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Livermore
Livermore
ZHEN

Commonwealth Equity Services, LLC

SEC CIK
0000312272
Latest filing
Jul 29, 2026

Holdings in Q4 2022

Holdings as of Dec 31, 2022, filed Feb 7, 2023. Long positions only; changes compare share counts with Q3 2022.

Institution overview
Positions
3,701
+39 vs. Q3 2022
Portfolio value
$41.6B
+$4.33B (+11.6%) vs. Q3 2022
Filed
Feb 7, 2023
SEC
Holdings of Commonwealth Equity Services, LLC in Q4 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
SQFTWPresidio Property Trust, Inc.*W EXP 01/24/20213,512$00.0%−2,193−14.0%ReducedHistory
GMBLEsports Entertainment Group, Inc.COM20,185$1.00K<0.1%−100−0.5%ReducedHistory
VTGNVistagen Therapeutics, Inc.COM NEW19,111$1.00K<0.1%−10,000−34.4%ReducedHistory
JAGXJaguar Health, Inc.COM NEW21,533$1.00K<0.1%−204−0.9%ReducedHistory
AUDAudacy, Inc.COM10,000$2.00K<0.1%00.0%UnchangedHistory
RDHLRedHill Biopharma Ltd.SPONSORED ADS14,587$2.00K<0.1%+3,750+34.6%AddedHistory
DRKDarkHorse Technologies Inc.COM10,317$2.00K<0.1%00.0%UnchangedHistory
TONXTON Strategy CoCOM18,150$2.00K<0.1%00.0%UnchangedHistory
IRNTIronNet, Inc.COM10,636$2.00K<0.1%+10,636NewHistory
Inspirato Inc45791E115EQUITY WRT31,000$2.00K<0.1%00.0%Unchanged–
AAUAFAlmaden Minerals LtdCOM CL B12,845$3.00K<0.1%00.0%UnchangedHistory
ASXCAsensus Surgical, Inc.COM11,419$3.00K<0.1%−85−0.7%ReducedHistory
AVYAAvaya Holdings Corp.COM16,099$3.00K<0.1%−200−1.2%ReducedHistory
MRKRMarker Therapeutics, Inc.COM12,400$3.00K<0.1%00.0%UnchangedHistory
GRIGRI Bio, Inc.COM10,350$3.00K<0.1%+10,350NewHistory
VEROVenus Concept Inc.COM10,000$3.00K<0.1%+10,000NewHistory
UAVSAgEagle Aerial Systems Inc.COM13,052$4.00K<0.1%−150−1.1%ReducedHistory
SNMPEvolve Transition Infrastructure LPCOM UNITS REP B36,493$4.00K<0.1%−4,000−9.9%ReducedHistory
SIENProject Sage Oldco, Inc.COM20,342$4.00K<0.1%+6,842+50.7%AddedHistory
SDCSmileDirectClub, Inc.CL A COM12,032$4.00K<0.1%+30+0.2%AddedHistory
UTRSMinerva Surgical IncCOM19,539$4.00K<0.1%−3,800−16.3%ReducedHistory
ROIIRiskOn International, Inc.Common Stock24,163$5.00K<0.1%−50−0.2%ReducedHistory
REEAFREE Automotive Ltd.CLASS A ORD SHS13,518$5.00K<0.1%00.0%UnchangedHistory
BSFCBlue Star Foods Corp.COM12,500$5.00K<0.1%00.0%UnchangedHistory
IMPPImperial Petroleum Inc./Marshall IslandsCOMMON SHARES24,250$5.00K<0.1%+1,200+5.2%AddedHistory
Upstart Hldgs Inc91680MAB3NOTE 0.250% 8/110,000$5.00K<0.1%+10,000New–
The Lion Electric Company536221112*W EXP 05/06/20213,500$6.00K<0.1%+13,500New–
ALPPAlpine 4 Holdings, Inc.COM12,313$6.00K<0.1%+133+1.1%AddedHistory
CATXPerspective Therapeutics, Inc.COM26,284$6.00K<0.1%−1,000−3.7%ReducedHistory
SFTGQShift Technologies, Inc.CL A41,531$6.00K<0.1%+81+0.2%AddedHistory
BIOLBiolase, IncCOM10,697$6.00K<0.1%+10,697NewHistory
ADILAdial Pharmaceuticals, Inc.COM36,461$7.00K<0.1%00.0%UnchangedHistory
Cybin Ord23256X100COM24,892$7.00K<0.1%−1,830−6.8%Reduced–
HARPHarpoon Therapeutics, Inc.COM10,000$7.00K<0.1%+10,000NewHistory
REEDReed's, Inc.COM114,080$7.00K<0.1%+74,080+185.2%AddedHistory
EVGNEvogene Ltd.SHS11,355$7.00K<0.1%−5,383−32.2%ReducedHistory
ASTRAstra Space, Inc.Common Stock17,855$7.00K<0.1%00.0%UnchangedHistory
APPHAppHarvest, Inc.COM14,330$8.00K<0.1%−16,782−53.9%ReducedHistory
FBIOFortress Biotech, Inc.COM13,413$8.00K<0.1%00.0%UnchangedHistory
PAVMPAVmed Inc.COM17,340$8.00K<0.1%−11,500−39.9%ReducedHistory
FIRYFiry Inc.COM16,032$8.00K<0.1%−30,725−65.7%ReducedHistory
BINIBollinger Innovations, Inc.COMMON STOCK28,627$8.00K<0.1%−7,241−20.2%ReducedHistory
UAMYUnited States Antimony CorpCOM18,790$9.00K<0.1%00.0%UnchangedHistory
Coupa Software Inc22266LAC0NOTE 0.125% 6/110,000$9.00K<0.1%+10,000New–
LITSLite Strategy, Inc.COM NEW40,100$9.00K<0.1%00.0%UnchangedHistory
PHUNPhunware, Inc.COM11,645$9.00K<0.1%00.0%UnchangedHistory
Redwood Tr Inc758075AC9NOTE 4.750% 8/110,000$9.00K<0.1%00.0%Unchanged–
TPHSTrinity Place Holdings Inc.COM12,502$9.00K<0.1%00.0%UnchangedHistory
Arrival GroupL0423Q108SHS57,213$9.00K<0.1%00.0%Unchanged–
ALZNAlzamend Neuro, Inc.COM NEW16,666$9.00K<0.1%00.0%UnchangedHistory
NXTSNexentis Technologies Inc.COM12,000$9.00K<0.1%+12,000NewHistory
TRXTRX GOLD CorpCOM28,500$9.00K<0.1%00.0%UnchangedHistory
AIFAAll In FutureTech Alliance, Inc.COM10,425$10.0K<0.1%00.0%UnchangedHistory
INFIInfinity Pharmaceuticals, Inc.COM18,771$10.0K<0.1%+18,771NewHistory
XWELXWELL, Inc.COM30,100$10.0K<0.1%−100−0.3%ReducedHistory
FFAIFaraday Future Intelligent Electric Inc.COM35,000$10.0K<0.1%00.0%UnchangedHistory
BZFDBuzzFeed, Inc.CLASS A COM15,000$10.0K<0.1%00.0%UnchangedHistory
NEPTFNeptune Wellness Solutions Inc.COM NEW33,010$10.0K<0.1%+12,639+62.0%AddedHistory
OPTTOcean Power Technologies, Inc.COM NEW24,614$11.0K<0.1%−3,000−10.9%ReducedHistory
CCOClear Channel Outdoor Holdings, Inc.COM11,030$11.0K<0.1%−991−8.2%ReducedHistory
DMRADamora Therapeutics, Inc.COM10,179$11.0K<0.1%00.0%UnchangedHistory
LFWDLifeward Ltd.SHS15,160$11.0K<0.1%00.0%UnchangedHistory
NEUENeueHealth, Inc.COM17,886$11.0K<0.1%−3,404−16.0%ReducedHistory
MNTSMomentus Inc.COM CL A15,125$11.0K<0.1%−2,000−11.7%ReducedHistory
CORZCore Scientific, Inc.COMMON STOCK155,959$11.0K<0.1%−20,192−11.5%ReducedHistory
SOLOElectrameccanica Vehicles Corp.COM NEW20,052$12.0K<0.1%+6,100+43.7%AddedHistory
Southwest Airls Co844741BG2NOTE 1.250% 5/010,000$12.0K<0.1%00.0%Unchanged–
SURFSurface Oncology, Inc.COM15,700$12.0K<0.1%+15,700NewHistory
BBIGVinco Ventures, Inc.COM26,500$12.0K<0.1%+26,500NewHistory
DPRODraganfly Inc.COM NEW16,246$12.0K<0.1%+60+0.4%AddedHistory
TRMLTourmaline Bio, Inc.COM13,000$13.0K<0.1%00.0%UnchangedHistory
VZLAVizsla Silver Corp.COMMONSTOCK11,817$13.0K<0.1%00.0%UnchangedHistory
SIDUSidus Space Inc.CLASS A COM12,000$13.0K<0.1%+1,000+9.1%AddedHistory
SOBRSOBR Safe, Inc.COM NEW13,750$13.0K<0.1%+13,750NewHistory
RCATRed Cat Holdings, Inc.Stock15,577$14.0K<0.1%+15,577NewHistory
Bitfarms Ltd Com09173B107Stock31,961$14.0K<0.1%−4,227−11.7%Reduced–
MTNBMatinas BioPharma Holdings, Inc.COM29,250$14.0K<0.1%00.0%UnchangedHistory
NCNANuCana plcSPONSORED ADR21,600$14.0K<0.1%00.0%UnchangedHistory
VXRTVaxart, Inc.COM NEW14,690$14.0K<0.1%+215+1.5%AddedHistory
TNXPTonix Pharmaceuticals Holding Corp.COM NEW38,159$14.0K<0.1%+38,159NewHistory
NAKNorthern Dynasty Minerals LtdCOM NEW70,306$15.0K<0.1%+37,400+113.7%AddedHistory
DISH Network CORP25470MAB5NOTE 3.375% 8/125,000$15.0K<0.1%00.0%Unchanged–
Omeros Corp682143AE2NOTE 6.250%11/116,000$15.0K<0.1%00.0%Unchanged–
VBIVVBI Vaccines Inc/BCCOM NEW38,792$15.0K<0.1%−948−2.4%ReducedHistory
VFFVillage Farms International, Inc.COM12,635$16.0K<0.1%+145+1.2%AddedHistory
BIORBiora Therapeutics, Inc.COM127,034$16.0K<0.1%−3,000−2.3%ReducedHistory
AURAurora Innovation, Inc.CLASS A COM14,437$17.0K<0.1%+2,000+16.1%AddedHistory
IGCIGC Pharma, Inc.COM NEW53,806$17.0K<0.1%−150−0.3%ReducedHistory
GLDGGoldMining Inc.COM15,832$17.0K<0.1%−2,200−12.2%ReducedHistory
JNCEJounce Therapeutics, Inc.COM15,572$17.0K<0.1%+15,572NewHistory
OTLKOutlook Therapeutics, Inc.COM NEW16,522$17.0K<0.1%00.0%UnchangedHistory
LIANYLianBioSPONSORED ADS10,830$17.0K<0.1%00.0%UnchangedHistory
FRZAForza X1, Inc.COM14,000$17.0K<0.1%+14,000NewHistory
BRF SA10552T107SPONSORED ADR11,780$18.0K<0.1%−95,270−89.0%Reduced–
SCORComscore, Inc.COM15,965$18.0K<0.1%00.0%UnchangedHistory
Custom Truck One23204X111COM46,500$18.0K<0.1%00.0%Unchanged–
MBIOMustang Bio, Inc.COM47,854$18.0K<0.1%+14,592+43.9%AddedHistory
PXLWPixelworks, IncCOM NEW10,698$18.0K<0.1%00.0%UnchangedHistory
EAREargo, Inc.COM33,998$19.0K<0.1%+33,998NewHistory
SEELSeelos Therapeutics, Inc.COM29,207$19.0K<0.1%00.0%UnchangedHistory

Sold out since Q3 2022 (185)

Positions held at the end of Q3 2022 that are gone from this filing.

The largest 100 of 185 by value last quarter.

Positions of Commonwealth Equity Services, LLC sold out since Q3 2022
SecurityClassShares in Q3 2022Value in Q3 2022% of portfolio in Q3 2022History
Invesco Exch TRD SLF Idx FD46138J882BULSHS 2022 CB715,550$15.2M<0.1%–
BAMBrookfield Asset Management Ltd.CL A LTD VT SH249,260$10.2M<0.1%History
iShares Tr46434VBA7IBONDS DEC22 ETF349,674$8.75M<0.1%–
TWTRTwitter, Inc.COM119,265$5.23M<0.1%History
iShares Tr46435G755IBONDS DEC2022185,494$4.80M<0.1%–
Barclays Bank PLC06742A669IPATH SHILR CAPE241,140$4.41M<0.1%–
Innovator ETFs Tr45782C243INVTOR 2 PLS 5185,329$3.78M<0.1%–
John Hancock Exchange Traded47804J602MULTIFACTOR TE44,894$2.98M<0.1%–
ProShares Tr74347B110ULTRAPRO SHORT S101,315$2.27M<0.1%–
John Hancock Exchange Traded47804J503MULTIFACTOR HE44,147$1.90M<0.1%–
Abacus FCF ETF Tr89628W302LEADERS ETF33,724$1.46M<0.1%–
iShares Tr46435U176IBONDS 22 TRM HG58,955$1.42M<0.1%–
REYNReynolds Consumer Products Inc.COM51,702$1.34M<0.1%History
UHALU-Haul Holding CoCOM2,150$1.09M<0.1%History
EFLEaton Vance Floating-Rate 2022 Target Term TrustCOM117,022$1.01M<0.1%History
DREDuke Realty CorpCOM NEW20,597$992.0K<0.1%History
ARHSArhaus, Inc.COM CL A138,411$975.0K<0.1%History
Alps ETF Tr00162Q361OSHS GBL INTER38,380$973.0K<0.1%–
Advisorshares Tr00768Y537DORSY MICR ETF32,343$924.0K<0.1%–
MNRLMNRL Sub Inc.CL A COM35,036$864.0K<0.1%History
Via Renewables, Inc.92556D106CL A COM123,203$851.0K<0.1%–
BHVNBiohaven Ltd.COM5,512$833.0K<0.1%History
John Hancock Exchange Traded47804J404MULTIFACTOR FI18,342$755.0K<0.1%–
CLRContinental Resources, IncCOM11,209$748.0K<0.1%History
EQCEQC Liquidating TrustCOM SH BEN INT28,788$701.0K<0.1%History
CTXSCitrix Systems IncCOM6,701$696.0K<0.1%History
Flexshares Tr33939L605IBOXX 5YR TRGT27,620$646.0K<0.1%–
Global X FDS37950E549GLB X SUPERDIV85,650$645.0K<0.1%–
VGIVirtus Global Multi-Sector Income FundCOM83,543$624.0K<0.1%History
H.I.G. Acquisition Corp.G44898107COM CL A56,577$567.0K<0.1%–
JKSJinkoSolar Holding Co., Ltd.SPONSORED ADR10,210$565.0K<0.1%History
iShares Tr46436E809IBONDS 22 TRM TS21,860$555.0K<0.1%–
DBX ETF Tr233051879XTRACK HRVST CSI19,147$518.0K<0.1%–
First Tr Exchng Traded FD VI33740U109TCW SECURITIZED23,800$510.0K<0.1%–
Innovator ETFs Tr45783Y871GRWT ACLRTD PLUS26,429$509.0K<0.1%–
Cambria ETF Tr132061805GBL TAIL RISK ET19,815$446.0K<0.1%–
STZConstellation Brands, Inc.CL B1,532$444.0K<0.1%History
Cambria ETF Tr132061706EMRG SHAREHLDR17,389$431.0K<0.1%–
Tenneco Inc880349105CL A VTG COM STK24,464$425.0K<0.1%–
American Centy ETF Tr025072356REAL ESTATE ETF10,892$424.0K<0.1%–
BTUPeabody Energy CorpCOM16,543$410.0K<0.1%History
John Hancock Exchange Traded47804J883MLTFACTR INDLS9,408$401.0K<0.1%–
Listed FD Tr53656F714TRUESHARES STRUC14,137$395.0K<0.1%–
RDFNRedfin CorpCOM66,120$386.0K<0.1%History
YAlleghany CorpCOM457$384.0K<0.1%History
Invesco Bulletshares 2022 HY Bd (BSJM)46138J874BULSHS 2022 HY17,471$383.0K<0.1%–
Simplify Exchange Traded Fun82889N202US EQT PLS DWNSD14,462$382.0K<0.1%–
WisdomTree Tr97717X867EM LCL DEBT FD15,458$375.0K<0.1%–
LOGILogitech International S.A.SHS7,976$366.0K<0.1%History
Invesco Exch TRD SLF Idx FD46138J551BULSHS 2022 MUNI14,094$356.0K<0.1%–
ProShares Tr74347G689ULTSHT RUSS200018,310$356.0K<0.1%–
Alpha Architect ETF Tr02072L706MERLYN AI BULL12,195$345.0K<0.1%–
PBFPBF Energy Inc.CL A9,790$344.0K<0.1%History
ProShares Ultrashort S&P 50074347G416ETF6,305$344.0K<0.1%–
iShares U S ETF Tr46431W580INFLATION HEDG13,924$336.0K<0.1%–
KOFCoca Cola Femsa SAB de CVSPONS ADS REP5,728$334.0K<0.1%History
ABMDAbiomed IncCOM1,342$329.0K<0.1%History
Franklin Templeton ETF Tr35473P595SENIOR LOAN ETF13,816$317.0K<0.1%–
John Hancock Exchange Traded47804J305MULTIFACTOR CO7,843$301.0K<0.1%–
GHGuardant Health, Inc.COM5,585$300.0K<0.1%History
ZENZendesk, Inc.COM3,934$299.0K<0.1%History
RGCORGC Resources IncCOM14,167$298.0K<0.1%History
SMTCSemtech CorpStock10,027$294.0K<0.1%History
SRLPSprague Resources LPCOM UNIT REP LTD14,643$290.0K<0.1%History
Enerplus Corp292766102COM20,391$288.0K<0.1%–
WisdomTree Tr97717Y683ENHNCD CMMDTY ST13,454$286.0K<0.1%–
Swedish Expt CR Corp870297603ROG AGRI ETN2231,166$283.0K<0.1%–
Signature BK New York N Y82669G104COM1,854$280.0K<0.1%–
FVRRFiverr International Ltd.ORD SHS9,013$275.0K<0.1%History
iShares Tr46435U796SYSTEMATIC BD ET3,329$272.0K<0.1%–
First Tr Exchange Traded FD33734X770DJ INTL INTRNT13,728$269.0K<0.1%–
CVETCovetrus, Inc.COM12,688$264.0K<0.1%History
ProShares Tr74347B201PSHS ULTSH 20YRS7,961$253.0K<0.1%–
Renaissance Cap Greenwich FD759937204IPO ETF8,838$251.0K<0.1%–
KNBEKnowBe4, Inc.CL A12,004$249.0K<0.1%History
PARPar Technology CorpCOM8,368$247.0K<0.1%History
Two Harbors Investment Corp.90187B408COM NEW73,901$245.0K<0.1%–
Amplify ETF Tr032108888BLACKSWAN GRWT9,768$242.0K<0.1%–
BEAMBeam Therapeutics Inc.COM5,070$241.0K<0.1%History
AVLRAvalara, Inc.COM2,610$239.0K<0.1%History
MYOVMyovant Sciences Ltd.COM13,353$239.0K<0.1%History
CPRICapri Holdings LtdSHS6,127$235.0K<0.1%History
Invesco Exch TRD SLF Idx FD46138J817BULSHS 2025 HY10,677$232.0K<0.1%–
VCELVericel CorpCOM9,986$231.0K<0.1%History
TGLSTecnoglass Holdings Inc.ORD SHS11,051$231.0K<0.1%History
WisdomTree Tr97717W786INTL DIV EX FINL7,574$230.0K<0.1%–
QLYSQualys, Inc.COM1,638$228.0K<0.1%History
ACIWAci Worldwide, Inc.Stock10,861$226.0K<0.1%History
PEGAPegasystems IncCOM6,914$222.0K<0.1%History
Simplify Exchange Traded Fun82889N731CONVEXITY ETF12,534$221.0K<0.1%–
UVVUniversal CorpCOM4,799$220.0K<0.1%History
SILKSilk Road Medical IncCOM4,879$219.0K<0.1%History
NPVNuveen Virginia Quality Municipal Income FundCOM17,573$217.0K<0.1%History
KRNTKornit Digital Ltd.SHS8,183$217.0K<0.1%History
Principal Exchange-Traded FD74255Y409HELTHCARE INDX6,295$216.0K<0.1%–
VRNSVaronis Systems IncCOM7,957$211.0K<0.1%History
John Hancock Exchange Traded47804J826MLTDCTR MEDIA9,155$210.0K<0.1%–
BLDQXO Insulation, LLCStock1,268$208.0K<0.1%History
Vanguard Wellington FD921935706US QUALITY2,186$208.0K<0.1%–
TRIPTripAdvisor, Inc.COM9,344$206.0K<0.1%History