Skip to main content

Commonwealth Equity Services, LLC

SEC CIK
0000312272
Latest filing
Jul 29, 2026

Holdings in Q3 2022

Holdings as of Sep 30, 2022, filed Nov 14, 2022. Long positions only; changes compare share counts with Q2 2022.

Institution overview
Positions
3,662
+1 vs. Q2 2022
Portfolio value
$37.3B
−$1.12B (−2.9%) vs. Q2 2022
Filed
Nov 14, 2022
SEC
Holdings of Commonwealth Equity Services, LLC in Q3 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
BlackRock Corpor Hi Yld FD I09255L114RIGHT 10/13/2022275,507$00.0%+275,507New–
SQFTWPresidio Property Trust, Inc.*W EXP 01/24/20215,705$1.00K<0.1%00.0%UnchangedHistory
AMPEAmpio Pharmaceuticals, Inc.COM29,526$1.00K<0.1%−2,000−6.3%ReducedHistory
Fednat Hldg Co31431B109COM12,450$1.00K<0.1%00.0%Unchanged–
HGENHumanigen, IncCOM NEW10,690$1.00K<0.1%+10,690NewHistory
TRVNTrevena IncCOM12,508$1.00K<0.1%00.0%UnchangedHistory
AAUAFAlmaden Minerals LtdCOM CL B12,845$2.00K<0.1%00.0%UnchangedHistory
GMBLEsports Entertainment Group, Inc.COM20,285$2.00K<0.1%00.0%UnchangedHistory
KALAKALA BIO, Inc.COM10,192$2.00K<0.1%00.0%UnchangedHistory
DCOYDecoy Therapeutics Inc.COM NEW12,369$2.00K<0.1%−20.0%ReducedHistory
DSSDSS, Inc.COM10,338$2.00K<0.1%−9,200−47.1%ReducedHistory
AUDAudacy, Inc.COM10,000$3.00K<0.1%+10,000NewHistory
CNSPCNS Pharmaceuticals, Inc.COM20,000$3.00K<0.1%00.0%UnchangedHistory
JAGXJaguar Health, Inc.COM NEW21,737$3.00K<0.1%+21,737NewHistory
ELYSElys BMG Group, Inc.COM10,500$4.00K<0.1%−11,250−51.7%ReducedHistory
MRKRMarker Therapeutics, Inc.COM12,400$4.00K<0.1%00.0%UnchangedHistory
REEDReed's, Inc.COM40,000$4.00K<0.1%−10,000−20.0%ReducedHistory
DRKDarkHorse Technologies Inc.COM10,317$4.00K<0.1%00.0%UnchangedHistory
VTGNVistagen Therapeutics, Inc.COM NEW29,111$4.00K<0.1%+7,666+35.7%AddedHistory
AEIAlset Inc.COM20,419$5.00K<0.1%00.0%UnchangedHistory
ASXCAsensus Surgical, Inc.COM11,504$5.00K<0.1%+320+2.9%AddedHistory
CBIOCrescent Biopharma, Inc.COM10,000$5.00K<0.1%00.0%UnchangedHistory
RDHLRedHill Biopharma Ltd.SPONSORED ADS10,837$5.00K<0.1%−1,100−9.2%ReducedHistory
UAMYUnited States Antimony CorpCOM18,790$6.00K<0.1%00.0%UnchangedHistory
UAVSAgEagle Aerial Systems Inc.COM13,202$6.00K<0.1%−112−0.8%ReducedHistory
ALPPAlpine 4 Holdings, Inc.COM12,180$6.00K<0.1%00.0%UnchangedHistory
CATXPerspective Therapeutics, Inc.COM27,284$6.00K<0.1%+1,000+3.8%AddedHistory
COCPCocrystal Pharma, Inc.COM25,000$7.00K<0.1%−1,549−5.8%ReducedHistory
BSFCBlue Star Foods Corp.COM12,500$7.00K<0.1%00.0%UnchangedHistory
Inspirato Inc45791E115EQUITY WRT31,000$7.00K<0.1%00.0%Unchanged–
IMPPImperial Petroleum Inc./Marshall IslandsCOMMON SHARES23,050$7.00K<0.1%+800+3.6%AddedHistory
NAKNorthern Dynasty Minerals LtdCOM NEW32,906$8.00K<0.1%+2,156+7.0%AddedHistory
SIENProject Sage Oldco, Inc.COM13,500$8.00K<0.1%00.0%UnchangedHistory
Teva Pharmaceutical Fin LLC88163VAE9DBCV 0.250% 2/011,000$8.00K<0.1%00.0%Unchanged–
TONXTON Strategy CoCOM18,150$8.00K<0.1%00.0%UnchangedHistory
CFMSConformis IncCOM47,900$9.00K<0.1%+10,000+26.4%AddedHistory
Redwood Tr Inc758075AC9NOTE 4.750% 8/110,000$9.00K<0.1%00.0%Unchanged–
SPRUSpruce Power Holding CorpCOM CL A10,461$9.00K<0.1%−12,676−54.8%ReducedHistory
REEAFREE Automotive Ltd.CLASS A ORD SHS13,518$9.00K<0.1%+13,518NewHistory
SDCSmileDirectClub, Inc.CL A COM12,002$10.0K<0.1%−3,800−24.0%ReducedHistory
ASTRAstra Space, Inc.Common Stock17,855$10.0K<0.1%+2,900+19.4%AddedHistory
UPHLUpHealth, Inc.COM20,425$10.0K<0.1%00.0%UnchangedHistory
SPRCSciSparc Ltd.COM12,005$10.0K<0.1%+12,005NewHistory
FBIOFortress Biotech, Inc.COM13,413$11.0K<0.1%+1,755+15.1%AddedHistory
Southwest Airls Co844741BG2NOTE 1.250% 5/010,000$11.0K<0.1%00.0%Unchanged–
TPHSTrinity Place Holdings Inc.COM12,502$11.0K<0.1%00.0%UnchangedHistory
DPRODraganfly Inc.COM NEW16,186$11.0K<0.1%00.0%UnchangedHistory
BINIBollinger Innovations, Inc.COMMON STOCK35,868$11.0K<0.1%+4,574+14.6%AddedHistory
TRXTRX GOLD CorpCOM28,500$11.0K<0.1%00.0%UnchangedHistory
ADILAdial Pharmaceuticals, Inc.COM36,461$12.0K<0.1%00.0%UnchangedHistory
AIFAAll In FutureTech Alliance, Inc.COM10,425$12.0K<0.1%00.0%UnchangedHistory
Cybin Ord23256X100COM26,722$12.0K<0.1%+6,000+29.0%Added–
CTSOCytosorbents CorpCOM NEW10,129$13.0K<0.1%−885−8.0%ReducedHistory
DRRXDurect CorpCOM22,955$13.0K<0.1%00.0%UnchangedHistory
SNMPEvolve Transition Infrastructure LPCOM UNITS REP B40,493$13.0K<0.1%00.0%UnchangedHistory
PHUNPhunware, Inc.COM11,645$13.0K<0.1%00.0%UnchangedHistory
EVGNEvogene Ltd.SHS16,738$13.0K<0.1%+1,515+10.0%AddedHistory
LFWDLifeward Ltd.SHS15,160$13.0K<0.1%−2,000−11.7%ReducedHistory
VZLAVizsla Silver Corp.COMMONSTOCK11,817$13.0K<0.1%00.0%UnchangedHistory
CKPTCheckpoint Therapeutics, Inc.COM14,400$14.0K<0.1%00.0%UnchangedHistory
GLDGGoldMining Inc.COM18,032$14.0K<0.1%−2,900−13.9%ReducedHistory
Omeros Corp682143AE2NOTE 6.250%11/116,000$14.0K<0.1%00.0%Unchanged–
LITSLite Strategy, Inc.COM NEW40,100$15.0K<0.1%00.0%UnchangedHistory
MBIOMustang Bio, Inc.COM33,262$15.0K<0.1%+13,922+72.0%AddedHistory
CCOClear Channel Outdoor Holdings, Inc.COM12,021$16.0K<0.1%00.0%UnchangedHistory
UBXUnity Biotechnology, Inc.COM43,010$16.0K<0.1%+30,137+234.1%AddedHistory
LABStandard Biotools Inc.COM15,452$17.0K<0.1%00.0%UnchangedHistory
FUVArcimoto IncCOM12,935$17.0K<0.1%−1,800−12.2%ReducedHistory
DISH Network CORP25470MAB5NOTE 3.375% 8/125,000$17.0K<0.1%00.0%Unchanged–
SOLOElectrameccanica Vehicles Corp.COM NEW13,952$17.0K<0.1%−2,652−16.0%ReducedHistory
PRTYParty City Holdco Inc.COM10,783$17.0K<0.1%−28,000−72.2%ReducedHistory
PXLWPixelworks, IncCOM NEW10,698$17.0K<0.1%+10,698NewHistory
HOFVHall of Fame Resort & Entertainment CoCOM34,030$18.0K<0.1%+5,008+17.3%AddedHistory
MTNBMatinas BioPharma Holdings, Inc.COM29,250$18.0K<0.1%00.0%UnchangedHistory
UTRSMinerva Surgical IncCOM23,339$18.0K<0.1%00.0%UnchangedHistory
GTBPGT Biopharma, Inc.COM NEW11,169$19.0K<0.1%00.0%UnchangedHistory
DMRADamora Therapeutics, Inc.COM10,179$19.0K<0.1%+10,179NewHistory
TTOOT2 Biosystems, Inc.COM169,510$19.0K<0.1%+50,000+41.8%AddedHistory
ALZNAlzamend Neuro, Inc.COM NEW16,666$19.0K<0.1%00.0%UnchangedHistory
ARDXArdelyx, Inc.COM17,100$20.0K<0.1%00.0%UnchangedHistory
GYREGyre Therapeutics, Inc.COM NEW40,515$20.0K<0.1%+30,515+305.2%AddedHistory
OTLKOutlook Therapeutics, Inc.COM NEW16,522$20.0K<0.1%00.0%UnchangedHistory
SQFTPresidio Property Trust, Inc.COM CL A16,237$20.0K<0.1%+103+0.6%AddedHistory
CARMCarisma Therapeutics Inc.COM49,385$20.0K<0.1%00.0%UnchangedHistory
TDAYUSA TODAY Co., Inc.COM14,159$21.0K<0.1%+13+0.1%AddedHistory
NEWPNew Pacific Metals CorpCOMMON STOCK10,321$21.0K<0.1%00.0%UnchangedHistory
TGBTrekor Metals LtdCOM18,595$21.0K<0.1%−1,000−5.1%ReducedHistory
LIANYLianBioSPONSORED ADS10,830$21.0K<0.1%00.0%UnchangedHistory
OPTTOcean Power Technologies, Inc.COM NEW27,614$22.0K<0.1%−2,750−9.1%ReducedHistory
NCNANuCana plcSPONSORED ADR21,600$22.0K<0.1%+21,600NewHistory
PLGPlatinum Group Metals LtdCOM13,839$22.0K<0.1%00.0%UnchangedHistory
NEUENeueHealth, Inc.COM21,290$22.0K<0.1%−6,000−22.0%ReducedHistory
FFAIFaraday Future Intelligent Electric Inc.COM35,000$22.0K<0.1%+35,000NewHistory
IGCIGC Pharma, Inc.COM NEW53,956$23.0K<0.1%+3,706+7.4%AddedHistory
SLQTSelectQuote, Inc.COM32,134$23.0K<0.1%−8,000−19.9%ReducedHistory
VFFVillage Farms International, Inc.COM12,490$23.0K<0.1%+90+0.7%AddedHistory
ATOSAtossa Therapeutics, Inc.COM28,283$23.0K<0.1%−2,000−6.6%ReducedHistory
Titan Med Inc88830X819COM NEW51,889$23.0K<0.1%00.0%Unchanged–
XWELXWELL, Inc.COM30,200$23.0K<0.1%00.0%UnchangedHistory
MNTSMomentus Inc.COM CL A17,125$23.0K<0.1%+2,397+16.3%AddedHistory

Sold out since Q2 2022 (169)

Positions held at the end of Q2 2022 that are gone from this filing.

The largest 100 of 169 by value last quarter.

Positions of Commonwealth Equity Services, LLC sold out since Q2 2022
SecurityClassShares in Q2 2022Value in Q2 2022% of portfolio in Q2 2022History
GSKGSK plcSPONSORED ADR637,575$27.8M0.1%History
Tidal Trust I886364637FOLI AL RATE ETF87,214$2.83M<0.1%–
GOGOGogo Inc.COM150,636$2.44M<0.1%History
ACCAmerican Campus Communities IncCOM35,309$2.28M<0.1%History
Healthcare Realty Trust Inc42225P501CL A NEW78,430$2.19M<0.1%–
MNDTMandiant, Inc.Stock92,702$2.02M<0.1%History
First Tr Exchange-Traded FD33733E880DORSEY WRIGHT PE58,422$1.62M<0.1%–
Simplify Exchange Traded Fun82889N772HEALTH CARE ETF55,895$1.38M<0.1%–
DBIDesigner Brands Inc.CL A101,371$1.32M<0.1%History
AMSFAmerisafe IncCOM25,100$1.30M<0.1%History
Indexiq ETF Tr45409B404HDG EVE DRIV57,996$1.20M<0.1%–
CTTCatchMark Timber Trust, Inc.CL A113,266$1.14M<0.1%History
VanEck Vectors ETF Tr92189H870ENERGY INCOME19,638$1.13M<0.1%–
SAFMSanderson Farms IncCOM5,139$1.11M<0.1%History
iShares Tr464288844US OIL EQ&SV ETF67,611$1.08M<0.1%–
CDKCDK Global, Inc.COM19,595$1.07M<0.1%History
SPDR Ser Tr78468R127S&P INTERNET ETF11,026$825.0K<0.1%–
SMMSalient Midstream & MLP FundSH BEN INT108,243$819.0K<0.1%History
CYBECyberoptics CorpCOM22,280$778.0K<0.1%History
WLLWhiting Holdings LLCCOM NEW11,178$760.0K<0.1%History
Amplify ETF Tr032108748INFLATION FIGHTE31,780$652.0K<0.1%–
CF Acquisition Corp VI12521J103COM CL A65,326$651.0K<0.1%–
GNKGenco Shipping & Trading LtdSHS27,298$527.0K<0.1%History
Ssga Active ETF Tr78467V202ST STR INCOM ETF17,062$524.0K<0.1%–
Pershing Square Tontine Hldg71531R109COM CL A26,252$524.0K<0.1%–
CERSCerus CorpCOM92,545$489.0K<0.1%History
New York Life Investments Et45409B461CANDRIAM US LRG14,382$464.0K<0.1%–
HRHealthcare Realty Trust IncCOM17,024$463.0K<0.1%History
Global X FDS37954Y418THMATC GWT ETF15,102$437.0K<0.1%–
First Tr Exch Traded FD III33739P863CALIF MUN INCM8,958$433.0K<0.1%–
WBTWelbilt, Inc.COM17,676$420.0K<0.1%History
Cambria ETF Tr132061607GLB ASSET ALLO15,458$419.0K<0.1%–
OFGOfg BancorpCOM16,229$412.0K<0.1%History
iShares Inc464286640MSCI CHILE ETF16,876$406.0K<0.1%–
Listed FD Tr53656F771TRUESHARES STRUC17,332$403.0K<0.1%–
CYRXCryoport, Inc.COM PAR $0.00112,850$398.0K<0.1%History
MTUSMetallus Inc.COM21,198$396.0K<0.1%History
BPOPPopular, Inc.COM NEW4,966$382.0K<0.1%History
Sailpoint Technologies Holdings, Inc.78781P105COM6,008$376.0K<0.1%–
Kraneshares Trust500767405BOSERA MSCI CHIN9,639$374.0K<0.1%–
Global X FDS37950E408MSCI CHINA CNSMR15,007$355.0K<0.1%–
DASHDoorDash, Inc.Stock5,443$349.0K<0.1%History
Kraneshares Tr500767850MSCI CHINA CLEAN8,374$348.0K<0.1%–
GCBCGreene County Bancorp IncCOM7,650$346.0K<0.1%History
ONDSOndas Inc.COM NEW63,773$343.0K<0.1%History
Invesco Exch Traded FD Tr II46138E248S&P INTL DEV14,108$335.0K<0.1%–
VanEck ETF Trust92189F353EMERGING MRKT HI18,715$332.0K<0.1%–
CVSACovista Inc.COM8,886$319.0K<0.1%History
iShares Tr464288695GLOBAL MATER ETF4,241$313.0K<0.1%–
RMORomeo Power, Inc.COM678,800$304.0K<0.1%History
Prospect Cap Corp74348TAR3NOTE 4.950% 7/1298,000$300.0K<0.1%–
AZTAAzenta, Inc.COM4,122$297.0K<0.1%History
MOG.AMoog Inc.CL A3,676$291.0K<0.1%History
PSBPS Business Parks, Inc.COM1,536$287.0K<0.1%History
BRLTBrilliant Earth Group, Inc.CL A COM60,250$286.0K<0.1%History
QDELQuidelOrtho CorpCOM2,922$283.0K<0.1%History
PEBPebblebrook Hotel TrustCOM16,974$281.0K<0.1%History
SPHRSphere Entertainment Co.CL A5,012$263.0K<0.1%History
SXIStandex International CorpCOM3,076$260.0K<0.1%History
Global X FDS37954Y632ARTIFICIAL ETF12,362$257.0K<0.1%–
IDCCInterDigital, Inc.COM4,211$256.0K<0.1%History
MAXRMaxar Technologies Inc.COM9,774$255.0K<0.1%History
Northern LTS FD Tr IV66538H658INSPIRE GBL HOPE8,343$251.0K<0.1%–
VRNTVerint Systems IncCOM5,929$251.0K<0.1%History
CVICVR Energy IncCOM7,359$246.0K<0.1%History
Invesco Exch Traded FD Tr II46138E214S&P INTL QULTY10,300$245.0K<0.1%–
iShares Tr46429B333GNMA BOND ETF5,323$242.0K<0.1%–
EATBrinker International, IncStock10,963$241.0K<0.1%History
VanEck Vectors ETF Tr92189F205STEEL ETF4,887$241.0K<0.1%–
DKLDelek Logistics Partners, LPCOM UNT RP INT4,929$240.0K<0.1%History
CHEFChefs' Warehouse, Inc.COM6,149$239.0K<0.1%History
PPCPilgrims Pride CorpStock7,640$238.0K<0.1%History
CVNACarvana Co.CL A10,520$237.0K<0.1%History
BECNQxo Building Products, Inc.COM4,598$236.0K<0.1%History
Tidal ETF Tr886364603RPAR RISK PARI11,979$233.0K<0.1%–
NXQuanex Building Products CORPCOM10,148$230.0K<0.1%History
TNLTravel & Leisure Co.COM5,915$229.0K<0.1%History
MEIMethode Electronics IncCOM6,188$229.0K<0.1%History
NXRTNexPoint Residential Trust, Inc.COM3,658$228.0K<0.1%History
Global X FDS37954Y269NASDQ 100 CVRDGW9,563$228.0K<0.1%–
iShares Inc46434G772MSCI TAIWAN ETF4,521$227.0K<0.1%–
ProShares Tr74347B169ONLINE RTL ETF6,998$227.0K<0.1%–
CRNCCerence Inc.COM8,973$226.0K<0.1%History
WLKWestlake CorpCOM2,296$225.0K<0.1%History
FINSAngel Oak Financial Strategies Income Term TrustCOM BEN INT15,441$225.0K<0.1%History
MTArcelorMittalNY REGISTRY SH9,834$222.0K<0.1%History
SPDR Index Shs FDS78463X533ST MAR DIVID ETF8,432$218.0K<0.1%–
ProShares Tr74348A533PRIV EQTY-LSTD8,245$218.0K<0.1%–
Exchange Traded Concepts Tr301505723ROBO GBL HLTCR7,534$218.0K<0.1%–
SNNSmith & Nephew PLCSPDN ADR NEW7,917$217.0K<0.1%History
Nushares ETF Tr67092P102NUVEEN ENHNC YLD10,100$217.0K<0.1%–
MPABlackRock Muniyield Pennsylvania Quality FundCOM17,023$215.0K<0.1%History
CNRCore Natural Resources, Inc.COM4,370$215.0K<0.1%History
Invesco Exchange Traded FD T46137V423S&P 500 VLU MOMN4,620$213.0K<0.1%–
J P Morgan Exchange Traded F46641Q191BETA EURO ET NE4,643$213.0K<0.1%–
CSRCenterspaceCOM2,612$213.0K<0.1%History
Invesco Exch Traded FD Tr II46138E396S&P 500 CONC ETF5,398$212.0K<0.1%–
ESLTElbit Systems LtdStock923$211.0K<0.1%History
KFYKorn FerryCOM NEW3,632$210.0K<0.1%History
Vonage Holdings Corp92886T201COM11,148$210.0K<0.1%–