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 |
|---|---|---|---|---|---|---|---|
| ProShares Tr74347B425 | SHORT S&P 500 NE | 13,291 | $202.0K | <0.1% | +13,291 | New | – |
| Schwab International Small-Cap Equity ETF808524888 | ETF | 4,896 | $203.0K | <0.1% | +4,896 | New | – |
| First Tr Exch Traded FD III33739P103 | LNG/SHT EQUITY | 4,197 | $203.0K | <0.1% | +4,197 | New | – |
| DXCMDexcom Inc | COM | 371 | $203.0K | <0.1% | +371 | New | History |
| Pacer Developed Markets International Cash Cows 100 ETF69374H873 | ETF | 6,580 | $204.0K | <0.1% | +6,580 | New | – |
| RNPCohen & Steers REIT & Preferred & Income Fund Inc | COM | 7,968 | $204.0K | <0.1% | +455+6.1% | Added | History |
| Global X FDS37954Y434 | GENOMIC BIOTECH | 9,200 | $204.0K | <0.1% | +9,200 | New | – |
| Invesco Exch TRD SLF Idx FD46138J643 | INVSCO BLSH 28 | 8,960 | $205.0K | <0.1% | +8,960 | New | – |
| WisdomTree Tr97717X172 | US HGH YLD CORP | 3,887 | $205.0K | <0.1% | −4,993−56.2% | Reduced | – |
| Innovator ETFs Trust45782C870 | US EQT PWR BUF | 7,192 | $205.0K | <0.1% | +104+1.5% | Added | – |
| FLOFlowers Foods Inc | COM | 8,702 | $206.0K | <0.1% | +8,702 | New | History |
| BLDQXO Insulation, LLC | Stock | 1,009 | $207.0K | <0.1% | −10−1.0% | Reduced | History |
| Barclays Bank PLC06746P563 | ETN LKD 48 | 3,875 | $207.0K | <0.1% | +3,875 | New | – |
| TMToyota Motor Corp | ADS | 1,168 | $208.0K | <0.1% | +1,168 | New | History |
| SNYSanofi | SPONSORED ADR | 4,320 | $208.0K | <0.1% | +4,320 | New | History |
| NEONeogenomics Inc | COM NEW | 4,316 | $208.0K | <0.1% | +4,316 | New | History |
| GOFGuggenheim Strategic Opportunities Fund | COM SBI | 10,939 | $209.0K | <0.1% | +608+5.9% | Added | History |
| iShares Inc464286806 | MSCI GERMANY ETF | 6,393 | $210.0K | <0.1% | +57+0.9% | Added | – |
| Northern LTS FD Tr IV66538H658 | INSPIRE GBL HOPE | 5,500 | $210.0K | <0.1% | −4,150−43.0% | Reduced | – |
| WATWaters Corp | COM | 588 | $210.0K | <0.1% | +588 | New | History |
| NBBNuveen Taxable Municipal Income Fund | COM | 9,229 | $211.0K | <0.1% | −3,068−24.9% | Reduced | History |
| CSGPCostar Group, Inc. | COM | 2,455 | $211.0K | <0.1% | +2,455 | New | History |
| HYTBlackRock Corporate High Yield Fund, Inc. | COM | 17,451 | $213.0K | <0.1% | −2,738−13.6% | Reduced | History |
| Nuveen Diversified Divid & I6706EP105 | COM | 20,542 | $213.0K | <0.1% | 00.0% | Unchanged | – |
| AIC3.ai, Inc. | Stock | 4,644 | $215.0K | <0.1% | −495−9.6% | Reduced | History |
| SARSaratoga Investment Corp. | COM NEW | 7,488 | $215.0K | <0.1% | +7,488 | New | History |
| Global X FDS37954Y889 | S&P 500 CATHOLIC | 4,000 | $216.0K | <0.1% | +4,000 | New | – |
| PAAPlains All American Pipeline LP | UNIT LTD PARTN | 21,306 | $217.0K | <0.1% | +1,117+5.5% | Added | History |
| ETWEaton Vance Tax-Managed Global Buy-Write Opportunities Fund | COM | 20,036 | $217.0K | <0.1% | +4,973+33.0% | Added | History |
| HDBHDFC Bank Ltd | SPONSORED ADS | 2,965 | $217.0K | <0.1% | +2,965 | New | History |
| EMDWestern Asset Emerging Markets Debt Fund Inc. | COM | 15,931 | $217.0K | <0.1% | 00.0% | Unchanged | History |
| CRCrane Co | COM | 2,295 | $218.0K | <0.1% | +17+0.7% | Added | History |
| BBYBest Buy Co Inc | Stock | 2,082 | $220.0K | <0.1% | −78−3.6% | Reduced | History |
| QRVOQorvo, Inc. | Stock | 1,316 | $220.0K | <0.1% | 00.0% | Unchanged | History |
| Schwab Strategic Tr808524862 | SHT TM US TRES | 4,303 | $220.0K | <0.1% | +141+3.4% | Added | – |
| EQTEQT Corp | Stock | 10,820 | $221.0K | <0.1% | +10,820 | New | History |
| BUDAnheuser-Busch InBev SA/NV | ADR | 3,917 | $221.0K | <0.1% | +902+29.9% | Added | History |
| Global X FDS37954Y459 | RUSSELL 2000 | 8,885 | $221.0K | <0.1% | +480+5.7% | Added | – |
| ETVEaton Vance Tax-Managed Buy-Write Opportunities Fund | COM | 13,809 | $221.0K | <0.1% | 00.0% | Unchanged | History |
| AVAAvista Corp | COM | 5,678 | $222.0K | <0.1% | +5,678 | New | History |
| Franklin Templeton ETF Tr35473P108 | INTL COR DIV TIL | 8,078 | $223.0K | <0.1% | +8,078 | New | – |
| Schwab U.S. REIT ETF808524847 | ETF | 4,910 | $224.0K | <0.1% | −236−4.6% | Reduced | – |
| MVTBlackRock Munivest Fund II, Inc. | COM | 14,715 | $224.0K | <0.1% | 00.0% | Unchanged | History |
| UHALU-Haul Holding Co | COM | 349 | $225.0K | <0.1% | +2+0.6% | Added | History |
| CIENCiena Corp | COM NEW | 4,387 | $225.0K | <0.1% | −997−18.5% | Reduced | History |
| Global X FDS37954Y418 | THMATC GWT ETF | 4,511 | $225.0K | <0.1% | −6,086−57.4% | Reduced | – |
| PBCTPeople's United Financial, Inc. | COM | 12,878 | $225.0K | <0.1% | +12,878 | New | History |
| First Tr Exch Traded FD III33739P301 | MUNI HI INCM ETF | 4,045 | $226.0K | <0.1% | +4,045 | New | – |
| EVRGEvergy, Inc. | Stock | 3,651 | $227.0K | <0.1% | +3,651 | New | History |
| Flexshares Tr33939L407 | MORNSTAR UPSTR | 6,189 | $227.0K | <0.1% | +331+5.7% | Added | – |
| Northern LTS FD Tr IV66538H591 | MAIN SECTR ROTN | 5,592 | $228.0K | <0.1% | +5,592 | New | – |
| LANDGladstone Land Corp | COM | 10,000 | $228.0K | <0.1% | 00.0% | Unchanged | History |
| Spinnaker ETF Series84858T400 | CANNABIS ETF | 17,754 | $228.0K | <0.1% | +1,044+6.2% | Added | – |
| MTDMettler Toledo International Inc | COM | 166 | $229.0K | <0.1% | +13+8.5% | Added | History |
| State Street SPDR Portfolio S&P 400 Mid Cap ETF78464A847 | ETF | 4,985 | $230.0K | <0.1% | +4,985 | New | – |
| FMBIFirst Midwest Bancorp Inc | COM | 12,112 | $230.0K | <0.1% | 00.0% | Unchanged | History |
| FISFidelity National Information Services, Inc. | Stock | 1,899 | $231.0K | <0.1% | +265+16.2% | Added | History |
| NWLNewell Brands Inc. | Stock | 10,431 | $231.0K | <0.1% | +1,311+14.4% | Added | History |
| OMCOmnicom Group Inc. | COM | 3,192 | $231.0K | <0.1% | +3,192 | New | History |
| UUPInvesco DB US Dollar Index Bullish Fund | BULLISH FD | 9,137 | $231.0K | <0.1% | +400+4.6% | Added | History |
| BCVBancroft Fund Ltd | COM | 7,807 | $231.0K | <0.1% | −27,394−77.8% | Reduced | History |
| CUZCousins Properties Inc | COM NEW | 6,194 | $231.0K | <0.1% | +643+11.6% | Added | History |
| SPDR Series Trust78464A581 | ST STR SP HCEQ | 1,844 | $231.0K | <0.1% | −691−27.3% | Reduced | – |
| Global X Uranium ETF37954Y871 | ETF | 9,746 | $232.0K | <0.1% | +9,746 | New | – |
| CHYCalamos Convertible & High Income Fund | COM SHS | 14,950 | $234.0K | <0.1% | +4,035+37.0% | Added | History |
| Invesco Exchange Traded FD T46137V779 | BLDG CONSTR ETF | 4,958 | $235.0K | <0.1% | +4,958 | New | – |
| CMSCMS Energy Corp | COM | 3,935 | $235.0K | <0.1% | +309+8.5% | Added | History |
| LMNDLemonade, Inc. | Stock | 3,524 | $236.0K | <0.1% | +1,600+83.2% | Added | History |
| UBSIUnited Bankshares Inc | COM | 6,494 | $236.0K | <0.1% | +866+15.4% | Added | History |
| Nuveen Calif Select Tax Free67063R103 | SH BEN INT | 15,000 | $236.0K | <0.1% | 00.0% | Unchanged | – |
| iShares Tr46435U366 | SELF DRIVNG EV | 4,918 | $237.0K | <0.1% | +4,918 | New | – |
| ORIOld Republic International Corp | COM | 10,252 | $237.0K | <0.1% | +10,252 | New | History |
| BRSPBrightSpire Capital, Inc. | COM CL A | 25,241 | $237.0K | <0.1% | +640+2.6% | Added | History |
| iShares Tr464288745 | GLB CNS DISC ETF | 1,445 | $238.0K | <0.1% | 00.0% | Unchanged | – |
| OGSONE Gas, Inc. | COM | 3,774 | $239.0K | <0.1% | +896+31.1% | Added | History |
| iShares Tr464289420 | RUS TP200 VL ETF | 3,639 | $239.0K | <0.1% | +3,639 | New | – |
| First Tr Exchange-Traded FD33734X200 | DJ GLBL DIVID | 9,614 | $240.0K | <0.1% | +1,094+12.8% | Added | – |
| PPLIPeople Inc | COM NEW | 1,839 | $240.0K | <0.1% | +365+24.8% | Added | History |
| Invesco Exchange Traded FD T46137V217 | S&P MDCP400 PR | 1,088 | $240.0K | <0.1% | +167+18.1% | Added | – |
| SIVRabrdn Silver ETF Trust | PHYSCL SILVR SHS | 11,221 | $240.0K | <0.1% | +1,731+18.2% | Added | History |
| ALKAlaska Air Group, Inc. | COM | 4,089 | $240.0K | <0.1% | +22+0.5% | Added | History |
| GHYPGIM Global High Yield Fund, Inc. | COM | 15,635 | $241.0K | <0.1% | +59+0.4% | Added | History |
| SLFSun Life Financial Inc | COM | 4,702 | $242.0K | <0.1% | +4,702 | New | History |
| Invesco Exchange Traded FD T46137V506 | DIVID ACHIEVEV | 6,723 | $242.0K | <0.1% | +185+2.8% | Added | – |
| First Tr Exchange-Traded FD33734X168 | MATERIALS ALPH | 4,338 | $243.0K | <0.1% | +4,338 | New | – |
| WisdomTree Tr97717X651 | US S CAP QTY DIV | 5,484 | $243.0K | <0.1% | −1,611−22.7% | Reduced | – |
| Invesco Exch Traded FD Tr II46138G508 | SR LN ETF | 11,006 | $243.0K | <0.1% | +11,006 | New | – |
| PHYSSprott Physical Gold Trust | PHYSICAL GOLD TR | 17,789 | $245.0K | <0.1% | +2,381+15.5% | Added | History |
| WHFWhiteHorse Finance, Inc. | COM | 16,125 | $245.0K | <0.1% | +805+5.3% | Added | History |
| Fidelity Covington Trust316092303 | CONSMR STAPLES | 5,874 | $246.0K | <0.1% | −4,166−41.5% | Reduced | – |
| DBX ETF Tr233051853 | XTRACK MSCI EURP | 7,213 | $246.0K | <0.1% | 00.0% | Unchanged | – |
| ACCAmerican Campus Communities Inc | COM | 5,068 | $246.0K | <0.1% | +74+1.5% | Added | History |
| iShares Tr46435G342 | MORTGE REL ETF | 6,837 | $247.0K | <0.1% | −156−2.2% | Reduced | – |
| FUVArcimoto Inc | COM | 21,580 | $247.0K | <0.1% | +7,000+48.0% | Added | History |
| AXAxos Financial, Inc. | COM | 4,810 | $248.0K | <0.1% | −500−9.4% | Reduced | History |
| iShares Tr46435G516 | ESG AW MSCI EAFE | 3,159 | $248.0K | <0.1% | +212+7.2% | Added | – |
| Invesco Exch TRD SLF Idx FD46138J585 | BULETSHS 2027 | 9,720 | $248.0K | <0.1% | +9,720 | New | – |
| BILIBilibili Inc. | SPONS ADS REP Z | 3,745 | $248.0K | <0.1% | −3,598−49.0% | Reduced | History |
| UPSTUpstart Holdings, Inc. | COM | 788 | $249.0K | <0.1% | +788 | New | History |
| Columbia ETF Tr I19761L508 | DIVERSIFID FXD | 11,656 | $249.0K | <0.1% | +824+7.6% | Added | – |
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 |