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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
TTOOT2 Biosystems, Inc.COM89,510$46.0K<0.1%+28,000+45.5%AddedHistory
ARDSAridis Pharmaceuticals, Inc.COM20,200$47.0K<0.1%+20,200NewHistory
GSATGlobalstar, Inc.COM40,914$47.0K<0.1%+6,200+17.9%AddedHistory
UECUranium Energy CorpCOM14,529$48.0K<0.1%+14,529NewHistory
ATOSAtossa Therapeutics, Inc.COM30,442$48.0K<0.1%+2,000+7.0%AddedHistory
BKYIBio Key International IncCOM NEW22,000$48.0K<0.1%+22,000NewHistory
MILEMetromile, LLCCOM22,355$48.0K<0.1%−4,175−15.7%ReducedHistory
IFRXInflaRx N.V.COM10,100$48.0K<0.1%+10,100NewHistory
MAMAMama's Creations, Inc.COM24,600$49.0K<0.1%+100+0.4%AddedHistory
ACGNAceragen, Inc.COM PAR86,662$49.0K<0.1%00.0%UnchangedHistory
CTSOCytosorbents CorpCOM NEW12,023$50.0K<0.1%−4,636−27.8%ReducedHistory
AVGRAvinger IncCOM112,272$50.0K<0.1%+25,000+28.6%AddedHistory
VIEWView, Inc.COM CL A12,899$50.0K<0.1%00.0%UnchangedHistory
NAVBNavidea Biopharmaceuticals, Inc.COM NEW51,203$51.0K<0.1%+51,203NewHistory
VSTMVerastem, Inc.COM25,300$51.0K<0.1%−1,500−5.6%ReducedHistory
NXENexGen Energy Ltd.COM11,999$52.0K<0.1%+1,000+9.1%AddedHistory
SCORComscore, Inc.COM15,650$52.0K<0.1%+1,500+10.6%AddedHistory
HGENHumanigen, IncCOM NEW14,090$52.0K<0.1%+14,090NewHistory
ATHXAthersys, IncCOM58,784$53.0K<0.1%−17,500−22.9%ReducedHistory
MVISMicrovision, Inc.COM NEW10,841$54.0K<0.1%−10,460−49.1%ReducedHistory
HOSHornbeck Offshore Services, Inc.Stock17,669$55.0K<0.1%+6,215+54.3%AddedHistory
LXRXLexicon Pharmaceuticals, Inc.COM NEW14,276$56.0K<0.1%00.0%UnchangedHistory
CMUMFS High Yield Municipal TrustSH BEN INT12,402$56.0K<0.1%00.0%UnchangedHistory
PRETQPennsylvania Real Estate Investment TrustSH BEN INT54,901$56.0K<0.1%−2,515−4.4%ReducedHistory
IQiQIYI, Inc.SPONSORED ADS12,633$57.0K<0.1%−1,250−9.0%ReducedHistory
PXLWPixelworks, IncCOM NEW13,273$58.0K<0.1%00.0%UnchangedHistory
BGCBGC Group, Inc.CL A12,886$59.0K<0.1%−250−1.9%ReducedHistory
CIFMFS Intermediate High Income FundSH BEN INT21,558$59.0K<0.1%−1,000−4.4%ReducedHistory
LABStandard Biotools Inc.COM15,452$60.0K<0.1%+15,452NewHistory
SFTGQShift Technologies, Inc.CL A17,829$60.0K<0.1%+17,829NewHistory
PTNPalatin Technologies IncCOM PAR $ .01119,745$61.0K<0.1%+61,080+104.1%AddedHistory
SBSafe Bulkers, Inc.COM16,553$62.0K<0.1%−18,924−53.3%ReducedHistory
DAREDare Bioscience, Inc.COM31,375$62.0K<0.1%+5,500+21.3%AddedHistory
ATIPATI Physical Therapy, Inc.COM CL A18,500$62.0K<0.1%+18,500NewHistory
IVRInvesco Mortgage Capital Inc.COM23,230$64.0K<0.1%−13,586−36.9%ReducedHistory
CHSChico's Fas, Inc.COM12,487$67.0K<0.1%+12,487NewHistory
SQFTPresidio Property Trust, Inc.COM CL A17,184$67.0K<0.1%+4,777+38.5%AddedHistory
CIKUBS Asset Management Income Fund, Inc.COM20,028$68.0K<0.1%+64+0.3%AddedHistory
SOLOElectrameccanica Vehicles Corp.COM NEW29,893$68.0K<0.1%+2,651+9.7%AddedHistory
ZOMDFZomedica Corp.COM225,461$69.0K<0.1%−226,180−50.1%ReducedHistory
ACHRArcher Aviation Inc.Stock11,909$71.0K<0.1%+349+3.0%AddedHistory
EOLSEvolus, Inc.COM11,000$71.0K<0.1%−100−0.9%ReducedHistory
TDAYUSA TODAY Co., Inc.COM14,146$75.0K<0.1%−1,591−10.1%ReducedHistory
SIENProject Sage Oldco, Inc.COM20,670$75.0K<0.1%−62−0.3%ReducedHistory
AATCAutoscope Technologies CorpCOM12,051$75.0K<0.1%+12,051NewHistory
CNSLConsolidated Communications Holdings, Inc.COM10,225$76.0K<0.1%−6,701−39.6%ReducedHistory
SIGASiga Technologies IncCOM10,290$77.0K<0.1%00.0%UnchangedHistory
ASURAsure Software IncCOM10,183$79.0K<0.1%00.0%UnchangedHistory
CCLDCareCloud, Inc.COM12,640$79.0K<0.1%+12,640NewHistory
AQBAquabounty Technologies IncCOM NEW37,918$79.0K<0.1%−15,486−29.0%ReducedHistory
NEXANexa Resources S.A.COM10,310$81.0K<0.1%+10,310NewHistory
BCDABioCardia, Inc.COM42,307$82.0K<0.1%+25,815+156.5%AddedHistory
Qiwi PLC74735M108SPON ADR REP B10,304$82.0K<0.1%+10,304New–
KMFKayne Anderson NextGen Energy & Infrastructure, Inc.COM11,578$83.0K<0.1%−1,157−9.1%ReducedHistory
SNDLSNDL Inc.COM143,827$83.0K<0.1%+3,362+2.4%AddedHistory
NMLNeuberger Energy Infrastructure & Income Fund Inc.COM16,319$85.0K<0.1%−806−4.7%ReducedHistory
PRVBProvention Bio, Inc.COM15,185$85.0K<0.1%−3,600−19.2%ReducedHistory
HYLNHyliion Holdings Corp.COMMON STOCK13,880$86.0K<0.1%−31,639−69.5%ReducedHistory
AUMNGolden Minerals CoCOM248,389$86.0K<0.1%−10,000−3.9%ReducedHistory
CPRXCatalyst Pharmaceuticals, Inc.COM12,855$87.0K<0.1%+641+5.2%AddedHistory
IAGIamgold CorpCOM28,063$87.0K<0.1%−200−0.7%ReducedHistory
KPTIKaryopharm Therapeutics Inc.COM13,690$88.0K<0.1%+950+7.5%AddedHistory
AVTXAvalo Therapeutics, Inc.COM52,000$88.0K<0.1%00.0%UnchangedHistory
FUVArcimoto IncCOM11,588$90.0K<0.1%−140−1.2%ReducedHistory
Camber Energy Inc13200M508COM106,950$90.0K<0.1%−3,350−3.0%Reduced–
ORGNOrigin Materials, Inc.COM14,079$90.0K<0.1%+2,039+16.9%AddedHistory
CDECoeur Mining, Inc.COM NEW18,092$91.0K<0.1%−5,790−24.2%ReducedHistory
BACKIMAC Holdings, Inc.COM80,000$91.0K<0.1%00.0%UnchangedHistory
DYAIDyadic International IncCOM20,368$92.0K<0.1%+7,206+54.7%AddedHistory
Goldman Sachs BDC, Inc.38147UAB3NOTE 4.500% 4/092,000$92.0K<0.1%00.0%Unchanged–
FROFrontline plcSHS NEW13,031$92.0K<0.1%+279+2.2%AddedHistory
HYZNHyzon Motors Inc.COMMON STOCK14,255$92.0K<0.1%+1,298+10.0%AddedHistory
ASTSAST SpaceMobile, Inc.COM CL A11,731$93.0K<0.1%+11,731NewHistory
APPHAppHarvest, Inc.COM23,956$93.0K<0.1%−26,425−52.5%ReducedHistory
BlackRock Cap Invt Corp092533AC2NOTE 5.000% 6/193,000$93.0K<0.1%00.0%Unchanged–
AIXCFF EAI Robotics Ecosystem Inc.COM87,510$93.0K<0.1%−50,000−36.4%ReducedHistory
RESNResonant IncCOM54,675$93.0K<0.1%+4,906+9.9%AddedHistory
SVMSilvercorp Metals IncCOM25,087$94.0K<0.1%−2,435−8.8%ReducedHistory
GRABGrab Holdings LtdCLASS A ORD13,200$94.0K<0.1%+13,200NewHistory
CVGICommercial Vehicle Group, Inc.COM11,750$94.0K<0.1%−2,000−14.5%ReducedHistory
LCTXLineage Cell Therapeutics, Inc.COM38,629$94.0K<0.1%−5,310−12.1%ReducedHistory
USAUU.S. Gold Corp.COM NEW10,567$94.0K<0.1%+10,567NewHistory
CIGEnergy Co of Minas GeraisSP ADR N-V PFD39,420$95.0K<0.1%+8,581+27.8%AddedHistory
GNTGAMCO Natural Resources, Gold & Income TrustSH BEN INT17,950$96.0K<0.1%+2,580+16.8%AddedHistory
UWMCUWM Holdings CorpCOM CL A16,663$98.0K<0.1%−10,902−39.6%ReducedHistory
ADILAdial Pharmaceuticals, Inc.COM36,461$98.0K<0.1%00.0%UnchangedHistory
TOONKartoon Studios, Inc.COM94,086$98.0K<0.1%+66,000+235.0%AddedHistory
ALTOAlto Ingredients, Inc.COM20,816$100.0K<0.1%−163−0.8%ReducedHistory
Ares Capital Corp04010LAW3NOTE 4.625% 3/088,000$100.0K<0.1%00.0%Unchanged–
CVVCVD Equipment CorpCOM24,815$102.0K<0.1%+1,050+4.4%AddedHistory
Transglobe Energy Corp893662106COM34,000$102.0K<0.1%00.0%Unchanged–
PCFHigh Income Securities FundSHS BEN INT12,019$103.0K<0.1%+12,019NewHistory
CXEMFS High Income Municipal TrustSH BEN INT20,298$103.0K<0.1%+50.0%AddedHistory
SBEASBEA Merger Sub LLCCOM CL A10,211$103.0K<0.1%+10,211NewHistory
VFFVillage Farms International, Inc.COM16,310$104.0K<0.1%−7,155−30.5%ReducedHistory
Invesco High Income 2023 Tar46135X108COM11,205$104.0K<0.1%+53+0.5%Added–
SPRUSpruce Power Holding CorpCOM CL A31,487$104.0K<0.1%−5,830−15.6%ReducedHistory
Jack Creek Investment Corp.G4989X107UNIT 10/01/202310,490$104.0K<0.1%00.0%Unchanged–
DIDIYDiDi Global Inc.SPONSORED ADS20,955$104.0K<0.1%−18,008−46.2%ReducedHistory
HRTXHeron Therapeutics, Inc.COM11,602$105.0K<0.1%−19,458−62.6%ReducedHistory

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