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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
ASTRAstra Space, Inc.Common Stock15,276$105.0K<0.1%−2,635−14.7%ReducedHistory
HMYHarmony Gold Mining Co LtdADR26,006$106.0K<0.1%+5,572+27.3%AddedHistory
EODAllspring Global Dividend Opportunity FundCOM18,223$107.0K<0.1%−2,164−10.6%ReducedHistory
LITSLite Strategy, Inc.COM NEW40,100$107.0K<0.1%+100+0.3%AddedHistory
GGALGrupo Financiero Galicia SASPONSORED ADR11,523$109.0K<0.1%−26,446−69.7%ReducedHistory
First Tr MLP & Energy Incom33739B104COM15,126$109.0K<0.1%−502−3.2%Reduced–
LMPXLMP Automotive Holdings, Inc.COM15,630$109.0K<0.1%−1,000−6.0%ReducedHistory
FTFFranklin Ltd Duration Income TrustCOM12,247$111.0K<0.1%−8,589−41.2%ReducedHistory
ROIIRiskOn International, Inc.Common Stock50,713$113.0K<0.1%−500−1.0%ReducedHistory
FST Tr New Opport MLP & Ene33739M100COM20,947$114.0K<0.1%+20,947New–
TELFYTelefonica S ASPONSORED ADR27,344$115.0K<0.1%−363−1.3%ReducedHistory
IGAVoya Global Advantage & Premium Opportunity FundCOM11,165$115.0K<0.1%00.0%UnchangedHistory
OTLYOatly Group ABSPONSORED ADS14,448$115.0K<0.1%−9,345−39.3%ReducedHistory
VBIVVBI Vaccines Inc/BCCOM NEW50,401$117.0K<0.1%−119,854−70.4%ReducedHistory
Wheeler Real Estate Investment Trust, Inc.963025309CPR17,460$117.0K<0.1%+17,460New–
Custom Truck One23204X111COM46,500$118.0K<0.1%00.0%Unchanged–
Polymet MNG Corp731916409COM NEW47,369$118.0K<0.1%−10,214−17.7%Reduced–
BARKBark, Inc.COM27,983$118.0K<0.1%+395+1.4%AddedHistory
WRAPWrap Technologies, Inc.COM30,394$119.0K<0.1%+1,567+5.4%AddedHistory
EGOEldorado Gold CorpCOM12,766$119.0K<0.1%+15+0.1%AddedHistory
XFLTXAI Floating Rate & Alternative Income TrustCOM13,560$120.0K<0.1%+397+3.0%AddedHistory
UPWheels Up Experience Inc.COMMON STOCK25,945$120.0K<0.1%+10,490+67.9%AddedHistory
BTUPeabody Energy CorpCOM12,042$121.0K<0.1%+474+4.1%AddedHistory
OSUROrasure Technologies IncCOM13,969$121.0K<0.1%+3,362+31.7%AddedHistory
AVDLAvadel Pharmaceuticals PLCSPONSORED ADR15,136$122.0K<0.1%−1,621−9.7%ReducedHistory
CULLCullman Bancorp, Inc.COM10,000$122.0K<0.1%00.0%UnchangedHistory
FPIFarmland Partners Inc.COM10,346$123.0K<0.1%−182−1.7%ReducedHistory
PRTSCarParts.com, Inc.COM11,220$125.0K<0.1%−2,300−17.0%ReducedHistory
UNGUnited States Natural Gas Fund, LPUNIT PAR10,025$125.0K<0.1%+10,025NewHistory
BRWSaba Capital Income & Opportunities FundSHARES27,686$125.0K<0.1%−27−0.1%ReducedHistory
VUZIVuzix CorpCOM NEW14,613$126.0K<0.1%−2,265−13.4%ReducedHistory
Enerplus Corp292766102COM11,939$126.0K<0.1%−519−4.2%Reduced–
Star Equity Holdings, Inc.85513Q103COM50,000$127.0K<0.1%00.0%Unchanged–
ASXASE Technology Holding Co., Ltd.SPONSORED ADS16,484$128.0K<0.1%+16,484NewHistory
BTGB2GOLD CorpCOM32,596$128.0K<0.1%−18,180−35.8%ReducedHistory
BIORBiora Therapeutics, Inc.COM61,554$128.0K<0.1%+61,554NewHistory
Sandstorm Gold Ltd Com New80013R206Stock20,954$129.0K<0.1%+2,213+11.8%Added–
VLDRVelodyne Lidar, Inc.COM27,822$129.0K<0.1%+27,822NewHistory
DCFBNY Mellon Alcentra Global Credit Income 2024 Target Term Fund, Inc.COM14,100$130.0K<0.1%+14,100NewHistory
EAREargo, Inc.COM25,605$130.0K<0.1%−6,733−20.8%ReducedHistory
ProShares Tr74347G861ULTRAPRO SHT QQQ22,027$130.0K<0.1%+10,007+83.3%Added–
Arrival GroupL0423Q108SHS17,691$131.0K<0.1%−80.0%Reduced–
Northern Genesis Acquisition Corp.536221104NORTHERN GENESIS ACQUISITION CORP.13,311$132.0K<0.1%−8,543−39.1%Reduced–
BKKTBakkt, Inc.COM CL A15,512$132.0K<0.1%+15,512NewHistory
PNIPIMCO New York Municipal Income Fund IICOM11,805$133.0K<0.1%+32+0.3%AddedHistory
GERNGeron CorpCOM109,293$133.0K<0.1%+1,000+0.9%AddedHistory
ASGLiberty All Star Growth Fund Inc.COM14,777$133.0K<0.1%00.0%UnchangedHistory
GEOGeo Group IncCOM17,289$134.0K<0.1%+157+0.9%AddedHistory
AXTIAxt IncCOM15,230$134.0K<0.1%+15,230NewHistory
BRMKBroadmark Realty Capital Inc.COM14,214$134.0K<0.1%+496+3.6%AddedHistory
ELMDElectromed, Inc.Stock10,417$135.0K<0.1%00.0%UnchangedHistory
DEXDelaware Enhanced Global Dividend & Income FundCOM13,387$135.0K<0.1%+13,387NewHistory
PRPHProPhase Labs, Inc.COM18,866$135.0K<0.1%00.0%UnchangedHistory
WITWipro LtdSPON ADR 1 SH14,035$136.0K<0.1%+3,819+37.4%AddedHistory
Golden Ocean Group LtdG39637205SHS NEW14,703$136.0K<0.1%+14,703New–
PBPBPotbelly CorpCOM25,050$139.0K<0.1%00.0%UnchangedHistory
MEHCQChrome Holding Co.CLASS A COM20,957$139.0K<0.1%+5,570+36.2%AddedHistory
GLADGladstone Capital CorpCOM12,129$140.0K<0.1%+267+2.3%AddedHistory
RSKDRiskified Ltd.SHS CL A18,115$142.0K<0.1%+4,564+33.7%AddedHistory
KOSKosmos Energy Ltd.COM41,102$142.0K<0.1%−19,966−32.7%ReducedHistory
Cyxtera Technolo23284C110EQUITY WRT42,993$143.0K<0.1%−6,973−14.0%Reduced–
VLTAVolta Inc.COM CL A19,578$143.0K<0.1%+8,395+75.1%AddedHistory
GPROGoPro, Inc.CL A14,049$144.0K<0.1%−108−0.8%ReducedHistory
AYTUAytu Biopharma, IncCOM NEW107,786$145.0K<0.1%+68+0.1%AddedHistory
GNOGGolden Nugget Online Gaming, Inc.COM CL A14,620$145.0K<0.1%−4,050−21.7%ReducedHistory
VXRTVaxart, Inc.COM NEW23,272$145.0K<0.1%−5,125−18.0%ReducedHistory
NOVNOV Inc.COM10,888$147.0K<0.1%−998−8.4%ReducedHistory
NRONeuberger Real Estate Securities Income Fund IncCOM27,976$147.0K<0.1%+1,337+5.0%AddedHistory
FRABlackRock Floating Rate Income Strategies Fund, Inc.COM11,059$148.0K<0.1%+10+0.1%AddedHistory
Bitfarms Ltd Com09173B107Stock29,348$148.0K<0.1%+29,348New–
FEOFirst Trust/Abrdn Emerging Opportunity FundCOM11,272$148.0K<0.1%−200−1.7%ReducedHistory
BBVABanco Bilbao Vizcaya Argentaria, S.A.SPONSORED ADR25,421$149.0K<0.1%−3,089−10.8%ReducedHistory
Macquarie Infrastructure Cor55608B105COM40,951$149.0K<0.1%+30,751+301.5%Added–
Silvercrest Metals Inc828363101COM19,148$151.0K<0.1%+631+3.4%Added–
CFFNCapitol Federal Financial, Inc.COM13,340$151.0K<0.1%−4,939−27.0%ReducedHistory
MHFWestern Asset Municipal High Income Fund Inc.COM19,169$153.0K<0.1%00.0%UnchangedHistory
ADTADT Inc.COM18,300$153.0K<0.1%+944+5.4%AddedHistory
NXDTNexpoint Diversified Real Estate TrustCOM NEW11,403$154.0K<0.1%+839+7.9%AddedHistory
BNGOBionano Genomics, Inc.COM51,846$155.0K<0.1%−6,224−10.7%ReducedHistory
TCBSTexas Community Bancshares, Inc.COM10,000$155.0K<0.1%00.0%UnchangedHistory
EQXEquinox Gold Corp.COM23,651$159.0K<0.1%+338+1.4%AddedHistory
OGIOrganigram Global Inc.COM91,419$159.0K<0.1%−4,652−4.8%ReducedHistory
POWWOutdoor Holding CoCOM29,512$160.0K<0.1%+4,756+19.2%AddedHistory
JMIAJumia Technologies AGSPONSORED ADS14,162$161.0K<0.1%−3,074−17.8%ReducedHistory
INNSummit Hotel Properties, Inc.COM16,573$161.0K<0.1%+16,573NewHistory
PHDPioneer Floating Rate Fund, Inc.COM14,000$162.0K<0.1%+2,000+16.7%AddedHistory
GCVGabelli Convertible & Income Securities Fund IncCOM23,699$163.0K<0.1%+12,618+113.9%AddedHistory
ATIAti IncStock10,317$164.0K<0.1%−259−2.4%ReducedHistory
SLDPSolid Power, Inc.CLASS A COM18,787$164.0K<0.1%+18,787NewHistory
ATRSAntares Pharma, Inc.COM46,682$166.0K<0.1%−5,516−10.6%ReducedHistory
NBWNeuberger Berman California Municipal Fund Inc.COM11,923$166.0K<0.1%+11,923NewHistory
RADNew Rite Aid, LLCCOM11,360$166.0K<0.1%−1,397−11.0%ReducedHistory
PTENPatterson Uti Energy IncCOM19,922$168.0K<0.1%−132−0.7%ReducedHistory
NMTR9 Meters Biopharma, Inc.COM172,102$168.0K<0.1%+19,050+12.4%AddedHistory
Just Eat Takeaway Com N V48214T305SPONSORED ADS15,653$168.0K<0.1%+15,653New–
CF Acquisition Corp VI12521J103COM CL A15,641$169.0K<0.1%+15,641New–
PBIPitney Bowes IncCOM25,930$171.0K<0.1%−4,190−13.9%ReducedHistory
HGTYHagerty, Inc.CL A COM12,168$172.0K<0.1%+12,168NewHistory
SLQTSelectQuote, Inc.COM18,984$172.0K<0.1%−86,771−82.0%ReducedHistory
TCRTAlaunos Therapeutics, Inc.COM158,594$172.0K<0.1%+10,928+7.4%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