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Livermore
Livermore
ZHEN

Commonwealth Equity Services, LLC

SEC CIK
0000312272
Latest filing
Jul 29, 2026

Holdings in Q4 2021

Holdings as of Dec 31, 2021, filed Jan 31, 2022. Long positions only; changes compare share counts with Q3 2021.

Institution overview
Positions
3,643
+70 vs. Q3 2021
Portfolio value
$44.4B
+$4.51B (+11.3%) vs. Q3 2021
Filed
Jan 31, 2022
SEC
Holdings of Commonwealth Equity Services, LLC in Q4 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
AAUAFAlmaden Minerals LtdCOM CL B12,845$3.00K<0.1%−10,500−45.0%ReducedHistory
Diffusion Pharmaceuticals IN253748305COM PAR10,143$3.00K<0.1%00.0%Unchanged–
SDEVStablecoin Development CorpCOM NEW10,030$3.00K<0.1%00.0%UnchangedHistory
Color Star Technology Co LtdG2287A100SHS NEW10,000$5.00K<0.1%00.0%Unchanged–
RNTXRein Therapeutics, Inc.COM10,800$6.00K<0.1%−200−1.8%ReducedHistory
RMTIRockwell Medical, Inc.COM15,960$6.00K<0.1%00.0%UnchangedHistory
DCOYDecoy Therapeutics Inc.COM NEW12,371$6.00K<0.1%+12,371NewHistory
TRXTRX GOLD CorpCOM18,500$7.00K<0.1%−666−3.5%ReducedHistory
TRVNTrevena IncCOM13,821$8.00K<0.1%−300−2.1%ReducedHistory
UAMYUnited States Antimony CorpCOM18,790$9.00K<0.1%00.0%UnchangedHistory
GYREGyre Therapeutics, Inc.COM NEW10,000$9.00K<0.1%00.0%UnchangedHistory
CATXPerspective Therapeutics, Inc.COM26,284$10.0K<0.1%−13,500−33.9%ReducedHistory
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–
ASXCAsensus Surgical, Inc.COM10,747$11.0K<0.1%−18,273−63.0%ReducedHistory
HEPAHepion Pharmaceuticals, Inc.COM10,000$11.0K<0.1%+10,000NewHistory
Valens Semiconductor Ltd.M9607U107*W EXP 12/12/20220,200$11.0K<0.1%+20,200New–
NAKNorthern Dynasty Minerals LtdCOM NEW38,050$12.0K<0.1%00.0%UnchangedHistory
GTEGran Tierra Energy Inc.COM16,438$12.0K<0.1%−1,050−6.0%ReducedHistory
AQMSAqua Metals, Inc.COM11,197$13.0K<0.1%00.0%UnchangedHistory
KALAKALA BIO, Inc.COM11,392$13.0K<0.1%−1,588−12.2%ReducedHistory
Southwest Airls Co844741BG2NOTE 1.250% 5/010,000$13.0K<0.1%00.0%Unchanged–
SPPISpectrum Pharmaceuticals IncCOM10,850$13.0K<0.1%00.0%UnchangedHistory
ARTLArtelo Biosciences, Inc.COM NEW27,470$14.0K<0.1%+27,470NewHistory
CNSPCNS Pharmaceuticals, Inc.COM20,000$14.0K<0.1%00.0%UnchangedHistory
Fireeye Inc31816QAD3NOTE 1.625% 6/015,000$14.0K<0.1%00.0%Unchanged–
CBIOCrescent Biopharma, Inc.COM10,000$14.0K<0.1%00.0%UnchangedHistory
Omeros Corp682143AE2NOTE 6.250%11/116,000$14.0K<0.1%+16,000New–
Cybin Ord23256X100COM12,852$15.0K<0.1%+652+5.3%Added–
AIFAAll In FutureTech Alliance, Inc.COM10,425$17.0K<0.1%00.0%UnchangedHistory
COCPCocrystal Pharma, Inc.COM26,549$17.0K<0.1%+10,000+60.4%AddedHistory
EVFMEvofem Biosciences, Inc.COM45,367$17.0K<0.1%−25,173−35.7%ReducedHistory
MBIOMustang Bio, Inc.COM10,525$17.0K<0.1%00.0%UnchangedHistory
BIOLBiolase, IncCOM NEW46,396$18.0K<0.1%−3,000−6.1%ReducedHistory
AMPEAmpio Pharmaceuticals, Inc.COM33,626$19.0K<0.1%−2,000−5.6%ReducedHistory
MRKRMarker Therapeutics, Inc.COM20,465$19.0K<0.1%+1,436+7.5%AddedHistory
AGTCApplied Genetic Technologies CorpCOM10,614$20.0K<0.1%+10,614NewHistory
Forum Energy Technologies IN34984VAC4NOTE 9.000% 8/023,000$20.0K<0.1%+23,000New–
New Relic, Inc.64829BAB6NOTE 0.500% 5/017,000$20.0K<0.1%+17,000New–
VANIVivani Medical, Inc.COM NEW12,625$20.0K<0.1%+12,625NewHistory
Vonage Hldgs Corp92886TAJ1NOTE 1.750% 6/015,000$20.0K<0.1%+15,000New–
YARWYarrow Bioscience, Inc.COM19,908$20.0K<0.1%00.0%UnchangedHistory
OBSVObsEva SACOM10,284$20.0K<0.1%00.0%UnchangedHistory
BSFCBlue Star Foods Corp.COM12,500$20.0K<0.1%+12,500NewHistory
Ares Capital Corp04010LAT0NOTE 3.750% 2/020,000$21.0K<0.1%00.0%Unchanged–
Liberty Media Corp530715AL5DEB 3.750% 2/128,137$21.0K<0.1%−101−0.4%Reduced–
UBXUnity Biotechnology, Inc.COM14,618$21.0K<0.1%+3,921+36.7%AddedHistory
DRRXDurect CorpCOM22,955$22.0K<0.1%+1,000+4.6%AddedHistory
SNMPEvolve Transition Infrastructure LPCOM UNITS REP B40,493$23.0K<0.1%+40,493NewHistory
SDCSmileDirectClub, Inc.CL A COM10,079$23.0K<0.1%−2,811−21.8%ReducedHistory
TPHSTrinity Place Holdings Inc.COM12,502$23.0K<0.1%+12,502NewHistory
YTRAYatra Online, Inc.ORD SHS13,775$23.0K<0.1%+1,250+10.0%AddedHistory
ASMAvino Silver & Gold Mines LtdCOM28,000$24.0K<0.1%+28,000NewHistory
CLRBCellectar Biosciences, Inc.COM PAR36,799$24.0K<0.1%+2,325+6.7%AddedHistory
EVGNEvogene Ltd.SHS15,223$24.0K<0.1%+1,125+8.0%AddedHistory
CFMSConformis IncCOM32,901$25.0K<0.1%+5,000+17.9%AddedHistory
Hexo Corp428304307COM NEW36,314$25.0K<0.1%+14,186+64.1%Added–
SUNESUNation Energy, Inc.COM11,177$26.0K<0.1%+11,177NewHistory
GLDGGoldMining Inc.COM21,932$26.0K<0.1%00.0%UnchangedHistory
Field Trip Health Ord31656R102COM11,200$27.0K<0.1%+11,200New–
TXMDTherapeuticsMD, Inc.COM77,200$27.0K<0.1%−1,000−1.3%ReducedHistory
RDHLRedHill Biopharma Ltd.SPONSORED ADS11,237$28.0K<0.1%−450−3.9%ReducedHistory
CARMCarisma Therapeutics Inc.COM34,423$28.0K<0.1%−10,500−23.4%ReducedHistory
XWELXWELL, Inc.COM14,136$28.0K<0.1%−1,100−7.2%ReducedHistory
APTXAptinyx Inc.COM11,100$29.0K<0.1%+11,100NewHistory
LogicBio Therapeutics, Inc.54142F102COM12,908$29.0K<0.1%+72+0.6%Added–
MTNBMatinas BioPharma Holdings, Inc.COM29,000$29.0K<0.1%−23,400−44.7%ReducedHistory
Titan Med Inc88830X819COM NEW47,966$29.0K<0.1%−892−1.8%Reduced–
ADMAAdma Biologics, Inc.COM23,010$32.0K<0.1%−2,000−8.0%ReducedHistory
REIRing Energy, Inc.COM14,400$32.0K<0.1%−1,500−9.4%ReducedHistory
VEONVEON Ltd.SPONSORED ADR18,867$32.0K<0.1%+18,867NewHistory
CRNTCeragon Networks LtdStock12,975$33.0K<0.1%+1,615+14.2%AddedHistory
PLXProtalix BioTherapeutics, Inc.COM40,290$33.0K<0.1%+40,290NewHistory
GTBPGT Biopharma, Inc.COM NEW11,052$33.0K<0.1%+11,052NewHistory
Western Digital Corp958102AP0NOTE 1.500% 2/033,000$33.0K<0.1%00.0%Unchanged–
GALTGalectin Therapeutics IncCOM NEW16,902$34.0K<0.1%+5,000+42.0%AddedHistory
DNNDenison Mines Corp.COM26,043$35.0K<0.1%+3,104+13.5%AddedHistory
VGZVista Gold CorpCOM NEW50,000$35.0K<0.1%+50,000NewHistory
Emx Rty Corp26873J107COM16,019$36.0K<0.1%00.0%Unchanged–
HIVEHIVE Digital Technologies Ltd.COM13,820$36.0K<0.1%−400−2.8%ReducedHistory
NEWPNew Pacific Metals CorpCOMMON STOCK12,260$36.0K<0.1%+12,260NewHistory
OPTTOcean Power Technologies, Inc.COM NEW25,114$37.0K<0.1%+500+2.0%AddedHistory
AGENAgenus IncCOM NEW11,721$37.0K<0.1%−10,901−48.2%ReducedHistory
GNCAGenocea Biosciences, Inc.COM NEW31,981$37.0K<0.1%+10,576+49.4%AddedHistory
RGLSRegulus Therapeutics Inc.COM NEW119,000$37.0K<0.1%+8,000+7.2%AddedHistory
UPHLUpHealth, Inc.COM17,025$38.0K<0.1%+2,500+17.2%AddedHistory
CCOClear Channel Outdoor Holdings, Inc.COM12,041$39.0K<0.1%00.0%UnchangedHistory
TGBTrekor Metals LtdCOM19,595$40.0K<0.1%00.0%UnchangedHistory
VTGNVistagen Therapeutics, Inc.COM NEW20,695$40.0K<0.1%−2,840−12.1%ReducedHistory
NBEVNewAge, Inc.COM41,093$42.0K<0.1%−2,220−5.1%ReducedHistory
SEELSeelos Therapeutics, Inc.COM26,361$42.0K<0.1%+2,000+8.2%AddedHistory
Beachbody Company, Inc.073463101COM CL A18,083$42.0K<0.1%+191+1.1%Added–
CTXRCitius Pharmaceuticals, Inc.COM NEW28,339$43.0K<0.1%−5,977−17.4%ReducedHistory
HOFVHall of Fame Resort & Entertainment CoCOM29,522$44.0K<0.1%+6,192+26.5%AddedHistory
New Gold Inc Cda644535106COM29,779$44.0K<0.1%+16,929+131.7%Added–
New York Mtg Tr Inc649604AD7NOTE 6.250% 1/145,000$45.0K<0.1%00.0%Unchanged–
DRKDarkHorse Technologies Inc.COM14,717$45.0K<0.1%+14,717NewHistory
NNBRNN IncCOM11,265$46.0K<0.1%00.0%UnchangedHistory
ASMBAssembly Biosciences, Inc.COM19,949$46.0K<0.1%−350−1.7%ReducedHistory
QTTBQ32 Bio Inc.COM12,797$46.0K<0.1%+1,035+8.8%AddedHistory

Sold out since Q3 2021 (179)

Positions held at the end of Q3 2021 that are gone from this filing.

The largest 100 of 179 by value last quarter.

Positions of Commonwealth Equity Services, LLC sold out since Q3 2021
SecurityClassShares in Q3 2021Value in Q3 2021% of portfolio in Q3 2021History
PCIPIMCO Dynamic Credit & Mortgage Income FundCOM SHS450,993$9.53M<0.1%History
BSCLBILI Social International, Inc.BULSHS 2021 CB370,410$7.81M<0.1%History
iShares Tr46434VBK5IBONDS DEC21 ETF223,922$5.54M<0.1%–
PKOPIMCO Income Opportunity FundCOM211,881$5.19M<0.1%History
iShares Tr46435G789IBONDS DEC2021134,411$3.44M<0.1%–
EBSBMeridian Bancorp, Inc.COM150,215$3.12M<0.1%History
iShares Tr46435U226IBONDS 21 TRM HG114,204$2.76M<0.1%–
LGIHLGI Homes, Inc.COM16,794$2.38M<0.1%History
VERVEREIT, Inc.COM45,532$2.06M<0.1%History
CXPColumbia Property Trust, Inc.COM NEW95,923$1.82M<0.1%History
KSUKansas City SouthernCOM NEW6,431$1.74M<0.1%History
RPAIRetail Properties of America, Inc.CL A120,697$1.55M<0.1%History
Nuveen Select Tax Free Incom67063X100SH BEN INT88,739$1.53M<0.1%–
Bancorpsouth BK Tupelo Miss05971J102COM47,832$1.42M<0.1%–
Simplify Exchange Traded Fun82889N202US EQT PLS DWNSD45,034$1.37M<0.1%–
HRCHill-Rom Holdings, Inc.COM9,134$1.37M<0.1%History
Innovator ETFs Tr II45783G102LADRD FD S&P 50034,469$1.20M<0.1%–
Innovator ETFs Tr II45783G201S&P INVSTMNT GRD44,558$1.07M<0.1%–
UPBDUpbound Group, Inc.COM18,081$1.02M<0.1%History
Rada Electr Inds LtdM81863124COM PAR NEW89,038$947.0K<0.1%–
KRAKraton CorpCOM18,150$828.0K<0.1%History
Simplify Exchange Traded Fun82889N103US EQT PLS CNVEX26,435$810.0K<0.1%–
AMGAffiliated Managers Group, Inc.Stock5,321$804.0K<0.1%History
ANFAbercrombie & Fitch CoCL A21,132$795.0K<0.1%History
CARAvis Budget Group, Inc.COM6,610$770.0K<0.1%History
INZYInozyme Pharma, Inc.COM65,781$762.0K<0.1%History
AXNXAxonics, Inc.COM11,645$757.0K<0.1%History
Invesco BulletShares 2021 HY Corp (BSJL)46138J809Exchange Traded Fund32,346$743.0K<0.1%–
SFIXStitch Fix, Inc.Stock18,204$727.0K<0.1%History
Monmouth Real Estate Investment Corp609720107CL A37,672$702.0K<0.1%–
XRAYDentsply Sirona Inc.Stock12,031$698.0K<0.1%History
ALTAAltabancorpCOM15,653$691.0K<0.1%History
MAXRMaxar Technologies Inc.COM24,008$679.0K<0.1%History
BMBLBumble Inc.COM CL A13,464$672.0K<0.1%History
Exchange Listed FDS Tr30151E780QRAFT AI US MMTM18,641$650.0K<0.1%–
CBANColony Bankcorp IncCOM32,398$603.0K<0.1%History
CNBKACentury Bancorp IncCL A NON VTG4,984$574.0K<0.1%History
Nuveen Corporate Incm Noveme67077N106COM60,238$565.0K<0.1%–
LMRKLandmark Infrastructure Partners LPCOM UNIT LTD31,407$513.0K<0.1%History
VMEOVimeo, Inc.COMMON STOCK16,348$480.0K<0.1%History
Nuveen Select Tax Free Incom67063C106SH BEN INT30,540$476.0K<0.1%–
BFHBread Financial Holdings, Inc.COM4,714$475.0K<0.1%History
SVBISevern Bancorp IncCOM37,313$467.0K<0.1%History
AMWLAmerican Well CorpCL A50,320$458.0K<0.1%History
MDPHawkeye Acquisition, Inc.COM8,174$455.0K<0.1%History
ACCDAccolade, Inc.COM10,629$448.0K<0.1%History
WHDCactus, Inc.CL A11,637$438.0K<0.1%History
FLXNFlexion Therapeutics IncCOM70,956$432.0K<0.1%History
EBSEmergent BioSolutions Inc.COM8,332$417.0K<0.1%History
CoreSite Realty Corp21870Q105COM2,856$395.0K<0.1%–
FRPTFreshpet, Inc.Stock2,603$371.0K<0.1%History
AXGNAxogen, Inc.COM23,301$368.0K<0.1%History
VXXBarclays Bank PLCETF12,916$359.0K<0.1%History
CVACovanta Holding CorpCOM17,343$348.0K<0.1%History
DAYDayforce, Inc.COM3,049$343.0K<0.1%History
CSTLCastle Biosciences IncCOM5,071$337.0K<0.1%History
LSPDLightspeed Commerce Inc.SUB VTG SHS3,468$334.0K<0.1%History
CDLXCardlytics, Inc.COM3,970$333.0K<0.1%History
JRVRJames River Group Holdings, Inc.COM8,703$328.0K<0.1%History
NPOEnpro Inc.COM3,716$323.0K<0.1%History
Invesco Exchange Traded FD T46137V324S&P500 EQL IND1,759$321.0K<0.1%–
STMPStamps.com IncCOM NEW965$318.0K<0.1%History
VLTInvesco High Income Trust IICOM21,669$316.0K<0.1%History
iShares Tr46435G250HIGH YLD SYSTM B5,898$305.0K<0.1%–
Amplify ETF Tr032108870INTL ONLINE6,702$305.0K<0.1%–
SWCHSwitch, Inc.CL A11,987$304.0K<0.1%History
Nuveen Diversified Divid & I6706EP105COM29,172$302.0K<0.1%–
Guggenheim CR Allocation FD40168G108COM14,512$300.0K<0.1%–
UDNInvesco DB US Dollar Index Bearish FundBEARISH FD14,580$300.0K<0.1%History
Simplify Exchange Traded Fun82889N780TAIL RISK STRAT12,106$299.0K<0.1%–
ARCHArch Resources, Inc.CL A3,151$292.0K<0.1%History
STRAStrategic Education, Inc.COM4,121$290.0K<0.1%History
DMTKDermTech, Inc.COM9,037$290.0K<0.1%History
Hoegh LNG Partners LPY3262R100COM UNIT LTD58,723$288.0K<0.1%–
LSFLaird Superfood, Inc.COM STK15,034$286.0K<0.1%History
Northern LTS FD Tr IV66538H591MAIN SECTR ROTN6,963$283.0K<0.1%–
IECIec Electronics CorpCOM18,350$281.0K<0.1%History
CELHCelsius Holdings, Inc.COM NEW3,092$278.0K<0.1%History
Invesco Exchange Traded FD T46137Y500ZACKS MULT AST11,538$274.0K<0.1%–
REGIRenewable Energy Group, Inc.COM NEW5,446$273.0K<0.1%History
WOOFPetco Health & Wellness Company, Inc.CL A COM12,671$267.0K<0.1%History
XMQualtrics International Inc.COM CL A6,138$262.0K<0.1%History
ZIPZiprecruiter, Inc.CL A9,485$261.0K<0.1%History
CMPSCOMPASS Pathways plcSPONSORED ADS8,615$257.0K<0.1%History
VMMDelaware Investments Minnesota Municipal Income Fund II, IncCOM18,002$255.0K<0.1%History
SBOWSilverbow Resources, Inc.COM10,303$252.0K<0.1%History
PCTPureCycle Technologies, Inc.COM18,864$250.0K<0.1%History
OXMOxford Industries IncCOM2,774$250.0K<0.1%History
SIGSignet Jewelers LtdSHS3,154$249.0K<0.1%History
FOXAFox CorpCL A COM6,189$248.0K<0.1%History
LILi Auto Inc.SPONSORED ADS9,163$240.0K<0.1%History
CGNTCognyte Software Ltd.ORD SHS11,611$238.0K<0.1%History
CRSRCorsair Gaming, Inc.COM9,159$237.0K<0.1%History
SNBRQSleep Number CorpCOM2,538$237.0K<0.1%History
KDMNKadmon Holdings, Inc.COM27,038$235.0K<0.1%History
IOVAIovance Biotherapeutics, Inc.COM9,491$234.0K<0.1%History
PMTSCPI Card Group Inc.COM NEW6,702$232.0K<0.1%History
XLRNAcceleron Pharma IncCOM1,349$232.0K<0.1%History
RAVNRaven Industries IncCOM3,980$229.0K<0.1%History
EVEREverQuote, Inc.COM CL A12,250$228.0K<0.1%History