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Livermore
Livermore
ZHEN

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.

Institution overview
Positions
1,399
+87 vs. Q2 2021
Portfolio value
$5.14B
+$915.3M (+21.7%) vs. Q2 2021
Filed
Nov 16, 2021
SEC
Holdings of Cetera Advisors LLC in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
ROPRoper Technologies IncStock4,751$2.12M<0.1%−568−10.7%ReducedHistory
Barclays BK PLC06746P456ETN LKD 4836,328$2.13M<0.1%+36,328New–
Vanguard Mun BD FDS922907746TAX EXEMPT BD39,267$2.15M<0.1%−33,802−46.3%Reduced–
GSGoldman Sachs Group IncStock5,714$2.16M<0.1%+639+12.6%AddedHistory
PRUPrudential Financial IncStock20,568$2.16M<0.1%+3,700+21.9%AddedHistory
LULUlululemon athletica inc.Stock5,363$2.17M<0.1%+1,624+43.4%AddedHistory
WisdomTree Tr97717W281EMG MKTS SMCAP40,678$2.17M<0.1%+40,678New–
First Tr Exchng Traded FD VI33740F862FT VEST US EQT59,796$2.18M<0.1%+42,136+238.6%Added–
ARK ETF Tr00214Q203AUTNMUS TECHNLGY27,978$2.18M<0.1%+1,730+6.6%Added–
PARPar Technology CorpCOM35,502$2.18M<0.1%+18,188+105.0%AddedHistory
GISGeneral Mills IncStock36,681$2.19M<0.1%−4,191−10.3%ReducedHistory
GDGeneral Dynamics CorpStock11,204$2.20M<0.1%+1,373+14.0%AddedHistory
SYYSysco CorpStock27,991$2.20M<0.1%+13,030+87.1%AddedHistory
ENBEnbridge IncStock55,313$2.20M<0.1%+20,790+60.2%AddedHistory
TXNTexas Instruments IncStock11,514$2.21M<0.1%+1,848+19.1%AddedHistory
State Street SPDR Bloomberg Convertible Securities ETF78464A359ETF26,117$2.23M<0.1%+1,478+6.0%Added–
Vanguard Ftse Emerging Markets ETF922042858ETF44,691$2.23M<0.1%+4,131+10.2%Added–
First Tr Exchng Traded FD VI33740U208FT VEST US EQT64,836$2.25M<0.1%+64,836New–
CSXCSX CorpStock75,593$2.25M<0.1%+18,846+33.2%AddedHistory
VMRKVivmark ResidentialSH BEN INT27,873$2.25M<0.1%+3,745+15.5%AddedHistory
HSYHershey CoCOM13,349$2.26M<0.1%+711+5.6%AddedHistory
iShares Russell Mid-Cap Value ETF464287473ETF20,075$2.27M<0.1%−1,717−7.9%Reduced–
BPBP PLCADR83,839$2.29M<0.1%−3,555−4.1%ReducedHistory
CLColgate Palmolive CoStock30,390$2.30M<0.1%+6,676+28.2%AddedHistory
CERNCERNER CorpCOM32,726$2.31M<0.1%+13,200+67.6%AddedHistory
WBAWalgreens Boots Alliance, Inc.COM49,079$2.31M<0.1%+10,813+28.3%AddedHistory
Pacer US Cash Cows 100 ETF69374H881ETF53,085$2.32M<0.1%+18,729+54.5%Added–
iShares Tr4642874571 3 YR TREAS BD27,221$2.35M<0.1%+10,350+61.3%Added–
EMREmerson Electric CoStock24,942$2.35M<0.1%+1,766+7.6%AddedHistory
METMetlife IncStock38,267$2.36M<0.1%+9,719+34.0%AddedHistory
ARCCAres Capital CorpCEF116,745$2.37M<0.1%+3,456+3.1%AddedHistory
LPXLouisiana-Pacific CorpCOM38,704$2.38M<0.1%−2,728−6.6%ReducedHistory
PAYXPaychex IncStock21,167$2.38M<0.1%+2,181+11.5%AddedHistory
State Street SPDR S&P Semiconductor ETF78464A862ETF12,022$2.38M<0.1%−3,705−23.6%Reduced–
iShares Tr464288638ISHS 5-10YR INVT39,629$2.38M<0.1%+1,227+3.2%Added–
DIDIYDiDi Global Inc.SPONSORED ADS305,637$2.38M<0.1%+305,637NewHistory
First Trust Nasdaq-100 Technology Sector Index Fund337345102ETF15,277$2.41M<0.1%+2,805+22.5%Added–
Pacer Trendpilot US Mid Cap ETF69374H204ETF68,791$2.42M<0.1%+20,047+41.1%Added–
iShares Tr46434V456MSCI INTL QUALTY63,843$2.42M<0.1%+4,894+8.3%Added–
ETF Ser Solutions26922A289DEFIANCE CONNECT67,443$2.45M<0.1%+10,791+19.0%Added–
WMBWilliams Companies, Inc.COM94,431$2.45M<0.1%+48,061+103.6%AddedHistory
Vanguard Admiral FDS Inc921932885MIDCP 400 IDX13,847$2.47M<0.1%00.0%Unchanged–
URGUr-Energy IncCOM1,434,635$2.47M<0.1%+751,775+110.1%AddedHistory
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund72201R833ETF24,319$2.48M<0.1%+6,913+39.7%Added–
iShares Tr464288869MICRO-CAP ETF17,374$2.51M<0.1%−3,004−14.7%Reduced–
Vanguard Consumer Staples ETF92204A207ETF14,014$2.51M<0.1%−359−2.5%Reduced–
LUVSouthwest Airlines CoCOM48,904$2.52M<0.1%+2,309+5.0%AddedHistory
Invesco S&P 500 Equal Weight Technology ETF46137V282ETF8,767$2.53M<0.1%+1,154+15.2%Added–
SYKStryker CorpStock9,592$2.53M<0.1%+1,440+17.7%AddedHistory
SFBSServisFirst Bancshares, Inc.COM32,531$2.53M<0.1%00.0%UnchangedHistory
Amplify ETF Tr032108102ONLIN RETL ETF23,246$2.54M<0.1%+6,506+38.9%Added–
VanEck ETF Trust92189F700AGRIBUSINESS ETF27,978$2.55M<0.1%+456+1.7%Added–
State Street SPDR Portfolio Developed World Ex-US ETF78463X889ETF70,814$2.56M<0.1%+27,288+62.7%Added–
DBCInvesco DB Commodity Index Tracking FundUNIT127,156$2.57M<0.1%+40,412+46.6%AddedHistory
Global X Lithium & Battery Tech ETF37954Y855ETF31,333$2.57M<0.1%+9,758+45.2%Added–
iShares U S ETF Tr46431W507SHOR DURA BD ETF51,557$2.58M0.1%+1,118+2.2%Added–
iShares Tr464287739U.S. REAL ES ETF25,267$2.59M0.1%−810−3.1%Reduced–
WisdomTree Tr97717X578EM EX ST-OWNED69,781$2.60M0.1%+59,154+556.6%Added–
iShares Tr464287689RUSSELL 3000 ETF10,278$2.62M0.1%+1,692+19.7%Added–
LHXL3HARRIS Technologies, Inc.Stock11,903$2.62M0.1%+1,562+15.1%AddedHistory
iShares Tr464287291GLOBAL TECH ETF46,544$2.64M0.1%+19,064+69.4%AddedConverted for a 6-for-1 split–
AMATApplied Materials IncStock20,592$2.65M0.1%+4,118+25.0%AddedHistory
CCICrown Castle Inc.REIT15,428$2.67M0.1%+1,081+7.5%AddedHistory
First Tr Exchange-Traded FD33739Q200FST LOW OPPT EFT53,307$2.70M0.1%+14,215+36.4%Added–
First Tr Energy Income & Gro33738G104COM199,489$2.71M0.1%+21,271+11.9%Added–
State Street SPDR Portfolio Aggregate Bond ETF78464A649ETF91,107$2.72M0.1%+44,085+93.8%Added–
Vanguard S&P 500 Value ETF921932703ETF19,405$2.73M0.1%00.0%Unchanged–
DDominion Energy, IncStock37,511$2.74M0.1%+3,703+11.0%AddedHistory
iShares Inc464286525MSCI GBL MIN VOL26,792$2.75M0.1%+1,424+5.6%Added–
CSQCalamos Strategic Total Return FundCOM SH BEN INT155,700$2.76M0.1%+6,203+4.1%AddedHistory
ORCLOracle CorpStock31,914$2.78M0.1%+4,067+14.6%AddedHistory
ABAlliancebernstein Holding L.P.UNIT LTD PARTN56,511$2.80M0.1%−14,895−20.9%ReducedHistory
WisdomTree Tr97717X263DYNAMIC INTL EQT96,307$2.88M0.1%+96,307New–
Pacer Trendpilot 100 ETF69374H303ETF51,897$2.89M0.1%+12,011+30.1%Added–
Amplify ETF Tr032108888BLACKSWAN GRWT85,193$2.92M0.1%+51,325+151.5%Added–
DUKDuke Energy CORPStock29,910$2.92M0.1%+5,438+22.2%AddedHistory
Invesco Exch Traded FD Tr II46138E362S&P500 HDL VOL69,006$2.92M0.1%−4,388−6.0%Reduced–
Invesco Bulletshares 2022 HY Bd (BSJM)46138J874BULSHS 2022 HY125,798$2.92M0.1%+72,477+135.9%Added–
iShares Tr46429B655FLTG RATE NT ETF57,712$2.93M0.1%−2,385−4.0%Reduced–
ETBEaton Vance Tax-Managed Buy-Write Income FundCOM183,868$2.94M0.1%+10,885+6.3%AddedHistory
State Street SPDR S&P Aerospace & Defense ETF78464A631ETF24,900$2.97M0.1%+2,265+10.0%Added–
WisdomTree Tr97717Y790US EFFIC CORE FD72,955$2.97M0.1%+14,840+25.5%Added–
iShares S&P Small-Cap 600 Growth ETF464287887ETF22,944$2.98M0.1%+4,088+21.7%Added–
SPDR Ser Tr78464A813S&P 600 SML CAP31,573$2.99M0.1%−2,647−7.7%Reduced–
IRMIron Mountain IncCOM69,023$3.00M0.1%+4,776+7.4%AddedHistory
ADPAutomatic Data Processing IncStock15,050$3.01M0.1%+2,002+15.3%AddedHistory
DOCUDocuSign, Inc.Stock11,720$3.02M0.1%+764+7.0%AddedHistory
First Tr Exchange-Traded FD33733B100WTR ETF35,577$3.03M0.1%+4,489+14.4%Added–
First Trust Financials Alphadex Fund33734X135ETF69,231$3.06M0.1%+49,164+245.0%Added–
CCJCameco CorpStock141,148$3.07M0.1%+69,956+98.3%AddedHistory
iShares Tr464287556ISHARES BIOTECH19,173$3.10M0.1%+1,514+8.6%Added–
Vanguard Morningstar Small-Cap Value ETF922908611ETF18,463$3.13M0.1%+775+4.4%Added–
WisdomTree Tr97717X271DYNAMIC INT EQ90,191$3.14M0.1%+90,191New–
First Trust Nasdaq Clean Edge Green Energy Index Fund33733E500ETF50,277$3.15M0.1%+5,633+12.6%Added–
TMOThermo Fisher Scientific Inc.Stock5,513$3.15M0.1%+151+2.8%AddedHistory
iShares Ibonds 2025 Term High Yield & Income ETF46435U168ETF126,024$3.15M0.1%+126,024New–
FDXFedEx CorpStock14,426$3.16M0.1%+1,029+7.7%AddedHistory
iShares U.S. Healthcare Providers ETF464288828ETF12,435$3.18M0.1%+330+2.7%Added–
Starboard Invt Tr85521B742ADAPTIVE ALPHA123,741$3.18M0.1%+5,380+4.5%Added–
TJXTJX Companies IncStock48,408$3.19M0.1%−1,035−2.1%ReducedHistory

Options (9)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

Option positions of Cetera Advisors LLC in Q3 2021
SecurityClassPutsCalls
NVDANVIDIA CorpStock$43.0K–
LYVLive Nation Entertainment, Inc.COM$34.0K–
SESea LtdSPONSORD ADS$21.0K–
XPEVXpeng Inc.ADS$19.0K–
BACBank of America CorpStock$10.0K–
NOCNorthrop Grumman CorpStock$9.00K–
DISWalt Disney CoStock$7.00K–
MSFTMicrosoft CorpStock–$6.00K
EIXEdison InternationalStock$1.00K–

Sold out since Q2 2021 (80)

Positions held at the end of Q2 2021 that are gone from this filing.

Positions of Cetera Advisors LLC sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
RNACCartesian Therapeutics, Inc.COM1,106,325$4.62M0.1%History
iShares U S ETF Tr46431W705INT RT HDG C B42,010$4.05M0.1%–
Advisorshares Tr00768Y453PURE US CANN ETF81,455$3.26M0.1%–
Invesco Exch Traded FD Tr II46138E164S&P SMLCP ENGY297,641$2.39M0.1%–
iShares Tr46434V787YLD OPTIM BD92,857$2.35M0.1%–
iShares Tr46428951110+ YR INVST GRD30,966$2.17M0.1%–
Invesco Exch Traded FD Tr II46138G870VAR RATE PFD58,504$1.54M<0.1%–
FXFInvesco CurrencyShares Swiss Franc TrustSWISS FRANC12,930$1.27M<0.1%History
WRIWeingarten Realty InvestorsSH BEN INT39,133$1.25M<0.1%History
iShares Tr46429B671MSCI CHINA ETF14,679$1.21M<0.1%–
iShares Tr46435U333FOCUSD VAL FAC20,121$1.10M<0.1%–
CPERUnited States Commodity Index Funds TrustCM REP COPP FD34,910$916.0K<0.1%History
iShares Tr46436E536US SML CP VALUE28,787$884.0K<0.1%–
iShares Tr464288430ASIA 50 ETF9,541$874.0K<0.1%–
OMFOneMain Holdings, Inc.COM13,600$815.0K<0.1%History
First Tr Exchng Traded FD VI33740F664FT VEST US EQT23,732$806.0K<0.1%–
iShares Tr46429B366CMBS ETF14,698$799.0K<0.1%–
AIGAmerican International Group, Inc.Stock16,772$798.0K<0.1%History
ODFLOld Dominion Freight Line, Inc.COM2,898$736.0K<0.1%History
TRIPTripAdvisor, Inc.COM16,809$677.0K<0.1%History
SPDR Series Trust78464A755ST STR SP METAL14,557$627.0K<0.1%–
NTESNetEase, Inc.SPONSORED ADS5,266$607.0K<0.1%History
RABrookfield Real Assets Income Fund Inc.SHS BEN INT26,201$574.0K<0.1%History
CACICACI International IncCL A2,226$568.0K<0.1%History
NEWTNewtekOne, Inc.COM NEW16,100$562.0K<0.1%History
CAFMorgan Stanley China A Share Fund, Inc.COM24,586$562.0K<0.1%History
Global X FDS37950E606MSCI CHINA FINCL34,494$531.0K<0.1%–
GRWGGrowGeneration Corp.COM10,841$521.0K<0.1%History
FRABlackRock Floating Rate Income Strategies Fund, Inc.COM38,426$509.0K<0.1%History
Procure ETF Trust II74280R205SPACE ETF15,610$485.0K<0.1%–
Northern LTS FD Tr IV66538H534INSPIRE 100 ETF11,200$478.0K<0.1%–
Global X FDS37950E408MSCI CHINA CNSMR13,332$472.0K<0.1%–
TERTeradyne, IncStock3,326$446.0K<0.1%History
NVCRNovoCure LtdORD SHS1,816$403.0K<0.1%History
VALEVale S.A.SPONSORED ADS16,684$381.0K<0.1%History
CORNTeucrium Commodity TrustCORN FD SHS16,940$362.0K<0.1%History
MORFMorphic Holding, Inc.COM6,210$356.0K<0.1%History
CFGCitizens Financial Group IncCOM7,750$355.0K<0.1%History
CCAPCrescent Capital BDC, Inc.COM18,800$353.0K<0.1%History
HPIJohn Hancock Preferred Income FundSH BEN INT16,000$346.0K<0.1%History
BCBrunswick CorpCOM3,466$345.0K<0.1%History
ASANAsana, Inc.CL A5,440$337.0K<0.1%History
MVISMicrovision, Inc.COM NEW19,430$325.0K<0.1%History
PFPTProofpoint IncCOM1,830$318.0K<0.1%History
Churchill Capital Corp IV171439102CL A10,191$294.0K<0.1%–
LFMDLifeMD, Inc.COM24,880$293.0K<0.1%History
JMIAJumia Technologies AGSPONSORED ADS9,615$292.0K<0.1%History
iShares Tr46434V290US SML CAP EQT4,901$269.0K<0.1%–
NSLRNeostellar Capital Corp.COM NEW19,917$269.0K<0.1%History
FMCFMC CorpCOM NEW2,465$267.0K<0.1%History
FSLYFastly, Inc.CL A4,395$262.0K<0.1%History
iShares Tr464288851US OIL GS EX ETF4,386$251.0K<0.1%–
Exchange Traded Concepts Tr301505723ROBO GBL HLTCR4,700$226.0K<0.1%–
iShares Tr464287184CHINA LG-CAP ETF4,750$220.0K<0.1%–
First Tr Exchange Traded FD33738R308BUYWRIT INCM ETF10,029$220.0K<0.1%–
Northern LTS FD Tr IV66538H641INSPIRE SML/ MID6,000$220.0K<0.1%–
Invesco Exchange Traded FD T46137V605DJ INDL AVG DV4,999$220.0K<0.1%–
CDMOAvid Bioservices, Inc.COM8,505$218.0K<0.1%History
EEFTEuronet Worldwide, Inc.COM1,590$215.0K<0.1%History
AMCAMC Entertainment Holdings, Inc.CL A COM3,800$215.0K<0.1%History
AVYAvery Dennison CorpCOM1,001$211.0K<0.1%History
POSHPoshmark, Inc.COM CL A4,405$210.0K<0.1%History
Global X FDS37954Y392VDEO GAM ESPRT6,479$209.0K<0.1%–
QQQXNuveen NASDAQ 100 Dynamic Overwrite FundCOM SHS6,999$206.0K<0.1%History
SPDR Series Trust78468R747ST STR MSCI GEN2,031$206.0K<0.1%–
WORKSlack Technologies, Inc.COM CL A4,639$206.0K<0.1%History
UGAUnited States Gasoline Fund, LPUNITS5,705$205.0K<0.1%History
SPDR Series Trust78464A490ST STR FTSE ETF3,606$203.0K<0.1%–
VanEck ETF Trust92189F452MORTGAGE REIT10,183$202.0K<0.1%–
FLYYSpirit Aviation Holdings, Inc.COM6,625$202.0K<0.1%History
Barclays Bank PLC06746P522ETN LKD 483,040$201.0K<0.1%–
FIXComfort Systems USA IncCOM2,543$200.0K<0.1%History
Vanguard Scottsdale FDS92206C813LG-TERM COR BD1,867$200.0K<0.1%–
CXCemex SAB de CVSPON ADR NEW23,592$198.0K<0.1%History
LMRKLandmark Infrastructure Partners LPCOM UNIT LTD14,000$179.0K<0.1%History
ALDXAldeyra Therapeutics, Inc.COM14,100$160.0K<0.1%History
BRGBluerock Residential Growth REIT, Inc.COM CL A14,648$149.0K<0.1%History
Prospect Cap Corp74348TAT9NOTE 6.375% 3/050,000$54.0K<0.1%–
AHTAshford Hospitality Trust IncCOM SHS11,517$53.0K<0.1%History
TBLTToughbuilt Industries, IncCOM NEW10,000$8.00K<0.1%History