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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
AGFirst Majestic Silver CorpCOM13,512$83.0K<0.1%−1,087−7.4%ReducedHistory
CTMXCytomX Therapeutics, Inc.COM53,243$83.0K<0.1%00.0%UnchangedHistory
SOARVolato Group, Inc.CL A COM22,066$83.0K<0.1%+22,066NewHistory
IAGIamgold CorpCOM33,752$85.0K<0.1%+210+0.6%AddedHistory
BBBLACKBERRY LtdCOM24,004$85.0K<0.1%+204+0.9%AddedHistory
CYHCommunity Health Systems IncCOM27,362$86.0K<0.1%+267+1.0%AddedHistory
SVCService Properties TrustCOM SH BEN INT10,102$86.0K<0.1%−135−1.3%ReducedHistory
GNTGAMCO Natural Resources, Gold & Income TrustSH BEN INT16,852$87.0K<0.1%+909+5.7%AddedHistory
SLIStandard Lithium Ltd.COM43,565$88.0K<0.1%+14,850+51.7%AddedHistory
NVAXNovavax IncCOM NEW18,308$88.0K<0.1%+1,001+5.8%AddedHistory
DISHDISH Network CORPCL A15,256$88.0K<0.1%−3,077−16.8%ReducedHistory
MHFWestern Asset Municipal High Income Fund Inc.COM13,938$89.0K<0.1%+13,938NewHistory
BRCCBRC Inc.COM CL A24,390$89.0K<0.1%−14,443−37.2%ReducedHistory
GRWGGrowGeneration Corp.COM35,447$89.0K<0.1%+860+2.5%AddedHistory
PLXProtalix BioTherapeutics, Inc.COM50,100$89.0K<0.1%00.0%UnchangedHistory
CCCCC4 Therapeutics, Inc.COM STK16,310$92.0K<0.1%+839+5.4%AddedHistory
HUMAHumacyte, Inc.COM32,580$93.0K<0.1%+20,000+159.0%AddedHistory
ERHAllspring Utilities & High Income FundWF UTILITIES INC10,131$93.0K<0.1%+10,131NewHistory
BDNBrandywine Realty TrustSH BEN INT NEW17,383$94.0K<0.1%−9,747−35.9%ReducedHistory
DCFBNY Mellon Alcentra Global Credit Income 2024 Target Term Fund, Inc.COM11,500$94.0K<0.1%−5,000−30.3%ReducedHistory
LABStandard Biotools Inc.COM42,914$95.0K<0.1%+12,832+42.7%AddedHistory
ACBAurora Cannabis IncCOM198,574$95.0K<0.1%+37,006+22.9%AddedHistory
HGLBHighland Global Allocation FundCOM12,120$95.0K<0.1%+12,120NewHistory
NNYNuveen New York Municipal Value FundCOM11,425$95.0K<0.1%−4,748−29.4%ReducedHistory
SABASaba Capital Income & Opportunities Fund IICOM25,015$95.0K<0.1%−10,436−29.4%ReducedHistory
WEATTeucrium Commodity TrustWHEAT FD16,155$96.0K<0.1%−7,114−30.6%ReducedHistory
TELATELA Bio, Inc.COM14,886$99.0K<0.1%−385−2.5%ReducedHistory
FSRFisker Inc.CL A COM STK56,594$99.0K<0.1%−4,827−7.9%ReducedHistory
PFOFlaherty & Crumrine PREFERRED & INCOME OPPORTUNITY FUND INCCOM12,601$100.0K<0.1%−1,334−9.6%ReducedHistory
GENIGenius Sports LtdSHARES CL A16,290$101.0K<0.1%+16,290NewHistory
FST Tr New Opport MLP & Ene33739M100COM14,710$101.0K<0.1%−6,271−29.9%Reduced–
BRLTBrilliant Earth Group, Inc.CL A COM27,431$102.0K<0.1%+27,431NewHistory
SACHSachem Capital Corp.COM27,223$102.0K<0.1%−3,565−11.6%ReducedHistory
BYNDBeyond Meat, Inc.COM11,534$103.0K<0.1%−316−2.7%ReducedHistory
JMIAJumia Technologies AGSPONSORED ADS29,044$103.0K<0.1%+6,500+28.8%AddedHistory
VKIInvesco Advantage Municipal Income Trust IISH BEN INT12,340$104.0K<0.1%−3,839−23.7%ReducedHistory
LINCLincoln Educational Services CorpCOM10,500$105.0K<0.1%00.0%UnchangedHistory
CODACoda Octopus Group, Inc.COM NEW17,500$105.0K<0.1%−1,000−5.4%ReducedHistory
NXDTNexpoint Diversified Real Estate TrustCOM NEW13,275$106.0K<0.1%−6,276−32.1%ReducedHistory
GROYGold Royalty Corp.COMMON SHARES72,235$106.0K<0.1%+8,196+12.8%AddedHistory
VLTInvesco High Income Trust IICOM10,288$107.0K<0.1%+10,288NewHistory
NKLANikola CorpCOM122,441$107.0K<0.1%+7,463+6.5%AddedHistory
WIWWestern Asset Inflation-Linked Opportunities & Income FundCEF12,422$108.0K<0.1%−2,775−18.3%ReducedHistory
Sandstorm Gold Ltd Com New80013R206Stock21,672$109.0K<0.1%+3,696+20.6%Added–
EODAllspring Global Dividend Opportunity FundCOM25,456$110.0K<0.1%+5,888+30.1%AddedHistory
HYBNew America High Income Fund IncCOM NEW15,634$110.0K<0.1%−7,798−33.3%ReducedHistory
UNITUniti Group Inc.COM18,965$110.0K<0.1%+1,321+7.5%AddedHistory
INDOIndonesia Energy Corp LtdORD SHS41,000$111.0K<0.1%+1,000+2.5%AddedHistory
PBIPitney Bowes IncCOM25,382$112.0K<0.1%+4,236+20.0%AddedHistory
BTGB2GOLD CorpCOM35,317$112.0K<0.1%−2,630−6.9%ReducedHistory
XPONExpion Energy, Inc.COM20,832$112.0K<0.1%+20,832NewHistory
EOLSEvolus, Inc.COM10,700$113.0K<0.1%−100−0.9%ReducedHistory
DDD3D Systems CorpCOM NEW17,745$113.0K<0.1%+7,130+67.2%AddedHistory
GPGreenpower Motor Co Inc.COM NEW36,173$113.0K<0.1%−8,950−19.8%ReducedHistory
RGTRoyce Global Trust, Inc.COM11,558$113.0K<0.1%−115−1.0%ReducedHistory
ELMDElectromed, Inc.Stock10,417$114.0K<0.1%00.0%UnchangedHistory
YEXTYext, Inc.COM19,304$114.0K<0.1%−11,800−37.9%ReducedHistory
Western Digital Corp958102AP0NOTE 1.500% 2/0115,000$115.0K<0.1%−31,000−21.2%Reduced–
CFSBCFSB Bancorp, Inc.COM18,000$116.0K<0.1%00.0%UnchangedHistory
ETNB89bio, Inc.COM10,503$117.0K<0.1%+10,503NewHistory
GSATGlobalstar, Inc.COM60,397$117.0K<0.1%−1,101−1.8%ReducedHistory
NGNovagold Resources IncCOM NEW31,791$119.0K<0.1%−200−0.6%ReducedHistory
CGOCalamos Global Total Return FundCOM SH BEN INT13,171$120.0K<0.1%+10+0.1%AddedHistory
NMLNeuberger Energy Infrastructure & Income Fund Inc.COM17,461$120.0K<0.1%+203+1.2%AddedHistory
ISPOInspirato IncCL A NEW32,577$120.0K<0.1%+8,599+35.9%AddedConverted for a 1-for-20 splitHistory
SMRNuscale Power CorpCL A COM36,673$121.0K<0.1%+18,434+101.1%AddedHistory
WRAPWrap Technologies, Inc.COM39,116$121.0K<0.1%+3,936+11.2%AddedHistory
BBVABanco Bilbao Vizcaya Argentaria, S.A.SPONSORED ADR13,393$122.0K<0.1%+13,393NewHistory
IFRXInflaRx N.V.COM75,000$122.0K<0.1%−15,000−16.7%ReducedHistory
BCSBarclays PLCADR15,598$123.0K<0.1%−689−4.2%ReducedHistory
BTDRBitdeer Technologies GroupCL A ORD SHS12,500$123.0K<0.1%+12,500NewHistory
Global X FDS37950E333GLBX SUPRINC ETF13,731$125.0K<0.1%−2,074−13.1%Reduced–
ERCAllspring Multi-Sector Income FundCOM13,265$125.0K<0.1%−193−1.4%ReducedHistory
Direxion Shs ETF Tr25460G617HYDROGEN ETF10,252$125.0K<0.1%+10,252New–
RENTRent the Runway, Inc.COM CL A238,650$126.0K<0.1%+183,400+331.9%AddedHistory
CMPSCOMPASS Pathways plcSPONSORED ADS14,653$128.0K<0.1%−1,552−9.6%ReducedHistory
ADTADT Inc.COM18,767$128.0K<0.1%+1,034+5.8%AddedHistory
USAUU.S. Gold Corp.COM NEW30,000$128.0K<0.1%+10,000+50.0%AddedHistory
GGZGabelli Global Small & Mid Cap Value TrustCOM10,942$128.0K<0.1%−1,667−13.2%ReducedHistory
Affimed N VN01045108COM204,759$128.0K<0.1%+148,563+264.4%Added–
CANCanaan Inc.SPONSORED ADS56,358$130.0K<0.1%+39,678+237.9%AddedHistory
GTXGarrett Motion Inc.Stock13,587$131.0K<0.1%−684−4.8%ReducedHistory
CEVEaton Vance California Municipal Income TrustSH BEN INT12,727$132.0K<0.1%+12,727NewHistory
GOOSCanada Goose Holdings Inc.SHS SUB VTG11,332$134.0K<0.1%+390+3.6%AddedHistory
RBBNRibbon Communications Inc.COM47,150$137.0K<0.1%+47,150NewHistory
FCOAbrdn Global Income Fund, Inc.COM21,173$137.0K<0.1%−7,488−26.1%ReducedHistory
GRXGabelli Healthcare & WellnessRx TrustSHS14,630$137.0K<0.1%−6,011−29.1%ReducedHistory
TCPCBlackRock TCP Capital Corp.COM11,969$138.0K<0.1%−4,005−25.1%ReducedHistory
ASTSAST SpaceMobile, Inc.COM CL A22,830$138.0K<0.1%−175−0.8%ReducedHistory
KLRSKalaris Therapeutics, Inc.COM203,500$138.0K<0.1%+203,500NewHistory
PNIPIMCO New York Municipal Income Fund IICOM18,292$139.0K<0.1%+60+0.3%AddedHistory
FAMFirst Trust/Abrdn Global Opportunity Income FundCOM SHS22,315$140.0K<0.1%00.0%UnchangedHistory
NCANuveen California Municipal Value FundCOM STK15,597$140.0K<0.1%−2,799−15.2%ReducedHistory
MVFBlackRock Munivest Fund, Inc.COM19,800$141.0K<0.1%−5,386−21.4%ReducedHistory
ONLOrion Properties Inc.REIT24,843$142.0K<0.1%+1,994+8.7%AddedHistory
CRMDCorMedix Inc.COM37,789$142.0K<0.1%+22,800+152.1%AddedHistory
AURAurora Innovation, Inc.CLASS A COM33,007$144.0K<0.1%−3,082−8.5%ReducedHistory
FFNWFirst Financial Northwest, Inc.COM10,849$146.0K<0.1%+104+1.0%AddedHistory
MCNXAI Madison Equity Premium Income FundCOM19,459$147.0K<0.1%+219+1.1%AddedHistory
HYIWestern Asset High Yield Opportunity Fund Inc.COM12,140$147.0K<0.1%−2,333−16.1%ReducedHistory

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