Skip to main content
Livermore
Livermore
ZHEN

Commonwealth Equity Services, LLC

SEC CIK
0000312272
Latest filing
Jul 29, 2026

Holdings in Q2 2023

Holdings as of Jun 30, 2023, filed Aug 10, 2023. Long positions only; changes compare share counts with Q1 2023.

Institution overview
Positions
3,831
+57 vs. Q1 2023
Portfolio value
$49.2B
+$4.07B (+9.0%) vs. Q1 2023
Filed
Aug 10, 2023
SEC
Holdings of Commonwealth Equity Services, LLC in Q2 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
OUSTOuster, Inc.COM NEW13,156$65.0K<0.1%+4,432+50.8%AddedConverted for a 1-for-10 splitHistory
GRABGrab Holdings LtdCLASS A ORD19,067$65.0K<0.1%+1,515+8.6%AddedHistory
BTLNBrightline Interactive, Inc.COM18,306$65.0K<0.1%+6,000+48.8%AddedHistory
BCABBioAtla, Inc.COM21,800$65.0K<0.1%00.0%UnchangedHistory
QVCGAOld QVC Group, Inc.COM SER A66,949$66.0K<0.1%+2,969+4.6%AddedHistory
CIKUBS Asset Management Income Fund, Inc.COM22,715$67.0K<0.1%+139+0.6%AddedHistory
UNITUniti Group Inc.COM14,475$67.0K<0.1%+2,660+22.5%AddedHistory
IAFAbrdn Australia Equity Fund, Inc.COM15,715$68.0K<0.1%+109+0.7%AddedHistory
PGENPrecigen, Inc.COM59,899$69.0K<0.1%−3,000−4.8%ReducedHistory
EVLVEvolv Technologies Holdings, Inc.COM CL A11,526$69.0K<0.1%+11,526NewHistory
COMPCompass, Inc.CL A20,071$70.0K<0.1%+1,781+9.7%AddedHistory
OTLYOatly Group ABSPONSORED ADS34,373$70.0K<0.1%+3,591+11.7%AddedHistory
LINCLincoln Educational Services CorpCOM10,500$71.0K<0.1%00.0%UnchangedHistory
ABCLAbCellera Biologics Inc.COM11,019$71.0K<0.1%−248−2.2%ReducedHistory
HUTHut 8 Corp.Common Stock21,426$71.0K<0.1%+4,697+28.1%AddedHistory
VMEOVimeo, Inc.COMMON STOCK17,236$71.0K<0.1%+64+0.4%AddedHistory
DLTHDuluth Holdings Inc.COM CL B11,661$73.0K<0.1%+30+0.3%AddedHistory
LCTXLineage Cell Therapeutics, Inc.COM51,482$73.0K<0.1%+2,993+6.2%AddedHistory
BIVIBiovie Inc.CL A NEW16,870$73.0K<0.1%+615+3.8%AddedHistory
CIGEnergy Co of Minas GeraisSP ADR N-V PFD28,167$74.0K<0.1%−2,160−7.1%ReducedHistory
INFNInfinera CorpCOM15,253$74.0K<0.1%+400+2.7%AddedHistory
JMIAJumia Technologies AGSPONSORED ADS22,163$76.0K<0.1%−458−2.0%ReducedHistory
BGRYBerkshire Grey, Inc.COMMON STOCK54,310$77.0K<0.1%−6,900−11.3%ReducedHistory
PBIPitney Bowes IncCOM22,147$78.0K<0.1%+2,460+12.5%AddedHistory
RVPHReviva Pharmaceuticals Holdings, Inc.COM13,382$78.0K<0.1%+13,382NewHistory
IAGIamgold CorpCOM29,852$79.0K<0.1%−2,300−7.2%ReducedHistory
EOLSEvolus, Inc.COM10,800$79.0K<0.1%−30.0%ReducedHistory
KODKodiak Sciences Inc.COM11,423$79.0K<0.1%+11,423NewHistory
Ares Capital Corp04010LAW3NOTE 4.625% 3/080,000$80.0K<0.1%00.0%Unchanged–
Golden Ocean Group LtdG39637205SHS NEW10,742$81.0K<0.1%−5,293−33.0%Reduced–
IVAInventiva S.A.ADS20,280$82.0K<0.1%+6,156+43.6%AddedHistory
ASXASE Technology Holding Co., Ltd.SPONSORED ADS10,715$83.0K<0.1%+10,715NewHistory
Invesco High Income 2023 Tar46135X108COM11,186$83.0K<0.1%+58+0.5%Added–
FUBOFuboTV Inc.COM40,484$84.0K<0.1%+17,653+77.3%AddedHistory
EODAllspring Global Dividend Opportunity FundCOM19,318$84.0K<0.1%−3,755−16.3%ReducedHistory
AURAurora Innovation, Inc.CLASS A COM29,414$86.0K<0.1%−4,600−13.5%ReducedHistory
Advisorshares Tr00768Y495PURE CANNABIS33,423$86.0K<0.1%−81−0.2%Reduced–
INDOIndonesia Energy Corp LtdORD SHS20,000$88.0K<0.1%00.0%UnchangedHistory
AGFirst Majestic Silver CorpCOM15,828$89.0K<0.1%−2,452−13.4%ReducedHistory
USAUU.S. Gold Corp.COM NEW20,000$89.0K<0.1%+10,000+100.0%AddedHistory
GPGreenpower Motor Co Inc.COM NEW34,223$90.0K<0.1%+34,223NewHistory
ARDXArdelyx, Inc.COM26,890$91.0K<0.1%+2,489+10.2%AddedHistory
CTMXCytomX Therapeutics, Inc.COM53,243$92.0K<0.1%00.0%UnchangedHistory
MRAMEverspin Technologies Inc.COM10,010$92.0K<0.1%+10,010NewHistory
POWWOutdoor Holding CoCOM43,796$93.0K<0.1%+300+0.7%AddedHistory
SLDPSolid Power, Inc.CLASS A COM36,626$93.0K<0.1%+795+2.2%AddedHistory
ARRArmour Residential REIT, Inc.COM NEW17,361$93.0K<0.1%+1,991+13.0%AddedHistory
ACBAurora Cannabis IncCOM174,460$93.0K<0.1%+677+0.4%AddedHistory
EVMEaton Vance California Municipal Bond FundCOM10,428$93.0K<0.1%00.0%UnchangedHistory
Sandstorm Gold Ltd Com New80013R206Stock18,517$95.0K<0.1%+297+1.6%Added–
LTRNLantern Pharma Inc.COM16,813$95.0K<0.1%−3,373−16.7%ReducedHistory
SVCService Properties TrustCOM SH BEN INT10,916$95.0K<0.1%+186+1.7%AddedHistory
Direxion Shs ETF Tr25460G807DLY JR GOLD 2X13,400$95.0K<0.1%+13,400New–
XXII22nd Century Group, Inc.COM247,391$95.0K<0.1%+16,770+7.3%AddedHistory
ADTADT Inc.COM15,949$96.0K<0.1%−73−0.5%ReducedHistory
SACHSachem Capital Corp.COM27,468$96.0K<0.1%+8,237+42.8%AddedHistory
IGAVoya Global Advantage & Premium Opportunity FundCOM11,341$97.0K<0.1%00.0%UnchangedHistory
ARQTArcutis Biotherapeutics, Inc.COM10,259$98.0K<0.1%−260−2.5%ReducedHistory
GROYGold Royalty Corp.COMMON SHARES55,342$98.0K<0.1%+7,820+16.5%AddedHistory
SIGASiga Technologies IncCOM19,663$99.0K<0.1%+465+2.4%AddedHistory
PLXProtalix BioTherapeutics, Inc.COM50,200$100.0K<0.1%+100+0.2%AddedHistory
PANLPangaea Logistics Solutions Ltd.SHS14,975$101.0K<0.1%+4,487+42.8%AddedHistory
DISHDISH Network CORPCL A15,296$101.0K<0.1%+15,296NewHistory
Global X FDS37954Y145CANNABIS ETF NEW15,995$102.0K<0.1%+91+0.6%Added–
BRBSBlue Ridge Bankshares, Inc.COM11,603$103.0K<0.1%+1,088+10.3%AddedHistory
EOSEEos Energy Enterprises, Inc.COM CL A24,134$105.0K<0.1%+6,182+34.4%AddedHistory
ASTSAST SpaceMobile, Inc.COM CL A22,405$105.0K<0.1%+10,519+88.5%AddedHistory
HGTYHagerty, Inc.CL A COM11,294$106.0K<0.1%−114−1.0%ReducedHistory
RGTRoyce Global Trust, Inc.COM11,454$106.0K<0.1%−370−3.1%ReducedHistory
HMYHarmony Gold Mining Co LtdADR25,570$107.0K<0.1%+4,698+22.5%AddedHistory
NVTAInvitae CorpCOM95,043$107.0K<0.1%+42,719+81.6%AddedHistory
GTXGarrett Motion Inc.Stock14,231$108.0K<0.1%+170+1.2%AddedHistory
AROCArchrock, Inc.COM10,630$109.0K<0.1%+527+5.2%AddedHistory
NRDSNerdwallet, Inc.COM CL A11,600$109.0K<0.1%00.0%UnchangedHistory
HONEHarborOne Bancorp, Inc.COM NEW12,656$110.0K<0.1%+73+0.6%AddedHistory
SMFGSumitomo Mitsui Financial Group, Inc.SPONSORED ADR12,898$111.0K<0.1%+2,628+25.6%AddedHistory
Western Digital Corp958102AP0NOTE 1.500% 2/0115,000$111.0K<0.1%+34,000+42.0%Added–
ELMDElectromed, Inc.Stock10,417$112.0K<0.1%00.0%UnchangedHistory
EADAllspring Income Opportunities FundINC OPPTY FD17,309$112.0K<0.1%−11,925−40.8%ReducedHistory
NVAXNovavax IncCOM NEW15,106$112.0K<0.1%+1,809+13.6%AddedHistory
GWHESS Tech, Inc.CL SHS76,689$113.0K<0.1%−47,750−38.4%ReducedHistory
GRWGGrowGeneration Corp.COM33,941$115.0K<0.1%−910−2.6%ReducedHistory
CGCCanopy Growth CorpCOM296,926$115.0K<0.1%+4,361+1.5%AddedHistory
PFOFlaherty & Crumrine PREFERRED & INCOME OPPORTUNITY FUND INCCOM14,451$116.0K<0.1%+1,458+11.2%AddedHistory
RXRXRecursion Pharmaceuticals, Inc.CL A15,635$117.0K<0.1%+15,635NewHistory
NMLNeuberger Energy Infrastructure & Income Fund Inc.COM17,066$117.0K<0.1%+218+1.3%AddedHistory
BGSFBGSF, Inc.COM12,331$118.0K<0.1%−2,353−16.0%ReducedHistory
SENSSenseonics Holdings, Inc.COM154,180$118.0K<0.1%+31,200+25.4%AddedHistory
KIOKKR Income Opportunities FundCOM10,266$119.0K<0.1%+10,266NewHistory
FFNWFirst Financial Northwest, Inc.COM10,637$121.0K<0.1%−626−5.6%ReducedHistory
iShares Inc464286327MSCI GLB SLV&MTL12,597$122.0K<0.1%−9,046−41.8%Reduced–
BCSBarclays PLCADR15,541$122.0K<0.1%−1,643−9.6%ReducedHistory
GLADGladstone Capital CorpCOM12,537$122.0K<0.1%+34+0.3%AddedHistory
SOBRSOBR Safe, Inc.COM NEW72,900$124.0K<0.1%+16,000+28.1%AddedHistory
SMRNuscale Power CorpCL A COM18,322$125.0K<0.1%+4,025+28.2%AddedHistory
CGOCalamos Global Total Return FundCOM SH BEN INT12,962$126.0K<0.1%−9,642−42.7%ReducedHistory
NRONeuberger Real Estate Securities Income Fund IncCOM41,549$126.0K<0.1%+2,137+5.4%AddedHistory
EXKEndeavour Silver CorpCOM44,108$127.0K<0.1%+44+0.1%AddedHistory
OKUROnKure Therapeutics, Inc.COM19,347$127.0K<0.1%−3,000−13.4%ReducedHistory
CMPSCOMPASS Pathways plcSPONSORED ADS15,440$128.0K<0.1%+1,125+7.9%AddedHistory

Sold out since Q1 2023 (162)

Positions held at the end of Q1 2023 that are gone from this filing.

The largest 100 of 162 by value last quarter.

Positions of Commonwealth Equity Services, LLC sold out since Q1 2023
SecurityClassShares in Q1 2023Value in Q1 2023% of portfolio in Q1 2023History
Advisorshares Tr00768Y461DORSY ALPH EQL1,642,085$28.5M0.1%–
SPDR Ser Tr78464A813S&P 600 SML CAP162,735$13.7M<0.1%–
ABBNYABB LtdSPONSORED ADR101,123$3.47M<0.1%History
Abrdn ETFs003261104BBRG ALL COMD K1134,293$2.79M<0.1%–
Schwab Strategic Tr808524680LONG TERM US60,156$2.25M<0.1%–
State Street SPDR Bloomberg Emerging Markets Local Bond ETF78464A391ETF102,975$2.19M<0.1%–
SPDR Series Trust78464A151SST SPDR BLOOMBE65,415$1.87M<0.1%–
First Rep BK San Francisco C33616C100COM75,163$1.05M<0.1%–
TRIThomson Reuters CorpCOM NEW7,614$990.0K<0.1%History
XMQualtrics International Inc.COM CL A53,185$948.0K<0.1%History
Atlas Technical Consultants, Inc.049430101COM CLS A77,295$942.0K<0.1%–
OXMOxford Industries IncCOM6,866$724.0K<0.1%History
AQUAEvoqua Water Technologies Corp.COM13,129$652.0K<0.1%History
SENEASeneca Foods CorpCL A11,321$591.0K<0.1%History
AMRAlpha Metallurgical Resources, Inc.COM3,669$572.0K<0.1%History
TRTootsie Roll Industries IncCOM12,523$562.0K<0.1%History
TRSTTrustco Bank Corp N YCOM NEW17,561$560.0K<0.1%History
SHOEShoe Station Group IncCOM21,748$557.0K<0.1%History
MODModine Manufacturing CoCOM23,758$547.0K<0.1%History
RGPResources Connection, Inc.COM31,945$545.0K<0.1%History
BDX 6 06/01/23 Pfd075887406CONVERTIBLE PREFERRED STOCK10,407$517.0K<0.1%–
SBHSally Beauty Holdings, Inc.COM33,081$515.0K<0.1%History
RNRRenaissancere Holdings LtdCOM2,424$485.0K<0.1%History
iShares Inc464286756MSCI SWEDEN ETF12,806$455.0K<0.1%–
Yamana Gold Inc98462Y100COM76,982$450.0K<0.1%–
CVICVR Energy IncCOM13,722$449.0K<0.1%History
Flexshares Tr33939L589ESG & CM HI YLD10,356$435.0K<0.1%–
RXDXPrometheus Biosciences, Inc.COM4,024$431.0K<0.1%History
COLLCollegium Pharmaceutical, IncCOM17,652$423.0K<0.1%History
CORTCorcept Therapeutics IncCOM18,964$410.0K<0.1%History
GCOGenesco IncCOM11,138$410.0K<0.1%History
ZUMZZumiez IncCOM21,005$387.0K<0.1%History
NAVINavient CorpCOM23,899$382.0K<0.1%History
ASURAsure Software IncCOM26,289$381.0K<0.1%History
Direxion Shs ETF Tr25460G84920YR TRES BEAR3,507$375.0K<0.1%–
PIMCO Equity Ser72201T342RAFI ESG US12,970$374.0K<0.1%–
Rice Acquisition Corp IIG75529100SHS CL A35,555$363.0K<0.1%–
J P Morgan Exchange-Traded F46641Q738BETBULD MSCI4,139$343.0K<0.1%–
Exchange Listed FDS Tr30151E764ARMOR US EQT IDX16,200$341.0K<0.1%–
Alpha Architect ETF Tr02072L409US QUAN MOMENTUM7,518$338.0K<0.1%–
BOOMDMC Global Inc.COM14,813$325.0K<0.1%History
MOMOHello Group Inc.ADS35,624$324.0K<0.1%History
CPECallon Petroleum CoCOM9,661$323.0K<0.1%History
Graniteshares ETF Tr38747R603XOUT US LRG CP8,857$321.0K<0.1%–
HCPHashiCorp, Inc.COM CL A10,236$299.0K<0.1%History
TCBKTrico BancsharesCOM7,126$296.0K<0.1%History
DQDaqo New Energy Corp.SPNSRD ADS NEW6,327$296.0K<0.1%History
Franklin Templeton ETF Tr35473P595SENIOR LOAN ETF11,992$286.0K<0.1%–
Barclays BK PLC06745T368ETP24,778$269.0K<0.1%–
EMBCEmbecta Corp.Stock9,497$267.0K<0.1%History
POWIPower Integrations IncCOM3,152$266.0K<0.1%History
AIOVirtus Artificial Intelligence & Technology Opportunities FundCOM14,714$256.0K<0.1%History
BRTBRT Apartments Corp.COM12,793$252.0K<0.1%History
ECEcopetrol S.A.SPONSORED ADS23,577$248.0K<0.1%History
iShares U S ETF Tr46431W606IT RT HDG HGYL2,977$246.0K<0.1%–
TSEOQTrinseo PLCCOM11,778$245.0K<0.1%History
FXAInvesco CurrencyShares Australian Dollar TrustAUSTRALIAN DOL3,675$243.0K<0.1%History
LKFNLakeland Financial CorpCOM3,840$240.0K<0.1%History
CIVBCivista Bancshares, Inc.COM NO PAR14,252$240.0K<0.1%History
Invesco Exch Traded FD Tr II46138E446PURBETA US AGG10,730$239.0K<0.1%–
RPRXRoyalty Pharma plcSHS CLASS A6,631$238.0K<0.1%History
JOEST JOE CoCOM5,633$234.0K<0.1%History
New York Life Investments Et45409B107HEDGE MULTI STRA7,963$232.0K<0.1%–
NTNXNutanix, Inc.Stock8,902$231.0K<0.1%History
TTGTTechTarget, Inc.COM6,342$229.0K<0.1%History
SPTSprout Social, Inc.COM CL A3,753$228.0K<0.1%History
J P Morgan Exchange Traded F46641Q126RLTY INCOME ETF5,374$227.0K<0.1%–
VanEck Vectors ETF Tr92189F205STEEL ETF3,567$227.0K<0.1%–
Tidal Trust I886364645SONICSHARES GBL7,399$225.0K<0.1%–
MTArcelorMittalNY REGISTRY SH7,456$224.0K<0.1%History
Franklin Templeton ETF Tr35473P538DISRPTVE COM ETF9,271$222.0K<0.1%–
DBX ETF Tr233051879XTRACK HRVST CSI7,526$221.0K<0.1%–
HCSGHealthcare Services Group IncCOM15,743$218.0K<0.1%History
J P Morgan Exchange Traded F46641Q225BETA CDA ETF NEW3,635$216.0K<0.1%–
PPBIPacific Premier Bancorp IncCOM9,011$216.0K<0.1%History
Harbor ETF Trust41151J109ARES SYSTEMATIC4,867$215.0K<0.1%–
HUNHuntsman CORPCOM7,883$215.0K<0.1%History
DJPBarclays Bank PLCDJUBS CMDT ETN366,787$214.0K<0.1%History
Nuveen Intermediate Duration Quality Municipal Term Fund670677103COM16,762$214.0K<0.1%–
NUONuveen Ohio Quality Municipal Income FundCOM16,805$213.0K<0.1%History
First Tr Exchange-Traded FD33739Q309HIGH INCM STRGC4,777$212.0K<0.1%–
ENREnergizer Holdings, Inc.COM6,111$212.0K<0.1%History
FOCSFocus Financial Partners Inc.COM CL A4,005$207.0K<0.1%History
USACUSA Compression Partners, LPCOMUNIT LTDPAR9,837$207.0K<0.1%History
ETF Managers Tr26924G870BLUESTAR ISRAEL4,478$206.0K<0.1%–
MRCYMercury Systems IncCOM4,002$204.0K<0.1%History
SPDR Ser Tr78468R689S&P KENSHO SMART6,439$204.0K<0.1%–
TXNMTXNM Energy IncCOM4,170$203.0K<0.1%History
VanEck ETF Trust92189F460CEF MUNI INCOME9,317$202.0K<0.1%–
iShares Tr46435G847MSCI ACWI EXUS7,328$200.0K<0.1%–
Amplify ETF Tr032108888BLACKSWAN GRWT7,840$200.0K<0.1%–
ProShares Tr74347B425SHORT S&P 500 NE13,193$197.0K<0.1%–
EFTEaton Vance Floating-Rate Income TrustCOM16,827$193.0K<0.1%History
CWCOConsolidated Water Co. Ltd.ORD11,541$189.0K<0.1%History
Invesco Actively Managed ETF46090A200BLNCD MLTI AST12,254$182.0K<0.1%–
MHDBlackRock Muniholdings Fund, Inc.COM14,798$178.0K<0.1%History
BHR.PBBraemar Hotels & Resorts Inc.5.5 CUM CV PFD B10,985$175.0K<0.1%History
NPVNuveen Virginia Quality Municipal Income FundCOM13,867$158.0K<0.1%History
VYGRVoyager Therapeutics, Inc.COM18,000$138.0K<0.1%History
GGBGerdau S.A.SPON ADR REP PFD25,202$124.0K<0.1%History