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Livermore
Livermore
ZHEN

Commonwealth Equity Services, LLC

SEC CIK
0000312272
Latest filing
Jul 29, 2026

Holdings in Q3 2023

Holdings as of Sep 30, 2023, filed Oct 23, 2023. Long positions only; changes compare share counts with Q2 2023.

Institution overview
Positions
3,823
−8 vs. Q2 2023
Portfolio value
$48.3B
−$893.1M (−1.8%) vs. Q2 2023
Filed
Oct 23, 2023
SEC
Holdings of Commonwealth Equity Services, LLC in Q3 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
i3 Verticals, Inc.44933TAB2NOTE 1.000% 2/125,000$23.0K<0.1%00.0%Unchanged–
AQMSAqua Metals, Inc.COM21,397$24.0K<0.1%00.0%UnchangedHistory
TGBTrekor Metals LtdCOM18,695$24.0K<0.1%00.0%UnchangedHistory
RGLSRegulus Therapeutics Inc.COM17,500$24.0K<0.1%00.0%UnchangedHistory
VEROVenus Concept Inc.COM NEW12,416$24.0K<0.1%00.0%UnchangedHistory
ADAPYAdaptimmune Therapeutics PLCSPONDS ADR31,875$25.0K<0.1%00.0%UnchangedHistory
ATOSAtossa Therapeutics, Inc.COM33,345$25.0K<0.1%−1,260−3.6%ReducedHistory
GWHESS Tech, Inc.CL SHS13,229$25.0K<0.1%−63,460−82.7%ReducedHistory
PYXSPyxis Oncology, Inc.COMMON STOCK12,950$26.0K<0.1%+12,950NewHistory
MCRBSeres Therapeutics, Inc.COM11,040$26.0K<0.1%+11,040NewHistory
FLNTFluent, Inc.COM60,268$27.0K<0.1%00.0%UnchangedHistory
Affimed N VN01045108COM56,196$27.0K<0.1%−2,500−4.3%Reduced–
PBYIPuma Biotechnology, Inc.COM10,749$28.0K<0.1%00.0%UnchangedHistory
QSIQuantum-Si IncCOM CL A16,774$28.0K<0.1%+16,774NewHistory
AXTIAxt IncCOM12,156$29.0K<0.1%−311−2.5%ReducedHistory
CCCCC4 Therapeutics, Inc.COM STK15,471$29.0K<0.1%+61+0.4%AddedHistory
Emx Rty Corp26873J107COM16,019$29.0K<0.1%−726−4.3%Reduced–
XFORX4 Pharmaceuticals, IncCOM26,750$29.0K<0.1%+4,250+18.9%AddedHistory
CANCanaan Inc.SPONSORED ADS16,680$30.0K<0.1%+2,490+17.5%AddedHistory
SGMOQSangamo Therapeutics, IncCOM50,296$30.0K<0.1%+4,436+9.7%AddedHistory
GANGAN LtdORD SHS26,282$30.0K<0.1%−2,275−8.0%ReducedHistory
BIRDSmartbird, Inc.COM CL A27,364$30.0K<0.1%+2,425+9.7%AddedHistory
SWIMLatham Group, Inc.COM10,982$31.0K<0.1%+99+0.9%AddedHistory
VGZVista Gold CorpCOM NEW75,270$32.0K<0.1%00.0%UnchangedHistory
GPROGoPro, Inc.CL A10,564$33.0K<0.1%00.0%UnchangedHistory
PFIEProfire Energy IncCOM11,952$33.0K<0.1%+11,952NewHistory
WKHSWorkhorse Group Inc.COM NEW79,286$33.0K<0.1%+10,673+15.6%AddedHistory
GMDAGamida Cell Ltd.SHS31,600$33.0K<0.1%00.0%UnchangedHistory
SONXSonendo, Inc.COM43,830$33.0K<0.1%00.0%UnchangedHistory
APLTApplied Therapeutics, Inc.COM13,550$34.0K<0.1%+13,550NewHistory
INSGInseego Corp.COM81,092$34.0K<0.1%−5,820−6.7%ReducedHistory
Beachbody Company, Inc.073463101COM CL A113,931$34.0K<0.1%+17,000+17.5%Added–
UROYUranium Royalty Corp.COM11,693$34.0K<0.1%+1,332+12.9%AddedHistory
ARAYAccuray IncCOM13,041$35.0K<0.1%+13,041NewHistory
MIROMiromatrix Medical Inc.COM26,669$35.0K<0.1%00.0%UnchangedHistory
ZOMDFZomedica Corp.COM215,090$36.0K<0.1%+1,380+0.6%AddedHistory
BARKBark, Inc.COM30,233$36.0K<0.1%−1,000−3.2%ReducedHistory
HUMAHumacyte, Inc.COM12,580$37.0K<0.1%+12,580NewHistory
BCABBioAtla, Inc.COM21,800$37.0K<0.1%00.0%UnchangedHistory
RENTRent the Runway, Inc.COM CL A55,250$38.0K<0.1%+30,050+119.2%AddedHistory
COMPCompass, Inc.CL A13,553$39.0K<0.1%−6,518−32.5%ReducedHistory
JOBGEE Group Inc.COM66,551$39.0K<0.1%00.0%UnchangedHistory
REAXReal REMAX Group Inc.COM NEW26,912$39.0K<0.1%−2,000−6.9%ReducedHistory
CIFMFS Intermediate High Income FundSH BEN INT24,779$39.0K<0.1%00.0%UnchangedHistory
AZA2Z CUST2MATE Solutions Corp.COM23,806$39.0K<0.1%00.0%UnchangedHistory
QVCGAOld QVC Group, Inc.COM SER A65,696$40.0K<0.1%−1,253−1.9%ReducedHistory
ATAIAtai Beckley N.V.SHS30,758$40.0K<0.1%+1,018+3.4%AddedHistory
WBXWallbox N.V.SHS17,690$40.0K<0.1%00.0%UnchangedHistory
CDXSCodexis, Inc.COM22,000$42.0K<0.1%+22,000NewHistory
KODKEastman Kodak CoCOM NEW10,022$42.0K<0.1%+10,022NewHistory
CDECoeur Mining, Inc.COM NEW19,549$43.0K<0.1%00.0%UnchangedHistory
LXRXLexicon Pharmaceuticals, Inc.COM NEW39,569$43.0K<0.1%+24,400+160.9%AddedHistory
ETF Managers Tr26924G755ETFMG US ALTER23,190$43.0K<0.1%+23,190New–
TDAYUSA TODAY Co., Inc.COM18,010$44.0K<0.1%+2,997+20.0%AddedHistory
BDSXBiodesix IncCOM26,898$44.0K<0.1%+3,834+16.6%AddedHistory
MGFAberdeen Government Markets Income FundSH BEN INT14,465$44.0K<0.1%+2,026+16.3%AddedHistory
EOSEEos Energy Enterprises, Inc.COM CL A21,110$45.0K<0.1%−3,024−12.5%ReducedHistory
DISH Network CORP25470MAB5NOTE 3.375% 8/175,000$45.0K<0.1%00.0%Unchanged–
NGLNGL Energy Partners LPCOM UNIT REPST11,571$45.0K<0.1%00.0%UnchangedHistory
REALTheRealReal, Inc.COM22,452$47.0K<0.1%+100+0.4%AddedHistory
AMLIFAmerican Lithium Corp.COM32,954$47.0K<0.1%+3,500+11.9%AddedHistory
TELFYTelefonica S ASPONSORED ADR11,592$47.0K<0.1%−1,574−12.0%ReducedHistory
HUTHut 8 Corp.Common Stock24,576$48.0K<0.1%+3,150+14.7%AddedHistory
SPIRSpire Global, Inc.COM CL A NEW10,004$49.0K<0.1%00.0%UnchangedConverted for a 1-for-8 splitHistory
LPTHLightpath Technologies IncCOM CL A34,500$50.0K<0.1%+34,500NewHistory
ASGLiberty All Star Growth Fund Inc.COM10,022$50.0K<0.1%+8+0.1%AddedHistory
DDD3D Systems CorpCOM NEW10,615$52.0K<0.1%−3,552−25.1%ReducedHistory
BRBSBlue Ridge Bankshares, Inc.COM11,603$52.0K<0.1%00.0%UnchangedHistory
LTRNLantern Pharma Inc.COM15,368$52.0K<0.1%−1,445−8.6%ReducedHistory
ZVRAZevra Therapeutics, Inc.COM NEW10,858$52.0K<0.1%+858+8.6%AddedHistory
DFTXDefinium Therapeutics, Inc.Stock16,951$53.0K<0.1%+16,951NewHistory
WRAPWrap Technologies, Inc.COM35,180$53.0K<0.1%−1,035−2.9%ReducedHistory
ARQTArcutis Biotherapeutics, Inc.COM10,259$54.0K<0.1%00.0%UnchangedHistory
QBTSD-Wave Quantum Inc.Stock57,036$55.0K<0.1%+57,036NewHistory
ABCLAbCellera Biologics Inc.COM12,019$55.0K<0.1%+1,000+9.1%AddedHistory
CRMDCorMedix Inc.COM14,989$55.0K<0.1%−1,000−6.3%ReducedHistory
DYAIDyadic International IncCOM28,723$55.0K<0.1%+1,053+3.8%AddedHistory
SMSISmith Micro Software, Inc.COM NEW45,207$55.0K<0.1%00.0%UnchangedHistory
VMEOVimeo, Inc.COMMON STOCK15,611$55.0K<0.1%−1,625−9.4%ReducedHistory
NVTAInvitae CorpCOM94,696$57.0K<0.1%−347−0.4%ReducedHistory
UBXUnity Biotechnology, Inc.COM24,362$58.0K<0.1%−100.0%ReducedHistory
ADMAAdma Biologics, Inc.COM16,360$59.0K<0.1%+6,250+61.8%AddedHistory
IGCIGC Pharma, Inc.COM NEW165,490$59.0K<0.1%+112,334+211.3%AddedHistory
BIVIBiovie Inc.CL A NEW17,370$59.0K<0.1%+500+3.0%AddedHistory
BFLYButterfly Network, Inc.COM CL A50,537$60.0K<0.1%−26,365−34.3%ReducedHistory
JMIAJumia Technologies AGSPONSORED ADS22,544$60.0K<0.1%+381+1.7%AddedHistory
ZDGEZedge, Inc.CL B27,223$60.0K<0.1%+3,000+12.4%AddedHistory
BKCCBlackRock Capital Investment CorpCOM16,228$60.0K<0.1%−571−3.4%ReducedHistory
INFNInfinera CorpCOM14,253$60.0K<0.1%−1,000−6.6%ReducedHistory
CIKUBS Asset Management Income Fund, Inc.COM23,888$62.0K<0.1%+1,173+5.2%AddedHistory
USAUU.S. Gold Corp.COM NEW20,000$62.0K<0.1%00.0%UnchangedHistory
STEXStreamex Corp.COM NEW125,705$62.0K<0.1%00.0%UnchangedHistory
IAFAbrdn Australia Equity Fund, Inc.COM15,832$63.0K<0.1%+117+0.7%AddedHistory
PBIPitney Bowes IncCOM21,146$64.0K<0.1%−1,001−4.5%ReducedHistory
LCTXLineage Cell Therapeutics, Inc.COM54,482$64.0K<0.1%+3,000+5.8%AddedHistory
PSNYPolestar Automotive Holding UK PLCADS A24,346$64.0K<0.1%+12,697+109.0%AddedHistory
CIGEnergy Co of Minas GeraisSP ADR N-V PFD26,829$65.0K<0.1%−1,338−4.8%ReducedHistory
EVLVEvolv Technologies Holdings, Inc.COM CL A13,974$68.0K<0.1%+2,448+21.2%AddedHistory
GRABGrab Holdings LtdCLASS A ORD19,067$68.0K<0.1%00.0%UnchangedHistory
CTMXCytomX Therapeutics, Inc.COM53,243$69.0K<0.1%00.0%UnchangedHistory

Sold out since Q2 2023 (176)

Positions held at the end of Q2 2023 that are gone from this filing.

The largest 100 of 176 by value last quarter.

Positions of Commonwealth Equity Services, LLC sold out since Q2 2023
SecurityClassShares in Q2 2023Value in Q2 2023% of portfolio in Q2 2023History
MMPMagellan Midstream Partners, L.P.COM UNIT RP LP87,563$5.46M<0.1%History
Exchange Traded Concepts Tr301505749VSPR US LC ETF202,081$4.97M<0.1%–
TWNKHostess Brands, Inc.CL A86,841$2.20M<0.1%History
Innovator ETFs Tr45783Y590PREM INCM 40 BAR58,035$1.43M<0.1%–
DBIDesigner Brands Inc.CL A139,320$1.41M<0.1%History
TSTenaris SASPONSORED ADS44,892$1.34M<0.1%History
MHOM/I Homes, Inc.COM13,721$1.20M<0.1%History
Innovator ETFs Tr45782C128GROWTH ACCELRTD47,690$1.08M<0.1%–
RTLNecessity Retail REIT, Inc.COM CLASS A156,858$1.06M<0.1%History
Liberty Media Corp531229409COM A SIRIUSXM31,066$1.02M<0.1%–
EZPWEzcorp IncCL A NON VTG117,297$983.0K<0.1%History
MODVModivCare IncCOM18,155$821.0K<0.1%History
GTLBGitlab Inc.CLASS A COM16,006$818.0K<0.1%History
TRTNTriton International LtdCL A9,627$802.0K<0.1%History
Absolute Shs Tr00400R858WBI PWR FACTOR30,352$787.0K<0.1%–
WWEWorld Wrestling Entertainment, LLCCL A7,014$761.0K<0.1%History
ZYXIZynex IncCOM74,222$712.0K<0.1%History
GGenpact LTDSHS17,390$653.0K<0.1%History
TCOMTrip.com Group LtdADS18,611$651.0K<0.1%History
Global X FDS37954Y319MSCI GREECE ETF17,058$633.0K<0.1%–
LSILife Storage, Inc.COM4,641$617.0K<0.1%History
Flexshares Tr33939L654US QT LW VLTY10,272$549.0K<0.1%–
Etfis Ser Tr I26923G772INFRAC ACT MLP16,193$537.0K<0.1%–
iShares Inc464286822MSCI MEXICO ETF8,561$532.0K<0.1%–
Cambria ETF Tr132061862TAIL RISK38,997$530.0K<0.1%–
DEIDouglas Emmett IncCOM41,919$527.0K<0.1%History
HVTHaverty Furniture Companies IncCOM17,330$524.0K<0.1%History
LBRDKLiberty Broadband CorpCOM SER C6,400$513.0K<0.1%History
MOVMovado Group IncCOM17,760$477.0K<0.1%History
BYDBoyd Gaming CorpCOM6,671$463.0K<0.1%History
JRONuveen Floating Rate Income Opportunity FundCOM SHS57,573$449.0K<0.1%History
CARAvis Budget Group, Inc.COM1,929$441.0K<0.1%History
ANFAbercrombie & Fitch CoCL A11,320$427.0K<0.1%History
VIPSVipshop Holdings LtdSPONSORED ADS A24,756$408.0K<0.1%History
LOCOEl Pollo Loco Holdings, Inc.COM46,259$406.0K<0.1%History
DVDoubleVerify Holdings, Inc.COM9,482$369.0K<0.1%History
DXPEDXP Enterprises IncCOM NEW9,984$364.0K<0.1%History
BKIBlack Knight, Inc.COM5,956$356.0K<0.1%History
UHALU-Haul Holding CoCOM6,309$349.0K<0.1%History
NVCRNovoCure LtdORD SHS8,401$349.0K<0.1%History
BCCBoise Cascade CoCOM3,470$314.0K<0.1%History
DBPInvesco DB Precious Metals FundPRECIOUS METAL6,277$310.0K<0.1%History
SALSalisbury Bancorp, Inc.COM13,042$309.0K<0.1%History
Nushares ETF Tr67092P110NUVEEN ESG 1-512,830$293.0K<0.1%–
MASIMasimo CorpCOM1,760$290.0K<0.1%History
Invesco Exch Traded FD Tr II46138E164S&P SMLCP ENGY30,190$286.0K<0.1%–
SSentinelOne, Inc.CL A18,748$283.0K<0.1%History
PENGPenguin Solutions, Inc.SHS9,650$280.0K<0.1%History
MLVFMalvern Bancorp, Inc.COM17,489$275.0K<0.1%History
AMHAmerican Homes 4 RentCL A7,685$272.0K<0.1%History
iShares U S ETF Tr46431W705INT RT HDG C B2,832$263.0K<0.1%–
ProShares Tr74347R206PSHS ULTRA QQQ4,092$263.0K<0.1%–
RESRPC IncCOM36,755$263.0K<0.1%History
Exchange Traded Concepts Tr301505723ROBO GBL HLTCR8,698$262.0K<0.1%–
ZDZiff Davis, Inc.COM3,663$257.0K<0.1%History
Exchange Listed FDS Tr30151E814HIGH YIELD ETF10,031$256.0K<0.1%–
JHGJanus Henderson Group Ltd.ORD SHS9,338$254.0K<0.1%History
VRNAVerona Pharma plcSPONSORED ADS11,960$253.0K<0.1%History
SPDR Series Trust78464A490ST STR FTSE ETF6,013$251.0K<0.1%–
GHGuardant Health, Inc.COM6,970$250.0K<0.1%History
FLFoot Locker, Inc.COM9,144$248.0K<0.1%History
Invesco Exchange Traded FD T46137V589GBL LISTED PVT23,526$248.0K<0.1%–
TNLTravel & Leisure Co.COM6,081$245.0K<0.1%History
Managed Portfolio Series46143U849KNWLDL LD ETF5,923$242.0K<0.1%–
FWRDForward Air CorpCOM2,271$241.0K<0.1%History
SAGESage Therapeutics, Inc.COM5,121$241.0K<0.1%History
Etfis Ser Tr I26923G780VIRTUS REAL AS10,205$239.0K<0.1%–
ProShares Tr74347X823ULTRPRO DOW303,993$238.0K<0.1%–
FWONKLiberty Media CorpCOM SER C FRMLA3,154$237.0K<0.1%History
CNMDCONMED CorpCOM1,728$235.0K<0.1%History
IRBTiRobot CorpCOM5,098$231.0K<0.1%History
iShares Tr46434V787YLD OPTIM BD10,485$230.0K<0.1%–
CHDNChurchill Downs IncCOM1,650$230.0K<0.1%History
Invesco Exch Traded FD Tr II46138E644INTL BUYBACK6,657$230.0K<0.1%–
VSATViasat IncCOM5,572$230.0K<0.1%History
GRBKGreen Brick Partners, Inc.COM4,028$229.0K<0.1%History
First Tr Exchange-Traded FD33739Q507SSI STRG ETF6,989$228.0K<0.1%–
HRIHerc Holdings IncCOM1,663$228.0K<0.1%History
NSSCNapco Security Technologies, IncStock6,540$227.0K<0.1%History
PENPenumbra IncCOM659$227.0K<0.1%History
Townebank Portsmouth Va89214P109COM9,742$226.0K<0.1%–
CPRICapri Holdings LtdSHS6,296$226.0K<0.1%History
MKTXMarketaxess Holdings IncCOM858$224.0K<0.1%History
MNROMonro, Inc.COM5,455$222.0K<0.1%History
Coherent Corp.19247G2066% CONV PFD A978$222.0K<0.1%–
Procure ETF Trust II74280R205SPACE ETF11,553$221.0K<0.1%–
JSDNuveen Short Duration Credit Opportunities FundCOM19,110$221.0K<0.1%History
iShares Tr464288695GLOBAL MATER ETF2,672$219.0K<0.1%–
INVHInvitation Homes Inc.COM6,302$217.0K<0.1%History
FORGForgeRock, Inc.CL A10,510$216.0K<0.1%History
HUBGHub Group, Inc.CL A2,681$215.0K<0.1%History
MLCOMelco Resorts & Entertainment LTDADR17,576$215.0K<0.1%History
BKNBlackRock Investment Quality Municipal Trust, Inc.COM18,327$213.0K<0.1%History
SCLStepan CoCOM2,220$212.0K<0.1%History
FIVNFive9, Inc.COM2,560$211.0K<0.1%History
COLMColumbia Sportswear CoCOM2,720$210.0K<0.1%History
SPDR Index Shs FDS78463X863ST DOW INTL ETF8,490$210.0K<0.1%–
DOORMasonite International CorpCOM2,046$210.0K<0.1%History
NSLNuveen Senior Income FundCOM45,860$210.0K<0.1%History
AJRDAerojet Rocketdyne Holdings, Inc.COM3,807$209.0K<0.1%History