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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
WMWaste Management IncStock21,630$3.23M0.1%+1,706+8.6%AddedHistory
Invesco Exchange Traded FD T46137V258S&P500 PUR VAL42,628$3.23M0.1%+645+1.5%Added–
Invesco Exch Traded FD Tr II46138E263S&P GBL WATER58,251$3.25M0.1%+34+0.1%Added–
VRTXVertex Pharmaceuticals IncStock17,953$3.26M0.1%−10,104−36.0%ReducedHistory
First Tr Exchng Traded FD VI33740F748FT VEST US EQT89,833$3.27M0.1%+33,012+58.1%Added–
CCLCarnival Corp Ltd.UNIT 99/99/9999130,591$3.27M0.1%+34,176+35.4%AddedHistory
Vanguard Intermediate-Term Corporate Bond ETF92206C870ETF34,691$3.27M0.1%+10,450+43.1%Added–
SPDR Series Trust78464A763ST STR SP DIV27,943$3.29M0.1%+5,587+25.0%Added–
iShares Core S&P US Value ETF464287663ETF46,568$3.30M0.1%+4,753+11.4%Added–
UNPUnion Pacific CorpStock17,077$3.35M0.1%+1,749+11.4%AddedHistory
MPTMedical Properties Trust IncCOM168,845$3.39M0.1%+18,092+12.0%AddedHistory
Cambria ETF Tr132061201SHSHLD YIELD ETF56,471$3.40M0.1%+50,369+825.5%Added–
First Tr Exchange-Traded FD33734X176TECH ALPHADEX27,969$3.44M0.1%+4,685+20.1%Added–
Invesco Exch TRD SLF Idx FD46138J833BULSHS 2024 HY139,309$3.49M0.1%+28,607+25.8%Added–
Royal Dutch Shell PLC780259107SPON ADR B79,502$3.52M0.1%+1,518+1.9%Added–
WFCWells Fargo & CompanyStock77,598$3.60M0.1%+14,951+23.9%AddedHistory
Vanguard Short-Term Bond ETF921937827ETF44,181$3.62M0.1%+4,703+11.9%Added–
iShares U.S. Medical Devices ETF464288810ETF58,212$3.65M0.1%+6,726+13.1%AddedConverted for a 6-for-1 split–
Vanguard Information Technology ETF92204A702ETF9,260$3.72M0.1%+562+6.5%Added–
DNNDenison Mines Corp.COM2,531,946$3.72M0.1%+1,347,792+113.8%AddedHistory
GSKGSK plcSPONSORED ADR98,211$3.75M0.1%+21,547+28.1%AddedHistory
Alps ETF Tr00162Q452ALERIAN MLP115,125$3.84M0.1%−2,440−2.1%Reduced–
NFLXNetflix IncStock6,308$3.85M0.1%+290+4.8%AddedHistory
USBUS Bancorp DECOM NEW64,783$3.85M0.1%−3,447−5.1%ReducedHistory
LLYEli Lilly & CoStock16,708$3.86M0.1%+3,322+24.8%AddedHistory
iShares Tr46428743220 YR TR BD ETF26,753$3.86M0.1%+9,432+54.5%Added–
AMDAdvanced Micro Devices IncStock37,543$3.86M0.1%+69+0.2%AddedHistory
DELLDell Technologies Inc.Stock37,139$3.86M0.1%+14,605+64.8%AddedHistory
NKENIKE, Inc.Stock26,786$3.89M0.1%+2,872+12.0%AddedHistory
Invesco Exch Traded FD Tr II46138E628KBW BK ETF58,560$3.93M0.1%+4,238+7.8%Added–
iShares Tr464288877EAFE VALUE ETF77,639$3.95M0.1%+3,434+4.6%Added–
State Street SPDR S&P Homebuilders ETF78464A888ETF55,202$3.96M0.1%+5,174+10.3%Added–
WisdomTree Tr97717W208US HIGH DIVIDEND51,628$3.97M0.1%+48,473+1,536.4%Added–
Vanguard Morningstar Value ETF922908744ETF29,614$4.01M0.1%+4,377+17.3%Added–
MUMicron Technology IncStock56,986$4.04M0.1%+18,941+49.8%AddedHistory
BLKBlackRock, Inc.COM4,834$4.05M0.1%+556+13.0%AddedHistory
Royal Dutch Shell PLC780259206SPONS ADR A91,225$4.07M0.1%+32,592+55.6%Added–
Invesco Exch TRD SLF Idx FD46138J635INVSCO BLSH 26158,711$4.08M0.1%+17,254+12.2%Added–
iShares Core High Dividend ETF46429B663ETF43,361$4.09M0.1%+11,804+37.4%Added–
Invesco Exchange Traded FD T46137V308BUYBACK ACHIEV45,453$4.10M0.1%+41,878+1,171.4%Added–
iShares Tr464287234MSCI EMG MKT ETF81,532$4.11M0.1%−10,307−11.2%Reduced–
First Tr Exchange-Traded FD33739Q705FT VEST S&P 50079,418$4.12M0.1%+39,027+96.6%Added–
First Tr Exchng Traded FD VI33740F763FT VEST US EQT113,056$4.15M0.1%+13,314+13.3%Added–
New York Life Investments Et45409B560FTSE INTL EQTY C170,744$4.17M0.1%+64,616+60.9%Added–
NOWServiceNow, Inc.Stock6,709$4.17M0.1%+5,581+494.8%AddedHistory
Vanguard Morningstar Small-Cap ETF922908751ETF19,382$4.24M0.1%+2,019+11.6%Added–
Franklin Templeton ETF Tr35473P884US MID CP MLTFCT97,389$4.27M0.1%+2,332+2.5%Added–
GEGeneral Electric CoStock41,485$4.27M0.1%+6,583+18.9%AddedConverted for a 1-for-8 splitHistory
First Trust Dow Jones Internet Index Fund33733E302ETF18,126$4.28M0.1%+5,639+45.2%Added–
AMGNAmgen IncStock20,130$4.28M0.1%+3,303+19.6%AddedHistory
QCOMQualcomm IncStock33,344$4.30M0.1%+6,362+23.6%AddedHistory
BABAAlibaba Group Holding LtdADR29,065$4.30M0.1%−6,096−17.3%ReducedHistory
iShares MSCI USA Quality Factor ETF46432F339ETF32,674$4.30M0.1%+9,695+42.2%Added–
State Street Energy Select Sector SPDR ETF81369Y506ETF83,190$4.33M0.1%+15,967+23.8%Added–
Alpha Architect ETF Tr02072L870GADSDN DYN MLT138,787$4.33M0.1%+62,153+81.1%Added–
MDTMedtronic plcStock34,673$4.35M0.1%+3,289+10.5%AddedHistory
ACNAccenture plcStock13,599$4.35M0.1%+1,198+9.7%AddedHistory
XYZBlock, Inc.CL A18,319$4.39M0.1%+4,414+31.7%AddedHistory
First Tr Exchng Traded FD VI33740F870LOW DUR STRTGC219,200$4.42M0.1%+8,206+3.9%Added–
iShares Inc46434G863ESG AWR MSCI EM106,692$4.42M0.1%−65,342−38.0%Reduced–
Vanguard Ftse Developed Markets ETF921943858ETF87,991$4.44M0.1%+1,703+2.0%Added–
DKNGDraftKings Inc.COM CL A92,977$4.48M0.1%+42,856+85.5%AddedHistory
DOWDow Inc.Stock78,012$4.49M0.1%+22,167+39.7%AddedHistory
Schwab U.S. Mid-Cap ETF808524508ETF58,770$4.50M0.1%+25,130+74.7%Added–
Listed FDS Tr53656F623HORI KI INFL ETF154,330$4.51M0.1%+82,863+115.9%Added–
SPDR Ser Tr78464A532S&P TRANSN ETF52,524$4.54M0.1%+21,245+67.9%Added–
iShares Tr464287846DOW JONES US ETF42,189$4.55M0.1%−1,132−2.6%Reduced–
State Street SPDR S&P Biotech ETF78464A870ETF36,489$4.59M0.1%+892+2.5%Added–
State Street Industrial Select Sector SPDR ETF81369Y704ETF47,268$4.63M0.1%+3,233+7.3%Added–
State Street Materials Select Sector SPDR ETF81369Y100ETF58,650$4.64M0.1%+3,696+6.7%Added–
IDXXIDEXX Laboratories IncCOM7,513$4.67M0.1%+56+0.8%AddedHistory
FFord Motor CoStock331,489$4.69M0.1%+114,610+52.8%AddedHistory
ETF Managers Tr26924G508ETFMG ALTR HRVST327,822$4.72M0.1%+266,421+433.9%Added–
CCitigroup IncStock67,562$4.74M0.1%−3,301−4.7%ReducedHistory
First Tr Exchange Traded FD33738R860NASDAQ BK ETF145,409$4.75M0.1%+81,601+127.9%Added–
DHRDanaher CorpStock15,664$4.77M0.1%+2,295+17.2%AddedHistory
Principal Exchange Traded FD74255Y201QUALITY ETF88,438$4.77M0.1%+1,713+2.0%Added–
ETF Managers Tr26924G409PRIME MOBILE PAY70,632$4.78M0.1%+3,693+5.5%Added–
State Street Communication Services Select Sector SPDR ETF81369Y852ETF59,764$4.79M0.1%+806+1.4%Added–
First Tr Exchng Traded FD VI33740F581FT VEST NAS219,898$4.80M0.1%+104,123+89.9%Added–
iShares Tr46432F388MSCI USA VALUE47,841$4.82M0.1%+2,520+5.6%Added–
ADBEAdobe Inc.Stock8,457$4.87M0.1%−856−9.2%ReducedHistory
iShares Tr464287630RUS 2000 VAL ETF30,528$4.89M0.1%−2,637−8.0%Reduced–
Invesco Exchange Traded FD T46137V639AI AND NEXT GEN34,312$4.93M0.1%+9,650+39.1%Added–
Global X FDS37954Y483NASDAQ 100 COVER224,144$4.95M0.1%+72,156+47.5%Added–
ARK Next Generation Technology ETF00214Q401ETF35,733$4.96M0.1%+8,677+32.1%Added–
LOWLowes Companies IncStock24,615$4.99M0.1%+1,969+8.7%AddedHistory
BTIBritish American Tobacco p.l.c.SPONSORED ADR141,868$5.00M0.1%+50,728+55.7%AddedHistory
First Tr Exchng Traded FD VI33740F755FT LADD BUFF ETF218,099$5.00M0.1%+124,659+133.4%Added–
State Street SPDR S&P Regional Banking ETF78464A698ETF74,104$5.02M0.1%+9,942+15.5%Added–
AGXArgan IncStock116,489$5.09M0.1%+53,741+85.6%AddedHistory
CBRLCracker Barrel Old Country Store, IncCOM36,433$5.09M0.1%+13,417+58.3%AddedHistory
Vanguard World FD921910816MEGA GRWTH IND22,151$5.20M0.1%+1,017+4.8%Added–
iShares Global Clean Energy ETF464288224ETF241,264$5.22M0.1%−2,555−1.0%Reduced–
LEGLeggett & Platt IncStock116,497$5.22M0.1%+37,637+47.7%AddedHistory
Pacer Trendpilot US Bond ETF69374H642ETF197,008$5.34M0.1%+89,614+83.4%Added–
SONSonoco Products CoCOM90,054$5.37M0.1%+30,508+51.2%AddedHistory
AVGOBroadcom Inc.Stock11,091$5.38M0.1%+1,635+17.3%AddedHistory
WisdomTree Tr97717W588US LARGECAP FUND117,383$5.40M0.1%+104,018+778.3%Added–
Invesco Exch TRD SLF Idx FD46138J858BULSHS 2023 HY213,318$5.40M0.1%+39,773+22.9%Added–

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