Cetera Advisors LLC
- SEC CIK
- 0001534400
- Latest filing
- May 24, 2024
Holdings in Q2 2021
Holdings as of Jun 30, 2021, filed Aug 13, 2021. Long positions only; changes compare share counts with Q1 2021.
- Positions
- 1,312
- +104 vs. Q1 2021
- Portfolio value
- $4.22B
- +$583.2M (+16.0%) vs. Q1 2021
| Security | Class | Shares | Value | % of portfolio | Share change | Action | History |
|---|---|---|---|---|---|---|---|
| LGL Group Inc50186A132 | *W EXP 11/16/202 | 10,000 | $5.00K | <0.1% | +10,000 | New | – |
| TBLTToughbuilt Industries, Inc | COM NEW | 10,000 | $8.00K | <0.1% | 00.0% | Unchanged | History |
| FRTXFresh Tracks Therapeutics, Inc. | COM | 10,000 | $10.0K | <0.1% | 00.0% | Unchanged | History |
| MUXMcEwen Inc. | COM | 12,403 | $17.0K | <0.1% | 00.0% | Unchanged | History |
| DRRXDurect Corp | COM | 15,000 | $24.0K | <0.1% | 00.0% | Unchanged | History |
| REFRResearch Frontiers Inc | COM | 13,820 | $33.0K | <0.1% | 00.0% | Unchanged | History |
| APTOAptose Biosciences Inc. | COM NEW | 10,341 | $34.0K | <0.1% | +10,341 | New | History |
| SENSSenseonics Holdings, Inc. | COM | 11,311 | $43.0K | <0.1% | −989−8.0% | Reduced | History |
| LFTLument Finance Trust, Inc. | COM | 10,695 | $45.0K | <0.1% | 00.0% | Unchanged | History |
| SANBanco Santander, S.A. | ADR | 12,774 | $50.0K | <0.1% | +10.0% | Added | History |
| ASCArdmore Shipping Corp | COM | 12,055 | $51.0K | <0.1% | 00.0% | Unchanged | History |
| AHTAshford Hospitality Trust Inc | COM SHS | 11,517 | $53.0K | <0.1% | +11,517 | New | History |
| Prospect Cap Corp74348TAT9 | NOTE 6.375% 3/0 | 50,000 | $54.0K | <0.1% | 00.0% | Unchanged | – |
| Adamas Trust, Inc.649604501 | COM PAR $.02 | 13,481 | $60.0K | <0.1% | +2,795+26.2% | Added | – |
| IAFAbrdn Australia Equity Fund, Inc. | COM | 10,664 | $69.0K | <0.1% | +10,664 | New | History |
| DHCDiversified Healthcare Trust | COM SH BEN INT | 17,404 | $73.0K | <0.1% | +500+3.0% | Added | History |
| GGNGAMCO Global Gold, Natural Resources & Income Trust | COM SH BEN INT | 19,131 | $77.0K | <0.1% | +925+5.1% | Added | History |
| KRMDKORU Medical Systems, Inc. | COM | 17,919 | $83.0K | <0.1% | 00.0% | Unchanged | History |
| IOIon Geophysical Corp | COM NEW | 41,940 | $88.0K | <0.1% | 00.0% | Unchanged | History |
| NCVVirtus Convertible & Income Fund | COM | 14,686 | $90.0K | <0.1% | +3,000+25.7% | Added | History |
| CXEMFS High Income Municipal Trust | SH BEN INT | 17,350 | $92.0K | <0.1% | 00.0% | Unchanged | History |
| TXMDTherapeuticsMD, Inc. | COM | 77,850 | $93.0K | <0.1% | −1,600−2.0% | Reduced | History |
| EVFEaton Vance Senior Income Trust | SH BEN INT | 14,500 | $99.0K | <0.1% | 00.0% | Unchanged | History |
| WPRTWestport Fuel Systems Inc. | COM NEW | 18,587 | $99.0K | <0.1% | +18,587 | New | History |
| UECUranium Energy Corp | COM | 38,416 | $102.0K | <0.1% | −583−1.5% | Reduced | History |
| INDIindie Semiconductor, Inc. | CLASS A COM | 10,500 | $104.0K | <0.1% | +10,500 | New | History |
| LGLLGL Group Inc | COM | 10,000 | $104.0K | <0.1% | +10,000 | New | History |
| DHYUBS Asset Management High Yield Credit Fund | SH BEN INT | 41,928 | $105.0K | <0.1% | +12,866+44.3% | Added | History |
| ENLCEnLink Midstream, LLC | COM UNIT REP LTD | 16,440 | $105.0K | <0.1% | 00.0% | Unchanged | History |
| RESRPC Inc | COM | 22,550 | $112.0K | <0.1% | −155−0.7% | Reduced | History |
| PHKPIMCO High Income Fund | COM SHS | 18,890 | $129.0K | <0.1% | +3,550+23.1% | Added | History |
| SIRISirius XM Holdings Inc. | COM | 19,926 | $130.0K | <0.1% | +458+2.4% | Added | History |
| SOLEmeren Group Ltd | SPONSORED ADS | 14,463 | $132.0K | <0.1% | +4,343+42.9% | Added | History |
| INSGInseego Corp. | COM | 13,345 | $135.0K | <0.1% | −1,235−8.5% | Reduced | History |
| DMFBNY Mellon Municipal Income, Inc. | COM | 15,164 | $141.0K | <0.1% | 00.0% | Unchanged | History |
| CRONCronos Group Inc. | COM | 16,616 | $143.0K | <0.1% | −898−5.1% | Reduced | History |
| BDJBlackRock Enhanced Equity Dividend Trust | COM | 14,501 | $147.0K | <0.1% | −5,795−28.6% | Reduced | History |
| STEWSRH Total Return Fund, Inc. | COM | 10,946 | $148.0K | <0.1% | +17+0.2% | Added | History |
| IVRInvesco Mortgage Capital Inc. | COM | 37,830 | $148.0K | <0.1% | −4,150−9.9% | Reduced | History |
| NRONeuberger Real Estate Securities Income Fund Inc | COM | 29,570 | $149.0K | <0.1% | +29,570 | New | History |
| BRGBluerock Residential Growth REIT, Inc. | COM CL A | 14,648 | $149.0K | <0.1% | +14,648 | New | History |
| DWTXDogwood Therapeutics, Inc. | COM | 24,216 | $152.0K | <0.1% | +693+2.9% | Added | History |
| EARNEllington Credit Co | COM SHS BEN INT | 13,040 | $153.0K | <0.1% | +13,040 | New | History |
| AUPHAurinia Pharmaceuticals Inc. | COM | 12,105 | $157.0K | <0.1% | +12,105 | New | History |
| BGXBlackstone Long-Short Credit Income Fund | COM SHS BN INT | 10,391 | $157.0K | <0.1% | +10,391 | New | History |
| TOPSTop Ships Inc. | COM | 99,430 | $159.0K | <0.1% | +18,920+23.5% | Added | History |
| ALDXAldeyra Therapeutics, Inc. | COM | 14,100 | $160.0K | <0.1% | +14,100 | New | History |
| ETWEaton Vance Tax-Managed Global Buy-Write Opportunities Fund | COM | 15,063 | $164.0K | <0.1% | +1,000+7.1% | Added | History |
| BMAMacro Bank Inc. | SPON ADR B | 10,925 | $164.0K | <0.1% | +150+1.4% | Added | History |
| MQYBlackRock Muniyield Quality Fund, Inc. | COM | 10,209 | $171.0K | <0.1% | +10,209 | New | History |
| ISDPGIM High Yield Bond Fund, Inc. | COM | 10,487 | $171.0K | <0.1% | +10,487 | New | History |
| AHRTAH Realty Trust, Inc. | COM | 13,195 | $175.0K | <0.1% | +25+0.2% | Added | History |
| RTLNecessity Retail REIT, Inc. | COM CLASS A | 20,611 | $175.0K | <0.1% | +602+3.0% | Added | History |
| BXMXNuveen S&P 500 BuyWrite Income Fund | COM | 12,210 | $175.0K | <0.1% | −20,660−62.9% | Reduced | History |
| LUMNLumen Technologies, Inc. | Stock | 12,965 | $176.0K | <0.1% | +778+6.4% | Added | History |
| FMNBFarmers National Banc Corp | COM | 11,410 | $177.0K | <0.1% | 00.0% | Unchanged | History |
| DPGDuff & Phelps Utility & Infrastructure Fund Inc. | COM | 12,330 | $177.0K | <0.1% | +1,979+19.1% | Added | History |
| CHYCalamos Convertible & High Income Fund | COM SHS | 10,915 | $178.0K | <0.1% | +10,915 | New | History |
| EXGEaton Vance Tax-Managed Global Diversified Equity Income Fund | COM | 17,463 | $178.0K | <0.1% | +1,046+6.4% | Added | History |
| CHICalamos Convertible Opportunities & Income Fund | SH BEN INT | 11,821 | $179.0K | <0.1% | −56,980−82.8% | Reduced | History |
| LMRKLandmark Infrastructure Partners LP | COM UNIT LTD | 14,000 | $179.0K | <0.1% | +14,000 | New | History |
| CCIFCarlyle Credit Income Fund | SHS BEN INT | 16,717 | $181.0K | <0.1% | +2,934+21.3% | Added | History |
| KTFDWS Municipal Income Trust | COM | 14,964 | $183.0K | <0.1% | 00.0% | Unchanged | History |
| SGOLabrdn Gold ETF Trust | ETF | 11,008 | $187.0K | <0.1% | +11,008 | New | History |
| MUIBlackRock Municipal Credit Alpha Portfolio, Inc. | COM | 12,037 | $188.0K | <0.1% | +12,037 | New | History |
| FGBFirst Trust Specialty Finance & Financial Opportunities Fund | COM BEN INTR | 46,839 | $189.0K | <0.1% | 00.0% | Unchanged | History |
| BHKBlackRock Core Bond Trust | SHS BEN INT | 11,850 | $196.0K | <0.1% | +11,850 | New | History |
| CXCemex SAB de CV | SPON ADR NEW | 23,592 | $198.0K | <0.1% | −20,797−46.9% | Reduced | History |
| PTYPIMCO Corporate & Income Opportunity Fund | COM | 10,095 | $200.0K | <0.1% | +10,095 | New | History |
| FIXComfort Systems USA Inc | COM | 2,543 | $200.0K | <0.1% | −5,143−66.9% | Reduced | History |
| Vanguard Scottsdale FDS92206C813 | LG-TERM COR BD | 1,867 | $200.0K | <0.1% | +1,867 | New | – |
| Barclays Bank PLC06746P522 | ETN LKD 48 | 3,040 | $201.0K | <0.1% | −22,105−87.9% | Reduced | – |
| MCHPMicrochip Technology Inc | Stock | 1,348 | $202.0K | <0.1% | +1,348 | New | History |
| BLDQXO Insulation, LLC | Stock | 1,019 | $202.0K | <0.1% | +1,019 | New | History |
| Invesco Exchange Traded FD T46137V142 | WATER RES ETF | 3,777 | $202.0K | <0.1% | +3,777 | New | – |
| VanEck ETF Trust92189F452 | MORTGAGE REIT | 10,183 | $202.0K | <0.1% | −5,890−36.6% | Reduced | – |
| Innovator ETFs Trust45782C870 | US EQT PWR BUF | 7,088 | $202.0K | <0.1% | +7,088 | New | – |
| CTRClearBridge MLP & Midstream Total Return Fund Inc. | COM | 7,980 | $202.0K | <0.1% | +7,980 | New | History |
| FLYYSpirit Aviation Holdings, Inc. | COM | 6,625 | $202.0K | <0.1% | +615+10.2% | Added | History |
| JKHYJack Henry & Associates Inc | Stock | 1,243 | $203.0K | <0.1% | +1,243 | New | History |
| PFGPrincipal Financial Group Inc | COM | 3,206 | $203.0K | <0.1% | +3,206 | New | History |
| SPDR Series Trust78464A490 | ST STR FTSE ETF | 3,606 | $203.0K | <0.1% | +3,606 | New | – |
| VanEck Vectors ETF Tr92189F585 | OIL REFINERS ETF | 6,904 | $203.0K | <0.1% | +6,904 | New | – |
| CUZCousins Properties Inc | COM NEW | 5,551 | $204.0K | <0.1% | +5,551 | New | History |
| RNPCohen & Steers REIT & Preferred & Income Fund Inc | COM | 7,513 | $205.0K | <0.1% | +7,513 | New | History |
| UGAUnited States Gasoline Fund, LP | UNITS | 5,705 | $205.0K | <0.1% | −85,910−93.8% | Reduced | History |
| UBSIUnited Bankshares Inc | COM | 5,628 | $205.0K | <0.1% | +102+1.8% | Added | History |
| UHALU-Haul Holding Co | COM | 347 | $205.0K | <0.1% | −1−0.3% | Reduced | History |
| QQQXNuveen NASDAQ 100 Dynamic Overwrite Fund | COM SHS | 6,999 | $206.0K | <0.1% | +6,999 | New | History |
| SPDR Series Trust78468R747 | ST STR MSCI GEN | 2,031 | $206.0K | <0.1% | +2,031 | New | – |
| WORKSlack Technologies, Inc. | COM CL A | 4,639 | $206.0K | <0.1% | −823−15.1% | Reduced | History |
| Northern LTS FD Tr III66538R748 | HCM DEFND 100 | 4,325 | $207.0K | <0.1% | +4,325 | New | – |
| JJacobs Solutions Inc. | COM | 1,559 | $208.0K | <0.1% | +1,559 | New | History |
| Invesco Exchange Traded FD T46137V217 | S&P MDCP400 PR | 921 | $209.0K | <0.1% | 00.0% | Unchanged | – |
| GDDYGoDaddy Inc. | CL A | 2,402 | $209.0K | <0.1% | +2,402 | New | History |
| iShares Tr46434V381 | FUTU EXPO TE ETF | 3,311 | $209.0K | <0.1% | −139−4.0% | Reduced | – |
| Global X FDS37954Y392 | VDEO GAM ESPRT | 6,479 | $209.0K | <0.1% | +6,479 | New | – |
| Invesco Exchange Traded FD T46137V811 | DORSEY WRGT TECH | 1,402 | $209.0K | <0.1% | 00.0% | Unchanged | – |
| CRCrane Co | COM | 2,278 | $210.0K | <0.1% | −10−0.4% | Reduced | History |
| POSHPoshmark, Inc. | COM CL A | 4,405 | $210.0K | <0.1% | −1,757−28.5% | Reduced | History |
Options (9)
Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.
| Security | Class | Puts | Calls |
|---|---|---|---|
| UALUnited Airlines Holdings, Inc. | COM | $19.0K | – |
| SPYSPDR S&P 500 ETF Trust | ETF | $18.0K | – |
| MSFTMicrosoft Corp | Stock | – | $9.00K |
| DISWalt Disney Co | Stock | $6.00K | – |
| XPEVXpeng Inc. | ADS | $6.00K | – |
| EIXEdison International | Stock | $3.00K | – |
| BACBank of America Corp | Stock | $2.00K | – |
| PENNPENN Entertainment, Inc. | COM | $2.00K | – |
| LYVLive Nation Entertainment, Inc. | COM | $1.00K | – |
Sold out since Q1 2021 (53)
Positions held at the end of Q1 2021 that are gone from this filing.
| Security | Class | Shares in Q1 2021 | Value in Q1 2021 | % of portfolio in Q1 2021 | History |
|---|---|---|---|---|---|
| WSMWilliams Sonoma Inc | COM | 25,031 | $4.49M | 0.1% | History |
| FS KKR Cap Corp II35952V303 | COM | 215,053 | $4.20M | 0.1% | – |
| VRSKVerisk Analytics, Inc. | COM | 5,991 | $1.06M | <0.1% | History |
| RRXRegal Rexnord Corp | COM | 6,920 | $987.0K | <0.1% | History |
| Voya Prime Rate Tr92913A100 | SH BEN INT | 177,938 | $826.0K | <0.1% | – |
| ZIMZIM Integrated Shipping Services Ltd. | SHS | 25,400 | $618.0K | <0.1% | History |
| KNXKnight-Swift Transportation Holdings Inc. | CL A | 12,159 | $585.0K | <0.1% | History |
| Alps Clean Energy ETF00162Q460 | ETF | 6,817 | $532.0K | <0.1% | – |
| iShares Tr46429B614 | MSCI INDIA SM CP | 8,767 | $430.0K | <0.1% | – |
| DTDynatrace, Inc. | Stock | 8,850 | $427.0K | <0.1% | History |
| Janus Detroit STR Tr47103U886 | HENDRSN SHRT ETF | 8,355 | $419.0K | <0.1% | – |
| CLNEClean Energy Fuels Corp. | COM | 30,400 | $418.0K | <0.1% | History |
| Invesco Exch Traded FD Tr II46138E545 | MSCI GBL TIMBR | 11,600 | $417.0K | <0.1% | – |
| IEAInfrastructure & Energy Alternatives, Inc. | COM | 25,500 | $416.0K | <0.1% | History |
| SPDR Series Trust78468R556 | SP O&G EXPL PRO | 4,937 | $402.0K | <0.1% | – |
| HTHHilltop Holdings Inc. | COM | 10,985 | $375.0K | <0.1% | History |
| MTArcelorMittal | NY REGISTRY SH | 11,972 | $349.0K | <0.1% | History |
| First Tr Exch Traded FD III33739P608 | RIVRFRNT DYN DEV | 5,001 | $328.0K | <0.1% | – |
| AGNTAGNT, Inc. | COM | 7,173 | $327.0K | <0.1% | History |
| DBX ETF Tr233051507 | XTRACK MSCI JAPN | 6,222 | $310.0K | <0.1% | – |
| WOOFPetco Health & Wellness Company, Inc. | CL A COM | 13,700 | $304.0K | <0.1% | History |
| Innovator ETFs Trust45782C383 | US EQTY PWR BUF | 10,100 | $298.0K | <0.1% | – |
| VanEck ETF Trust92189H409 | HIGH YLD MUNIETF | 4,657 | $289.0K | <0.1% | – |
| ETF Ser Solutions26922A701 | ROUNDHILL ACQUI | 8,380 | $285.0K | <0.1% | – |
| IAC Interactivecorp New44891N109 | COM | 1,223 | $265.0K | <0.1% | – |
| FLGTFulgent Genetics, Inc. | COM | 2,625 | $254.0K | <0.1% | History |
| VUZIVuzix Corp | COM NEW | 9,883 | $251.0K | <0.1% | History |
| BWABorgwarner Inc | COM | 5,273 | $244.0K | <0.1% | History |
| SPDR Index Shs FDS78463X848 | ST STR ACWI ETF | 8,436 | $244.0K | <0.1% | – |
| LYFTLyft, Inc. | CL A COM | 3,663 | $231.0K | <0.1% | History |
| Vanguard Scottsdale FDS92206C706 | INTER TERM TREAS | 3,400 | $229.0K | <0.1% | – |
| WisdomTree Tr97717W760 | INTL SMCAP DIV | 3,111 | $225.0K | <0.1% | – |
| PIIPolaris Inc. | Stock | 1,678 | $224.0K | <0.1% | History |
| WisdomTree Tr97717W125 | FUTRE STRAT FD | 5,702 | $222.0K | <0.1% | – |
| FIVNFive9, Inc. | COM | 1,415 | $221.0K | <0.1% | History |
| CTXSCitrix Systems Inc | COM | 1,571 | $221.0K | <0.1% | History |
| LADLithia Motors Inc | COM | 562 | $219.0K | <0.1% | History |
| BBBY20230930-DK-Butterfly-1, Inc. | COM | 7,500 | $219.0K | <0.1% | History |
| Colony CR Real Estate Inc19625T101 | COM CL A | 25,610 | $218.0K | <0.1% | – |
| GW Pharmaceuticals PLC36197T103 | ADS | 1,006 | $218.0K | <0.1% | – |
| OPENOpendoor Technologies Inc. | COM | 10,252 | $217.0K | <0.1% | History |
| WBSWebster Financial Corp | COM | 3,880 | $214.0K | <0.1% | History |
| VanEck ETF Trust92189F171 | GREEN BOND ETF | 7,824 | $212.0K | <0.1% | – |
| APPSDigital Turbine, Inc. | COM NEW | 2,623 | $211.0K | <0.1% | History |
| WABWestinghouse Air Brake Technologies Corp | Stock | 2,648 | $210.0K | <0.1% | History |
| WisdomTree Tr97717W315 | EMER MKT HIGH FD | 4,592 | $204.0K | <0.1% | – |
| iShares Inc464286871 | MSCI HONG KG ETF | 7,631 | $203.0K | <0.1% | – |
| SLFSun Life Financial Inc | COM | 3,997 | $202.0K | <0.1% | History |
| OLEDUniversal Display Corp | COM | 855 | $202.0K | <0.1% | History |
| NVGNuveen AMT-Free Municipal Credit Income Fund | CEF | 11,302 | $191.0K | <0.1% | History |
| FSRFisker Inc. | CL A COM STK | 10,340 | $178.0K | <0.1% | History |
| Affimed N VN01045108 | COM | 10,000 | $79.0K | <0.1% | – |
| DHTDHT Holdings, Inc. | SHS NEW | 10,443 | $62.0K | <0.1% | History |