Cetera Advisors LLC
- SEC CIK
- 0001534400
- Latest filing
- May 24, 2024
Holdings in Q3 2021
Holdings as of Sep 30, 2021, filed Nov 16, 2021. Long positions only; changes compare share counts with Q2 2021.
- Positions
- 1,399
- +87 vs. Q2 2021
- Portfolio value
- $5.14B
- +$915.3M (+21.7%) vs. Q2 2021
| Security | Class | Shares | Value | % of portfolio | Share change | Action | History |
|---|---|---|---|---|---|---|---|
| Rivernorth Doubleline Strate76882G156 | RIGHT 10/01/2021 | 129,132 | $1.00K | <0.1% | +129,132 | New | – |
| LGL Group Inc50186A132 | *W EXP 11/16/202 | 10,000 | $8.00K | <0.1% | 00.0% | Unchanged | – |
| CARMCarisma Therapeutics Inc. | COM | 11,000 | $9.00K | <0.1% | +11,000 | New | History |
| MUXMcEwen Inc. | COM | 12,423 | $13.0K | <0.1% | +20+0.2% | Added | History |
| FRTXFresh Tracks Therapeutics, Inc. | COM | 20,000 | $14.0K | <0.1% | +10,000+100.0% | Added | History |
| eFFECTOR Therapeutics, Inc.28202V116 | *W EXP 12/31/202 | 10,000 | $16.0K | <0.1% | +10,000 | New | – |
| GERNGeron Corp | COM | 12,230 | $17.0K | <0.1% | +12,230 | New | History |
| BIORBiora Therapeutics, Inc. | COM | 12,000 | $18.0K | <0.1% | +12,000 | New | History |
| DRRXDurect Corp | COM | 15,000 | $19.0K | <0.1% | 00.0% | Unchanged | History |
| Supernus Pharmaceuticals, Inc.868459AD0 | NOTE 0.625% 4/0 | 20,000 | $20.0K | <0.1% | +20,000 | New | – |
| Cheesecake Factory Inc163072AA9 | NOTE 0.375% 6/1 | 26,000 | $25.0K | <0.1% | +26,000 | New | – |
| Hope Bancorp Inc43940TAB5 | NOTE 2.000% 5/1 | 26,000 | $26.0K | <0.1% | +26,000 | New | – |
| DFTXDefinium Therapeutics, Inc. | COM | 11,300 | $26.0K | <0.1% | +11,300 | New | History |
| TCRTAlaunos Therapeutics, Inc. | COM | 14,258 | $26.0K | <0.1% | +14,258 | New | History |
| APTOAptose Biosciences Inc. | COM NEW | 12,368 | $27.0K | <0.1% | +2,027+19.6% | Added | History |
| HIVEHIVE Digital Technologies Ltd. | COM | 10,900 | $29.0K | <0.1% | +10,900 | New | History |
| Pacira BioSciences, Inc.695127AD2 | NOTE 2.375% 4/0 | 28,000 | $29.0K | <0.1% | +28,000 | New | – |
| REFRResearch Frontiers Inc | COM | 13,820 | $35.0K | <0.1% | 00.0% | Unchanged | History |
| Vishay Intertechnology Inc928298AP3 | NOTE 2.250% 6/1 | 36,000 | $37.0K | <0.1% | +36,000 | New | – |
| WTERAlkaline Water Co Inc | COM NEW | 23,826 | $38.0K | <0.1% | +23,826 | New | History |
| NPKINPK International Inc. | COM SHS | 12,008 | $40.0K | <0.1% | +12,008 | New | History |
| LFTLument Finance Trust, Inc. | COM | 10,695 | $42.0K | <0.1% | 00.0% | Unchanged | History |
| SANBanco Santander, S.A. | ADR | 12,073 | $44.0K | <0.1% | −701−5.5% | Reduced | History |
| Insight Enterprises Inc45765UAB9 | NOTE 0.750% 2/1 | 32,000 | $45.0K | <0.1% | +32,000 | New | – |
| SENSSenseonics Holdings, Inc. | COM | 14,800 | $50.0K | <0.1% | +3,489+30.8% | Added | History |
| KRMDKORU Medical Systems, Inc. | COM | 17,919 | $51.0K | <0.1% | 00.0% | Unchanged | History |
| Pieris Pharmaceuticals Inc720795103 | COM | 10,100 | $52.0K | <0.1% | +10,100 | New | – |
| KOPNKopin Corp | COM | 10,254 | $53.0K | <0.1% | +10,254 | New | History |
| SMSISmith Micro Software, Inc. | COM NEW | 11,100 | $54.0K | <0.1% | +11,100 | New | History |
| ASCArdmore Shipping Corp | COM | 13,305 | $55.0K | <0.1% | +1,250+10.4% | Added | History |
| WPRTWestport Fuel Systems Inc. | COM NEW | 17,059 | $56.0K | <0.1% | −1,528−8.2% | Reduced | History |
| IOIon Geophysical Corp | COM NEW | 42,940 | $57.0K | <0.1% | +1,000+2.4% | Added | History |
| Adamas Trust, Inc.649604501 | COM PAR $.02 | 13,481 | $57.0K | <0.1% | 00.0% | Unchanged | – |
| HCI Group, Inc.40416EAD5 | NOTE 4.250% 3/0 | 32,000 | $58.0K | <0.1% | +32,000 | New | – |
| DHCDiversified Healthcare Trust | COM SH BEN INT | 17,404 | $59.0K | <0.1% | 00.0% | Unchanged | History |
| NCZVirtus Convertible & Income Fund II | COM | 11,704 | $61.0K | <0.1% | +11,704 | New | History |
| IAFAbrdn Australia Equity Fund, Inc. | COM | 11,636 | $69.0K | <0.1% | +972+9.1% | Added | History |
| TELLTellurian Inc. | COM | 18,477 | $72.0K | <0.1% | +18,477 | New | History |
| NCVVirtus Convertible & Income Fund | COM | 12,700 | $76.0K | <0.1% | −1,986−13.5% | Reduced | History |
| INSGInseego Corp. | COM | 12,701 | $85.0K | <0.1% | −644−4.8% | Reduced | History |
| USALiberty All Star Equity Fund | SH BEN INT | 10,029 | $86.0K | <0.1% | +10,029 | New | History |
| TXMDTherapeuticsMD, Inc. | COM | 116,300 | $86.0K | <0.1% | +38,450+49.4% | Added | History |
| CXEMFS High Income Municipal Trust | SH BEN INT | 17,350 | $91.0K | <0.1% | 00.0% | Unchanged | History |
| First Tr MLP & Energy Incom33739B104 | COM | 12,745 | $92.0K | <0.1% | +12,745 | New | – |
| GGNGAMCO Global Gold, Natural Resources & Income Trust | COM SH BEN INT | 24,924 | $93.0K | <0.1% | +5,793+30.3% | Added | History |
| POWWOutdoor Holding Co | COM | 16,054 | $99.0K | <0.1% | +16,054 | New | History |
| EVFEaton Vance Senior Income Trust | SH BEN INT | 14,500 | $102.0K | <0.1% | 00.0% | Unchanged | History |
| DHYUBS Asset Management High Yield Credit Fund | SH BEN INT | 41,928 | $104.0K | <0.1% | 00.0% | Unchanged | History |
| SOLEmeren Group Ltd | SPONSORED ADS | 15,773 | $104.0K | <0.1% | +1,310+9.1% | Added | History |
| RESRPC Inc | COM | 22,550 | $110.0K | <0.1% | 00.0% | Unchanged | History |
| ENLCEnLink Midstream, LLC | COM UNIT REP LTD | 16,440 | $112.0K | <0.1% | 00.0% | Unchanged | History |
| CRONCronos Group Inc. | COM | 19,987 | $113.0K | <0.1% | +3,371+20.3% | Added | History |
| FIRYFiry Inc. | COM | 11,755 | $115.0K | <0.1% | +11,755 | New | History |
| PHKPIMCO High Income Fund | COM SHS | 18,890 | $119.0K | <0.1% | 00.0% | Unchanged | History |
| APTSPreferred Apartment Communities Inc | COM | 10,148 | $124.0K | <0.1% | +10,148 | New | History |
| IVRInvesco Mortgage Capital Inc. | COM | 40,780 | $128.0K | <0.1% | +2,950+7.8% | Added | History |
| CLNEClean Energy Fuels Corp. | COM | 15,843 | $129.0K | <0.1% | +15,843 | New | History |
| BDJBlackRock Enhanced Equity Dividend Trust | COM | 13,844 | $136.0K | <0.1% | −657−4.5% | Reduced | History |
| JPCNuveen Preferred & Income Opportunities Fund | COM | 13,900 | $138.0K | <0.1% | +13,900 | New | History |
| LGLLGL Group Inc | COM | 10,000 | $138.0K | <0.1% | 00.0% | Unchanged | History |
| MTUSMetallus Inc. | COM | 10,695 | $140.0K | <0.1% | +10,695 | New | History |
| SIRISirius XM Holdings Inc. | COM | 22,990 | $140.0K | <0.1% | +3,064+15.4% | Added | History |
| EARNEllington Credit Co | COM SHS BEN INT | 12,765 | $142.0K | <0.1% | −275−2.1% | Reduced | History |
| NRONeuberger Real Estate Securities Income Fund Inc | COM | 29,570 | $142.0K | <0.1% | 00.0% | Unchanged | History |
| INDIindie Semiconductor, Inc. | CLASS A COM | 11,700 | $144.0K | <0.1% | +1,200+11.4% | Added | History |
| HNSTHonest Company, Inc. | COM | 13,900 | $144.0K | <0.1% | +13,900 | New | History |
| DMFBNY Mellon Municipal Income, Inc. | COM | 15,164 | $146.0K | <0.1% | 00.0% | Unchanged | History |
| JBLUJetBlue Airways Corp | COM | 10,128 | $155.0K | <0.1% | +10,128 | New | History |
| CCIFCarlyle Credit Income Fund | SHS BEN INT | 14,959 | $157.0K | <0.1% | −1,758−10.5% | Reduced | History |
| BGXBlackstone Long-Short Credit Income Fund | COM SHS BN INT | 10,498 | $159.0K | <0.1% | +107+1.0% | Added | History |
| MQYBlackRock Muniyield Quality Fund, Inc. | COM | 10,300 | $167.0K | <0.1% | +91+0.9% | Added | History |
| TLRYTilray Brands, Inc. | COM CL 2 | 14,762 | $167.0K | <0.1% | −1,571−9.6% | Reduced | History |
| TOPSTop Ships Inc. | COM | 113,057 | $167.0K | <0.1% | +13,627+13.7% | Added | History |
| DPGDuff & Phelps Utility & Infrastructure Fund Inc. | COM | 12,577 | $169.0K | <0.1% | +247+2.0% | Added | History |
| BHKBlackRock Core Bond Trust | SHS BEN INT | 10,252 | $170.0K | <0.1% | −1,598−13.5% | Reduced | History |
| BXMXNuveen S&P 500 BuyWrite Income Fund | COM | 11,970 | $170.0K | <0.1% | −240−2.0% | Reduced | History |
| ISDPGIM High Yield Bond Fund, Inc. | COM | 10,551 | $171.0K | <0.1% | +64+0.6% | Added | History |
| XXII22nd Century Group, Inc. | COM | 58,810 | $174.0K | <0.1% | +8,200+16.2% | Added | History |
| AHRTAH Realty Trust, Inc. | COM | 13,221 | $177.0K | <0.1% | +26+0.2% | Added | History |
| KTFDWS Municipal Income Trust | COM | 14,965 | $178.0K | <0.1% | +10.0% | Added | History |
| EXGEaton Vance Tax-Managed Global Diversified Equity Income Fund | COM | 17,811 | $178.0K | <0.1% | +348+2.0% | Added | History |
| FMNBFarmers National Banc Corp | COM | 11,410 | $179.0K | <0.1% | 00.0% | Unchanged | History |
| FGBFirst Trust Specialty Finance & Financial Opportunities Fund | COM BEN INTR | 45,068 | $179.0K | <0.1% | −1,771−3.8% | Reduced | History |
| UECUranium Energy Corp | COM | 59,476 | $181.0K | <0.1% | +21,060+54.8% | Added | History |
| MUIBlackRock Municipal Credit Alpha Portfolio, Inc. | COM | 12,037 | $183.0K | <0.1% | 00.0% | Unchanged | History |
| HBIHanesbrands Inc. | COM | 10,777 | $185.0K | <0.1% | +10,777 | New | History |
| MROMarathon Oil Corp | COM | 13,694 | $187.0K | <0.1% | +13,694 | New | History |
| DHFBNY Mellon High Yield Strategies Fund | SH BEN INT | 58,200 | $188.0K | <0.1% | −9,090−13.5% | Reduced | History |
| CLOVClover Health Investments, Corp. | COM CL A | 25,755 | $190.0K | <0.1% | +1,158+4.7% | Added | History |
| SGOLabrdn Gold ETF Trust | ETF | 11,538 | $194.0K | <0.1% | +530+4.8% | Added | History |
| LUMNLumen Technologies, Inc. | Stock | 15,714 | $195.0K | <0.1% | +2,749+21.2% | Added | History |
| BMAMacro Bank Inc. | SPON ADR B | 11,500 | $195.0K | <0.1% | +575+5.3% | Added | History |
| AMEAmetek Inc | COM | 1,613 | $200.0K | <0.1% | −127−7.3% | Reduced | History |
| OKTAOkta, Inc. | CL A | 843 | $200.0K | <0.1% | +843 | New | History |
| CPBCAMPBELL'S Co | COM | 4,810 | $201.0K | <0.1% | −123−2.5% | Reduced | History |
| NRPNatural Resource Partners LP | COM UNIT LTD PAR | 8,485 | $201.0K | <0.1% | +8,485 | New | History |
| PDCOPatterson Companies, Inc. | COM | 6,673 | $201.0K | <0.1% | +6,673 | New | History |
| APTVAptiv PLC | SHS | 1,351 | $201.0K | <0.1% | +1,351 | New | History |
| PTYPIMCO Corporate & Income Opportunity Fund | COM | 11,030 | $202.0K | <0.1% | +935+9.3% | Added | History |
| WBDWarner Bros. Discovery, Inc. | COM SER A | 7,949 | $202.0K | <0.1% | +7,949 | New | 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 |
|---|---|---|---|
| NVDANVIDIA Corp | Stock | $43.0K | – |
| LYVLive Nation Entertainment, Inc. | COM | $34.0K | – |
| SESea Ltd | SPONSORD ADS | $21.0K | – |
| XPEVXpeng Inc. | ADS | $19.0K | – |
| BACBank of America Corp | Stock | $10.0K | – |
| NOCNorthrop Grumman Corp | Stock | $9.00K | – |
| DISWalt Disney Co | Stock | $7.00K | – |
| MSFTMicrosoft Corp | Stock | – | $6.00K |
| EIXEdison International | Stock | $1.00K | – |
Sold out since Q2 2021 (80)
Positions held at the end of Q2 2021 that are gone from this filing.
| Security | Class | Shares in Q2 2021 | Value in Q2 2021 | % of portfolio in Q2 2021 | History |
|---|---|---|---|---|---|
| RNACCartesian Therapeutics, Inc. | COM | 1,106,325 | $4.62M | 0.1% | History |
| iShares U S ETF Tr46431W705 | INT RT HDG C B | 42,010 | $4.05M | 0.1% | – |
| Advisorshares Tr00768Y453 | PURE US CANN ETF | 81,455 | $3.26M | 0.1% | – |
| Invesco Exch Traded FD Tr II46138E164 | S&P SMLCP ENGY | 297,641 | $2.39M | 0.1% | – |
| iShares Tr46434V787 | YLD OPTIM BD | 92,857 | $2.35M | 0.1% | – |
| iShares Tr464289511 | 10+ YR INVST GRD | 30,966 | $2.17M | 0.1% | – |
| Invesco Exch Traded FD Tr II46138G870 | VAR RATE PFD | 58,504 | $1.54M | <0.1% | – |
| FXFInvesco CurrencyShares Swiss Franc Trust | SWISS FRANC | 12,930 | $1.27M | <0.1% | History |
| WRIWeingarten Realty Investors | SH BEN INT | 39,133 | $1.25M | <0.1% | History |
| iShares Tr46429B671 | MSCI CHINA ETF | 14,679 | $1.21M | <0.1% | – |
| iShares Tr46435U333 | FOCUSD VAL FAC | 20,121 | $1.10M | <0.1% | – |
| CPERUnited States Commodity Index Funds Trust | CM REP COPP FD | 34,910 | $916.0K | <0.1% | History |
| iShares Tr46436E536 | US SML CP VALUE | 28,787 | $884.0K | <0.1% | – |
| iShares Tr464288430 | ASIA 50 ETF | 9,541 | $874.0K | <0.1% | – |
| OMFOneMain Holdings, Inc. | COM | 13,600 | $815.0K | <0.1% | History |
| First Tr Exchng Traded FD VI33740F664 | FT VEST US EQT | 23,732 | $806.0K | <0.1% | – |
| iShares Tr46429B366 | CMBS ETF | 14,698 | $799.0K | <0.1% | – |
| AIGAmerican International Group, Inc. | Stock | 16,772 | $798.0K | <0.1% | History |
| ODFLOld Dominion Freight Line, Inc. | COM | 2,898 | $736.0K | <0.1% | History |
| TRIPTripAdvisor, Inc. | COM | 16,809 | $677.0K | <0.1% | History |
| SPDR Series Trust78464A755 | ST STR SP METAL | 14,557 | $627.0K | <0.1% | – |
| NTESNetEase, Inc. | SPONSORED ADS | 5,266 | $607.0K | <0.1% | History |
| RABrookfield Real Assets Income Fund Inc. | SHS BEN INT | 26,201 | $574.0K | <0.1% | History |
| CACICACI International Inc | CL A | 2,226 | $568.0K | <0.1% | History |
| NEWTNewtekOne, Inc. | COM NEW | 16,100 | $562.0K | <0.1% | History |
| CAFMorgan Stanley China A Share Fund, Inc. | COM | 24,586 | $562.0K | <0.1% | History |
| Global X FDS37950E606 | MSCI CHINA FINCL | 34,494 | $531.0K | <0.1% | – |
| GRWGGrowGeneration Corp. | COM | 10,841 | $521.0K | <0.1% | History |
| FRABlackRock Floating Rate Income Strategies Fund, Inc. | COM | 38,426 | $509.0K | <0.1% | History |
| Procure ETF Trust II74280R205 | SPACE ETF | 15,610 | $485.0K | <0.1% | – |
| Northern LTS FD Tr IV66538H534 | INSPIRE 100 ETF | 11,200 | $478.0K | <0.1% | – |
| Global X FDS37950E408 | MSCI CHINA CNSMR | 13,332 | $472.0K | <0.1% | – |
| TERTeradyne, Inc | Stock | 3,326 | $446.0K | <0.1% | History |
| NVCRNovoCure Ltd | ORD SHS | 1,816 | $403.0K | <0.1% | History |
| VALEVale S.A. | SPONSORED ADS | 16,684 | $381.0K | <0.1% | History |
| CORNTeucrium Commodity Trust | CORN FD SHS | 16,940 | $362.0K | <0.1% | History |
| MORFMorphic Holding, Inc. | COM | 6,210 | $356.0K | <0.1% | History |
| CFGCitizens Financial Group Inc | COM | 7,750 | $355.0K | <0.1% | History |
| CCAPCrescent Capital BDC, Inc. | COM | 18,800 | $353.0K | <0.1% | History |
| HPIJohn Hancock Preferred Income Fund | SH BEN INT | 16,000 | $346.0K | <0.1% | History |
| BCBrunswick Corp | COM | 3,466 | $345.0K | <0.1% | History |
| ASANAsana, Inc. | CL A | 5,440 | $337.0K | <0.1% | History |
| MVISMicrovision, Inc. | COM NEW | 19,430 | $325.0K | <0.1% | History |
| PFPTProofpoint Inc | COM | 1,830 | $318.0K | <0.1% | History |
| Churchill Capital Corp IV171439102 | CL A | 10,191 | $294.0K | <0.1% | – |
| LFMDLifeMD, Inc. | COM | 24,880 | $293.0K | <0.1% | History |
| JMIAJumia Technologies AG | SPONSORED ADS | 9,615 | $292.0K | <0.1% | History |
| iShares Tr46434V290 | US SML CAP EQT | 4,901 | $269.0K | <0.1% | – |
| NSLRNeostellar Capital Corp. | COM NEW | 19,917 | $269.0K | <0.1% | History |
| FMCFMC Corp | COM NEW | 2,465 | $267.0K | <0.1% | History |
| FSLYFastly, Inc. | CL A | 4,395 | $262.0K | <0.1% | History |
| iShares Tr464288851 | US OIL GS EX ETF | 4,386 | $251.0K | <0.1% | – |
| Exchange Traded Concepts Tr301505723 | ROBO GBL HLTCR | 4,700 | $226.0K | <0.1% | – |
| iShares Tr464287184 | CHINA LG-CAP ETF | 4,750 | $220.0K | <0.1% | – |
| First Tr Exchange Traded FD33738R308 | BUYWRIT INCM ETF | 10,029 | $220.0K | <0.1% | – |
| Northern LTS FD Tr IV66538H641 | INSPIRE SML/ MID | 6,000 | $220.0K | <0.1% | – |
| Invesco Exchange Traded FD T46137V605 | DJ INDL AVG DV | 4,999 | $220.0K | <0.1% | – |
| CDMOAvid Bioservices, Inc. | COM | 8,505 | $218.0K | <0.1% | History |
| EEFTEuronet Worldwide, Inc. | COM | 1,590 | $215.0K | <0.1% | History |
| AMCAMC Entertainment Holdings, Inc. | CL A COM | 3,800 | $215.0K | <0.1% | History |
| AVYAvery Dennison Corp | COM | 1,001 | $211.0K | <0.1% | History |
| POSHPoshmark, Inc. | COM CL A | 4,405 | $210.0K | <0.1% | History |
| Global X FDS37954Y392 | VDEO GAM ESPRT | 6,479 | $209.0K | <0.1% | – |
| QQQXNuveen NASDAQ 100 Dynamic Overwrite Fund | COM SHS | 6,999 | $206.0K | <0.1% | History |
| SPDR Series Trust78468R747 | ST STR MSCI GEN | 2,031 | $206.0K | <0.1% | – |
| WORKSlack Technologies, Inc. | COM CL A | 4,639 | $206.0K | <0.1% | History |
| UGAUnited States Gasoline Fund, LP | UNITS | 5,705 | $205.0K | <0.1% | History |
| SPDR Series Trust78464A490 | ST STR FTSE ETF | 3,606 | $203.0K | <0.1% | – |
| VanEck ETF Trust92189F452 | MORTGAGE REIT | 10,183 | $202.0K | <0.1% | – |
| FLYYSpirit Aviation Holdings, Inc. | COM | 6,625 | $202.0K | <0.1% | History |
| Barclays Bank PLC06746P522 | ETN LKD 48 | 3,040 | $201.0K | <0.1% | – |
| FIXComfort Systems USA Inc | COM | 2,543 | $200.0K | <0.1% | History |
| Vanguard Scottsdale FDS92206C813 | LG-TERM COR BD | 1,867 | $200.0K | <0.1% | – |
| CXCemex SAB de CV | SPON ADR NEW | 23,592 | $198.0K | <0.1% | History |
| LMRKLandmark Infrastructure Partners LP | COM UNIT LTD | 14,000 | $179.0K | <0.1% | History |
| ALDXAldeyra Therapeutics, Inc. | COM | 14,100 | $160.0K | <0.1% | History |
| BRGBluerock Residential Growth REIT, Inc. | COM CL A | 14,648 | $149.0K | <0.1% | History |
| Prospect Cap Corp74348TAT9 | NOTE 6.375% 3/0 | 50,000 | $54.0K | <0.1% | – |
| AHTAshford Hospitality Trust Inc | COM SHS | 11,517 | $53.0K | <0.1% | History |
| TBLTToughbuilt Industries, Inc | COM NEW | 10,000 | $8.00K | <0.1% | History |