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Livermore
Livermore
ZHEN

Commonwealth Equity Services, LLC

SEC CIK
0000312272
Latest filing
Jul 29, 2026

Holdings in Q4 2023

Holdings as of Dec 31, 2023, filed Feb 6, 2024. Long positions only; changes compare share counts with Q3 2023.

Institution overview
Positions
3,900
+77 vs. Q3 2023
Portfolio value
$54.6B
+$6.32B (+13.1%) vs. Q3 2023
Filed
Feb 6, 2024
SEC
Holdings of Commonwealth Equity Services, LLC in Q4 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
UROYUranium Royalty Corp.COM10,461$28.0K<0.1%−1,232−10.5%ReducedHistory
SWIMLatham Group, Inc.COM10,982$29.0K<0.1%00.0%UnchangedHistory
ATOSAtossa Therapeutics, Inc.COM33,345$29.0K<0.1%00.0%UnchangedHistory
BDSXBiodesix IncCOM15,913$29.0K<0.1%−10,985−40.8%ReducedHistory
WKHSWorkhorse Group Inc.COM NEW79,696$29.0K<0.1%+410+0.5%AddedHistory
RDWRedwire CorpStock10,542$30.0K<0.1%+10,542NewHistory
INSGInseego Corp.COM142,320$31.0K<0.1%+61,228+75.5%AddedHistory
OKUROnKure Therapeutics, Inc.COM19,347$31.0K<0.1%00.0%UnchangedHistory
JOBGEE Group Inc.COM64,700$32.0K<0.1%−1,851−2.8%ReducedHistory
ADCTADC Therapeutics SASHS19,852$33.0K<0.1%+19,852NewHistory
ELVAElectrovaya Inc.COM NEW10,681$33.0K<0.1%+10,681NewHistory
VGZVista Gold CorpCOM NEW75,270$34.0K<0.1%00.0%UnchangedHistory
WTIW&T Offshore IncCOM10,400$34.0K<0.1%+10,400NewHistory
BRBSBlue Ridge Bankshares, Inc.COM11,603$35.0K<0.1%00.0%UnchangedHistory
BIRDSmartbird, Inc.COM CL A29,374$36.0K<0.1%+2,010+7.3%AddedHistory
ARAYAccuray IncCOM13,000$37.0K<0.1%−41−0.3%ReducedHistory
GANGAN LtdORD SHS23,781$38.0K<0.1%−2,501−9.5%ReducedHistory
KODKEastman Kodak CoCOM NEW10,022$39.0K<0.1%00.0%UnchangedHistory
OTLKOutlook Therapeutics, Inc.COM NEW100,000$39.0K<0.1%+37,000+58.7%AddedHistory
Freyr BatteryL4135L100COM20,776$39.0K<0.1%+3,257+18.6%Added–
ONDSOndas Inc.COM NEW25,983$40.0K<0.1%00.0%UnchangedHistory
CDXSCodexis, Inc.COM13,000$40.0K<0.1%−9,000−40.9%ReducedHistory
DISH Network CORP25470MAB5NOTE 3.375% 8/175,000$40.0K<0.1%00.0%Unchanged–
FLNTFluent, Inc.COM60,268$40.0K<0.1%00.0%UnchangedHistory
LPTHLightpath Technologies IncCOM CL A32,500$41.0K<0.1%−2,000−5.8%ReducedHistory
TDAYUSA TODAY Co., Inc.COM18,010$41.0K<0.1%00.0%UnchangedHistory
AMLIFAmerican Lithium Corp.COM37,597$41.0K<0.1%+4,643+14.1%AddedHistory
ATAIAtai Beckley N.V.SHS29,578$42.0K<0.1%−1,180−3.8%ReducedHistory
BEEPMobile Infrastructure CorpCOM SHS10,738$43.0K<0.1%+10,738NewHistory
TELFYTelefonica S ASPONSORED ADR11,057$43.0K<0.1%−535−4.6%ReducedHistory
ZOMDFZomedica Corp.COM214,790$43.0K<0.1%−300−0.1%ReducedHistory
GOSSGossamer Bio, Inc.COM47,908$44.0K<0.1%+47,908NewHistory
COMPCompass, Inc.CL A12,010$45.0K<0.1%−1,543−11.4%ReducedHistory
DYAIDyadic International IncCOM28,177$45.0K<0.1%−546−1.9%ReducedHistory
APLTApplied Therapeutics, Inc.COM13,550$45.0K<0.1%00.0%UnchangedHistory
UBXUnity Biotechnology, Inc.COM23,612$46.0K<0.1%−750−3.1%ReducedHistory
PBYIPuma Biotechnology, Inc.COM10,749$47.0K<0.1%00.0%UnchangedHistory
TSHATaysha Gene Therapies, Inc.COM SHS26,769$47.0K<0.1%−202−0.7%ReducedHistory
BNKKBonk, Inc.COM NEW13,522$47.0K<0.1%+13,522NewHistory
REAXReal REMAX Group Inc.COM NEW29,912$48.0K<0.1%+3,000+11.1%AddedHistory
LIANYLianBioSPONSORED ADS10,830$48.0K<0.1%00.0%UnchangedHistory
BFLYButterfly Network, Inc.COM CL A45,375$49.0K<0.1%−5,162−10.2%ReducedHistory
QBTSD-Wave Quantum Inc.Stock57,036$50.0K<0.1%00.0%UnchangedHistory
WULFTerawulf Inc.COM20,778$50.0K<0.1%+20,778NewHistory
IBRXImmunityBio, Inc.COM10,185$51.0K<0.1%+10,185NewHistory
MAPSWM Technology, Inc.COM70,813$51.0K<0.1%+11,500+19.4%AddedHistory
LXRXLexicon Pharmaceuticals, Inc.COM NEW34,184$52.0K<0.1%−5,385−13.6%ReducedHistory
LCTXLineage Cell Therapeutics, Inc.COM47,761$52.0K<0.1%−6,721−12.3%ReducedHistory
ASGLiberty All Star Growth Fund Inc.COM10,022$53.0K<0.1%00.0%UnchangedHistory
VELOVelo3D, Inc.COMMON STOCK134,000$53.0K<0.1%+59,548+80.0%AddedHistory
SLDPSolid Power, Inc.CLASS A COM37,570$54.0K<0.1%−2,000−5.1%ReducedHistory
BCABBioAtla, Inc.COM21,800$54.0K<0.1%00.0%UnchangedHistory
SNDLSNDL Inc.COM34,191$56.0K<0.1%−6,681−16.3%ReducedHistory
ZDGEZedge, Inc.CL B23,723$56.0K<0.1%−3,500−12.9%ReducedHistory
Bitfarms Ltd Com09173B107Stock19,392$56.0K<0.1%+7,531+63.5%Added–
MGFAberdeen Government Markets Income FundSH BEN INT17,504$56.0K<0.1%+3,039+21.0%AddedHistory
CIGEnergy Co of Minas GeraisSP ADR N-V PFD24,527$57.0K<0.1%−2,302−8.6%ReducedHistory
PCTPureCycle Technologies, Inc.COM14,354$58.0K<0.1%+943+7.0%AddedHistory
IAFAbrdn Australia Equity Fund, Inc.COM13,292$58.0K<0.1%−2,540−16.0%ReducedHistory
VFFVillage Farms International, Inc.COM76,890$59.0K<0.1%−23,800−23.6%ReducedHistory
HTZWWHertz Global Holdings, IncCommon Stock10,807$59.0K<0.1%−2,680−19.9%ReducedHistory
ABATAmerican Battery Technology CoCOM NEW12,889$60.0K<0.1%−3,318−20.5%ReducedHistory
STEXStreamex Corp.COM NEW125,705$60.0K<0.1%00.0%UnchangedHistory
DFTXDefinium Therapeutics, Inc.Stock16,530$61.0K<0.1%−421−2.5%ReducedHistory
NVTAInvitae CorpCOM97,616$61.0K<0.1%+2,920+3.1%AddedHistory
Sunpower Corp867652406COM12,686$61.0K<0.1%−572−4.3%Reduced–
GMDAGamida Cell Ltd.SHS147,300$61.0K<0.1%+115,700+366.1%AddedHistory
VMEOVimeo, Inc.COMMON STOCK15,444$61.0K<0.1%−167−1.1%ReducedHistory
CDECoeur Mining, Inc.COM NEW18,945$62.0K<0.1%−604−3.1%ReducedHistory
INFNInfinera CorpCOM13,000$62.0K<0.1%−1,253−8.8%ReducedHistory
QVCGAOld QVC Group, Inc.COM SER A71,918$63.0K<0.1%+6,222+9.5%AddedHistory
SIGASiga Technologies IncCOM11,650$65.0K<0.1%−2,365−16.9%ReducedHistory
Simplify Exchange Traded Fun82889N780TAIL RISK STRAT318,839$65.0K<0.1%+76,244+31.4%Added–
BKCCBlackRock Capital Investment CorpCOM17,040$66.0K<0.1%+812+5.0%AddedHistory
NRONeuberger Real Estate Securities Income Fund IncCOM21,257$68.0K<0.1%−20,430−49.0%ReducedHistory
QSIQuantum-Si IncCOM CL A33,710$68.0K<0.1%+16,936+101.0%AddedHistory
HMYHarmony Gold Mining Co LtdADR11,271$69.0K<0.1%−13,867−55.2%ReducedHistory
EXKEndeavour Silver CorpCOM34,783$69.0K<0.1%00.0%UnchangedHistory
AMCAMC Entertainment Holdings, Inc.CL A NEW11,507$70.0K<0.1%+11,507NewHistory
EADAllspring Income Opportunities FundINC OPPTY FD10,980$72.0K<0.1%−10,486−48.8%ReducedHistory
APLDApplied Digital Corp.COM NEW10,708$72.0K<0.1%−1,713−13.8%ReducedHistory
EQEquillium, Inc.COM100,000$72.0K<0.1%+100,000NewHistory
PRPHProPhase Labs, Inc.COM16,027$72.0K<0.1%−2,300−12.5%ReducedHistory
SRIVARU Holding LtdG8403L102ORD SHS200,000$72.0K<0.1%+200,000New–
SENSSenseonics Holdings, Inc.COM128,703$73.0K<0.1%−20,635−13.8%ReducedHistory
PSNYPolestar Automotive Holding UK PLCADS A32,488$73.0K<0.1%+8,142+33.4%AddedHistory
ADMAAdma Biologics, Inc.COM16,360$74.0K<0.1%00.0%UnchangedHistory
DHCDiversified Healthcare TrustCOM SH BEN INT19,765$74.0K<0.1%−32,268−62.0%ReducedHistory
Advisorshares Tr00768Y495PURE CANNABIS24,416$74.0K<0.1%−6,064−19.9%Reduced–
CIKUBS Asset Management Income Fund, Inc.COM24,035$75.0K<0.1%+147+0.6%AddedHistory
ONCYOncolytics Biotech IncCOM NEW55,580$75.0K<0.1%+55,580NewHistory
BLNKBlink Charging Co.COM22,419$76.0K<0.1%−1,042−4.4%ReducedHistory
PGENPrecigen, Inc.COM57,340$77.0K<0.1%−3,359−5.5%ReducedHistory
CVVCVD Equipment CorpCOM17,340$77.0K<0.1%00.0%UnchangedHistory
HIOWestern Asset High Income Opportunity Fund Inc.COM20,213$78.0K<0.1%−22,761−53.0%ReducedHistory
RSIRush Street Interactive, Inc.COM17,595$79.0K<0.1%−250−1.4%ReducedHistory
SPIRSpire Global, Inc.COM CL A NEW10,117$79.0K<0.1%+113+1.1%AddedHistory
UPWheels Up Experience Inc.COM CL A23,104$79.0K<0.1%+23,104NewHistory
FIGSFIGS, Inc.CL A11,488$80.0K<0.1%−883−7.1%ReducedHistory
Ares Capital Corp04010LAW3NOTE 4.625% 3/080,000$82.0K<0.1%00.0%Unchanged–

Sold out since Q3 2023 (179)

Positions held at the end of Q3 2023 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 2023
SecurityClassShares in Q3 2023Value in Q3 2023% of portfolio in Q3 2023History
iShares Tr46436E882IBONDS 23 TRM TS1,438,133$35.7M0.1%–
Invesco Exch TRD SLF Idx FD46138J866BULSHS 2023 CB812,527$17.3M<0.1%–
iShares Tr46434VAX8IBONDS DEC23 ETF458,772$11.6M<0.1%–
Innovator ETFs Trust45783Y673QUITY MANAGD FLR364,785$9.35M<0.1%–
ATVIActivision Blizzard, Inc.COM98,248$9.20M<0.1%History
Nuveen PFD & Incm Securties67072C105COM1,454,172$8.97M<0.1%–
Innovator ETFs Tr45782C243INVTOR 2 PLS 5257,254$4.96M<0.1%–
CHXChampionX CorpCOM127,374$4.54M<0.1%History
Simplify Exchange Traded Fun82889N731CONVEXITY ETF218,968$4.10M<0.1%–
iShares Tr46435G318IBONDS DEC2023153,537$3.92M<0.1%–
Invesco Exch TRD SLF Idx FD46138J858BULSHS 2023 HY145,359$3.42M<0.1%–
Flexshares Tr33939L670CRE SLCT BD FD149,354$3.16M<0.1%–
VMWVmware LLCCL A COM18,976$3.16M<0.1%History
iShares Tr46435U150IBONDS 23 TRM HG124,303$2.94M<0.1%–
HZNPHorizon Therapeutics Public Ltd CoSHS24,946$2.89M<0.1%History
FROFrontline plcCOM140,103$2.63M<0.1%History
SGENSeagen Inc.COM9,247$1.96M<0.1%History
Invesco Exch TRD SLF Idx FD46138J544BULSHS 2023 MUNI73,313$1.84M<0.1%–
DARDarling Ingredients Inc.COM30,714$1.60M<0.1%History
NEWRNew Relic, Inc.COM16,109$1.38M<0.1%History
TFIITFI International Inc.COM7,597$976.0K<0.1%History
Advisorshares Tr00768Y412RANGER EQUITY BE34,332$804.0K<0.1%–
SORSource CapitalCOM17,629$680.0K<0.1%History
LSTRLandstar System IncCOM3,802$673.0K<0.1%History
Principal Exchange-Traded FD74255Y508PRCPL MIL INDX16,561$657.0K<0.1%–
Flexshares Tr33939L787GLB QLT R/E IDX12,528$613.0K<0.1%–
ALGMAllegro Microsystems, Inc.COM18,640$595.0K<0.1%History
SPDR Series Trust78468R861STATE STRET SPDR29,435$532.0K<0.1%–
PACWPacwest BancorpCOM66,883$529.0K<0.1%History
Advisorshares Tr00768Y420ALPHA DNA EQUITY23,700$527.0K<0.1%–
VTNRVertex Energy Inc.COM110,966$494.0K<0.1%History
LMBLimbach Holdings, Inc.COM15,550$493.0K<0.1%History
Aim ETF Products Trust00888H828ALLIANZIM US EQT18,641$490.0K<0.1%–
AMNAmn Healthcare Services IncCOM5,672$483.0K<0.1%History
CEQPCrestwood Equity Partners LPUNIT LTD PARTNER16,335$478.0K<0.1%History
PIMCO ETF Tr72201R635MUNI INCOME OPP10,869$467.0K<0.1%–
STRLSterling Infrastructure, Inc.COM5,942$437.0K<0.1%History
Innovator ETFs Tr45783Y772US EQTY ACC PLUS18,976$437.0K<0.1%–
Pgim ETF Tr69344A206ACTV HY BD ETF12,918$432.0K<0.1%–
FDEUFirst Trust Dynamic Europe Equity Income FundCOM SHS33,260$412.0K<0.1%History
NSANational Storage Affiliates TrustCOM SHS BEN IN12,056$383.0K<0.1%History
iShares U S ETF Tr46431W598BLOOMBERG ROLL7,376$380.0K<0.1%–
ProShares Tr74347G689ULTSHT RUSS200020,628$322.0K<0.1%–
THSTreeHouse Foods, Inc.COM7,321$319.0K<0.1%History
PFSIPennyMac Financial Services, Inc.COM4,666$311.0K<0.1%History
MSBIMidland States Bancorp, Inc.COM15,144$311.0K<0.1%History
Global X FDS37954Y285TELMDC&DIG ETF33,414$307.0K<0.1%–
REVGREV Group, Inc.COM19,102$306.0K<0.1%History
ProShares Tr74348A434ULTSHT FTSE EURO27,779$302.0K<0.1%–
Simplify Exchange Traded Fun82889N798RISK PARITY TREA23,619$300.0K<0.1%–
ESABESAB CorpCOM4,201$295.0K<0.1%History
AMWDAmerican Woodmark CorpCOM3,798$287.0K<0.1%History
CPERUnited States Commodity Index Funds TrustCM REP COPP FD12,222$281.0K<0.1%History
BTUPeabody Energy CorpCOM10,810$281.0K<0.1%History
First Tr Exchng Traded FD VI33740F409INCOME OPPRTNTES14,289$266.0K<0.1%–
NBRNabors Industries LtdSHS2,156$265.0K<0.1%History
SIBNSI-BONE, Inc.COM12,410$264.0K<0.1%History
OFIXOrthofix Medical Inc.COM20,332$261.0K<0.1%History
JPINuveen Preferred Securities & Income Opportunities FundCOM15,146$260.0K<0.1%History
Fidelity Covington Trust316092170DISRU AUTOM ETF11,430$254.0K<0.1%–
CTLTCatalent, Inc.COM5,513$251.0K<0.1%History
NEWTNewtekOne, Inc.COM NEW16,936$250.0K<0.1%History
ATEXAnterix Inc.COM7,908$248.0K<0.1%History
DBBInvesco DB Base Metals FundBASE METALS FD12,735$244.0K<0.1%History
Listed FD Tr53656F680TRUESHARES NOV7,433$243.0K<0.1%–
BIOBio-Rad Laboratories, Inc.CL A674$242.0K<0.1%History
BEAMBeam Therapeutics Inc.COM9,812$236.0K<0.1%History
SPDR Series Trust78468R549SP O&G EQP SERV2,452$235.0K<0.1%–
SPDR Index Shs FDS78463X459ST STR SP GLBDIV4,299$235.0K<0.1%–
Invesco Exch Traded FD Tr II46138E545MSCI GBL TIMBR7,716$233.0K<0.1%–
VICRVicor CorpCOM3,933$232.0K<0.1%History
First Tr Exchange-Traded FD33733E708DIVIDEND STRNGTH5,521$232.0K<0.1%–
AXNXAxonics, Inc.COM4,106$230.0K<0.1%History
VOYAVoya Financial, Inc.COM3,409$227.0K<0.1%History
SILCSilicom Ltd.ORD8,450$221.0K<0.1%History
FOXAFox CorpCL A COM7,045$220.0K<0.1%History
SITESiteOne Landscape Supply, Inc.COM1,336$218.0K<0.1%History
DCHDauch CorpCOM29,859$217.0K<0.1%History
ProShares Tr74347B201PSHS ULTSH 20YRS5,538$217.0K<0.1%–
J P Morgan Exchange Traded F46654Q104INFL MANA BD ETF4,714$213.0K<0.1%–
LGILazard Global Total Return & Income Fund IncCOM15,365$213.0K<0.1%History
MSGEMadison Square Garden Entertainment Corp.COM CL A6,400$211.0K<0.1%History
NOGNorthern Oil & Gas, Inc.COM5,203$209.0K<0.1%History
PIMCO ETF Tr72201R403BROAD US TIPS4,031$209.0K<0.1%–
Fidelity Covington Trust316092279SUSTAINABILIT US10,401$209.0K<0.1%–
FFICFlushing Financial CorpCOM15,857$208.0K<0.1%History
Pacer FDS Tr69374H402US EXPORT LEAD4,983$208.0K<0.1%–
HLIOHelios Technologies, Inc.COM3,737$207.0K<0.1%History
VanEck Digital Native Economy ETF92189F882ETF5,170$205.0K<0.1%–
iShares Tr46429B333GNMA BOND ETF4,885$204.0K<0.1%–
CORNTeucrium Commodity TrustCORN FD SHS9,240$203.0K<0.1%History
Tidal Trust I886364645SONICSHARES GBL7,227$202.0K<0.1%–
CORTCorcept Therapeutics IncCOM7,429$202.0K<0.1%History
iShares Tr46435G847MSCI ACWI EXUS7,235$200.0K<0.1%–
EMFTempleton Emerging Markets FundCOM17,511$198.0K<0.1%History
Nuveen N Y Select Tax Free I67063V104SH BEN INT17,100$197.0K<0.1%–
CSTLCastle Biosciences IncCOM11,274$190.0K<0.1%History
ETF Managers Tr26924G763TREATMENTS TSTNG10,180$182.0K<0.1%–
VanEck Vectors ETF Tr92189H839SOCIAL SENTIMENT11,572$178.0K<0.1%–
LUNALuna Innovations IncCOM29,936$175.0K<0.1%History