%AddedHistory
BlackRock 2022 GBL Incm Opp09258P104COM14,882$77.0K<0.1%+694+4.9%Added–
ORGNOrigin Materials, Inc.COM12,040$81.0K<0.1%+12,040NewHistory
VSTMVerastem, Inc.COM26,800$82.0K<0.1%−6,750−20.1%ReducedHistory
WMCWestern Asset Mortgage Capital CorpCOM31,431$82.0K<0.1%+9,678+44.5%AddedHistory
VIVSVivoSim Labs, INC.COM NEW12,292$83.0K<0.1%−17,716−59.0%ReducedHistory
EOLSEvolus, Inc.COM11,100$84.0K<0.1%00.0%UnchangedHistory
NMLNeuberger Energy Infrastructure & Income Fund Inc.COM17,125$84.0K<0.1%+73+0.4%AddedHistory
AEVAAeva Technologies, Inc.COM10,830$85.0K<0.1%+10,830NewHistory
KODKEastman Kodak CoCOM NEW12,848$87.0K<0.1%+855+7.1%AddedHistory
BGRYBerkshire Grey, Inc.COMMON STOCK12,480$87.0K<0.1%+12,480NewHistory
ACGNAceragen, Inc.COM PAR86,662$89.0K<0.1%00.0%UnchangedHistory
HYZNHyzon Motors Inc.COMMON STOCK12,957$89.0K<0.1%+12,957NewHistory
WITWipro LtdSPON ADR 1 SH10,216$90.0K<0.1%−339−3.2%ReducedHistory
ASURAsure Software IncCOM10,183$91.0K<0.1%+11+0.1%AddedHistory
ATOSAtossa Therapeutics, Inc.COM28,442$92.0K<0.1%−4,941−14.8%ReducedHistory
QTTBQ32 Bio Inc.COM11,762$92.0K<0.1%+11,762NewHistory
KMFKayne Anderson NextGen Energy & Infrastructure, Inc.COM12,735$92.0K<0.1%−852−6.3%ReducedHistory
BlackRock Cap Invt Corp092533AC2NOTE 5.000% 6/193,000$93.0K<0.1%00.0%Unchanged–
Goldman Sachs BDC, Inc.38147UAB3NOTE 4.500% 4/092,000$93.0K<0.1%00.0%Unchanged–
HGLBHighland Global Allocation FundCOM10,237$93.0K<0.1%+10,237NewHistory
MILEMetromile, LLCCOM26,530$94.0K<0.1%+5,370+25.4%AddedHistory
SNDLSNDL Inc.COM140,465$95.0K<0.1%+9,926+7.6%AddedHistory
SOLOElectrameccanica Vehicles Corp.COM NEW27,242$96.0K<0.1%+7,713+39.5%AddedHistory
VLTAVolta Inc.COM CL A11,183$96.0K<0.1%+11,183NewHistory
Ares Capital Corp04010LAW3NOTE 4.625% 3/088,000$97.0K<0.1%00.0%Unchanged–
EGOEldorado Gold CorpCOM12,751$98.0K<0.1%−600−4.5%ReducedHistory
DRDDrdgold LtdSPON ADR REPSTG12,185$98.0K<0.1%+12,185NewHistory
PRPHProPhase Labs, Inc.COM18,866$98.0K<0.1%00.0%UnchangedHistory
Enerplus Corp292766102COM12,458$99.0K<0.1%−293−2.3%Reduced–
Beachbody Company, Inc.073463101COM CL A17,892$99.0K<0.1%+3,917+28.0%Added–
ATHXAthersys, IncCOM76,284$101.0K<0.1%00.0%UnchangedHistory
Custom Truck One23204X111COM46,500$101.0K<0.1%00.0%Unchanged–
Thayer Ventures Acqu Corp88332T100COM CL A10,000$101.0K<0.1%00.0%Unchanged–
UPWheels Up Experience Inc.COMMON STOCK15,455$101.0K<0.1%+2,405+18.4%AddedHistory
ACHRArcher Aviation Inc.Stock11,560$102.0K<0.1%−4,280−27.0%ReducedHistory
Cyxtera Technolo23284C110EQUITY WRT49,966$102.0K<0.1%+49,966New–
ALTOAlto Ingredients, Inc.COM20,979$103.0K<0.1%−1,000−4.5%ReducedHistory
EDUNew Oriental Education & Technology Group Inc.SPON ADR50,590$103.0K<0.1%+38,200+308.3%AddedHistory
ProShares Tr74347G861ULTRAPRO SHT QQQ12,020$103.0K<0.1%+2,020+20.2%Added–
SVMSilvercorp Metals IncCOM27,522$104.0K<0.1%−2,000−6.8%ReducedHistory
TDAYUSA TODAY Co., Inc.COM15,737$105.0K<0.1%−1,275−7.5%ReducedHistory
Jack Creek Investment Corp.G4989X107UNIT 10/01/202310,490$105.0K<0.1%00.0%Unchanged–
CXEMFS High Income Municipal TrustSH BEN INT20,293$106.0K<0.1%+50.0%AddedHistory
Sandstorm Gold Ltd Com New80013R206Stock18,741$107.0K<0.1%+5,189+38.3%Added–
CBHVirtus Convertible & Income 2024 Target Term FundCOM10,400$107.0K<0.1%−1,500−12.6%ReducedHistory
CVVCVD Equipment CorpCOM23,765$108.0K<0.1%00.0%UnchangedHistory
Invesco High Income 2023 Tar46135X108COM11,152$108.0K<0.1%+50+0.5%Added–
LCTXLineage Cell Therapeutics, Inc.COM43,939$110.0K<0.1%−10,400−19.1%ReducedHistory
LITSLite Strategy, Inc.COM NEW40,000$110.0K<0.1%00.0%UnchangedHistory
IGAVoya Global Advantage & Premium Opportunity FundCOM11,165$110.0K<0.1%+750+7.2%AddedHistory
IQiQIYI, Inc.SPONSORED ADS13,883$111.0K<0.1%−10,426−42.9%ReducedHistory
AUMNGolden Minerals CoCOM258,389$111.0K<0.1%−3,000−1.1%ReducedHistory
PRETQPennsylvania Real Estate Investment TrustSH BEN INT57,416$111.0K<0.1%+515+0.9%AddedHistory
Theratechnologies Inc88338H100COM29,700$111.0K<0.1%00.0%Unchanged–
ELMDElectromed, Inc.Stock10,417$112.0K<0.1%00.0%UnchangedHistory
EODAllspring Global Dividend Opportunity FundCOM20,387$112.0K<0.1%+950+4.9%AddedHistory
First Tr MLP & Energy Incom33739B104COM15,628$112.0K<0.1%−1,737−10.0%Reduced–
XFLTXAI Floating Rate & Alternative Income TrustCOM13,163$112.0K<0.1%+356+2.8%AddedHistory
AVTXAvalo Therapeutics, Inc.COM52,000$113.0K<0.1%+38,467+284.2%AddedHistory
IVRInvesco Mortgage Capital Inc.COM36,816$115.0K<0.1%−70−0.2%ReducedHistory
AGENAgenus IncCOM NEW22,622$118.0K<0.1%+2,501+12.4%AddedHistory
BACKIMAC Holdings, Inc.COM80,000$118.0K<0.1%+80,000NewHistory
SIENProject Sage Oldco, Inc.COM20,732$118.0K<0.1%+3,562+20.7%AddedHistory
OSUROrasure Technologies IncCOM10,607$119.0K<0.1%+86+0.8%AddedHistory
FROFrontline plcSHS NEW12,752$119.0K<0.1%+291+2.3%AddedHistory
PRVBProvention Bio, Inc.COM18,785$120.0K<0.1%+189+1.0%AddedHistory
RESNResonant IncCOM49,769$120.0K<0.1%+435+0.9%AddedHistory
FTITechnipFMC plcCOM16,350$123.0K<0.1%−69,131−80.9%ReducedHistory
VGIVirtus Global Multi-Sector Income FundCOM10,464$123.0K<0.1%+22+0.2%AddedHistory
FPIFarmland Partners Inc.COM10,528$126.0K<0.1%+10,528NewHistory
BRWSaba Capital Income & Opportunities FundSHARES27,713$126.0K<0.1%−4,022−12.7%ReducedHistory
GEOGeo Group IncCOM17,132$127.0K<0.1%+17,132NewHistory
NRONeuberger Real Estate Securities Income Fund IncCOM26,639$127.0K<0.1%+60+0.2%AddedHistory
Guggenheim Enhanced Equity I40167B100COM13,689$127.0K<0.1%−1,438−9.5%Reduced–
ASGLiberty All Star Growth Fund Inc.COM14,777$127.0K<0.1%−2,362−13.8%ReducedHistory
First Tr Sr Floating Rate 2033740K101COM SHS13,362$128.0K<0.1%+13,362New–
CULLCullman Bancorp, Inc.COM10,000$128.0K<0.1%+10,000NewHistory
Silvercrest Metals Inc828363101COM18,517$129.0K<0.1%−6,641−26.4%Reduced–
CVGICommercial Vehicle Group, Inc.COM13,750$130.0K<0.1%+13,750NewHistory

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