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 |
|---|---|---|---|---|---|---|---|
| Invesco Exchange Traded FD T46137V100 | AEROSPACE DEFN | 4,202 | $302.0K | <0.1% | −389−8.5% | Reduced | – |
| FNBFNB Corp | COM | 26,073 | $303.0K | <0.1% | +467+1.8% | Added | History |
| PFGPrincipal Financial Group Inc | COM | 4,701 | $303.0K | <0.1% | +1,495+46.6% | Added | History |
| LEOBNY Mellon Strategic Municipals, Inc. | COM | 34,870 | $303.0K | <0.1% | +7,713+28.4% | Added | History |
| FNVFranco Nevada Corp | Stock | 2,343 | $304.0K | <0.1% | −159−6.4% | Reduced | History |
| HSBCHSBC Holdings PLC | SPON ADR NEW | 11,621 | $304.0K | <0.1% | +11,621 | New | History |
| PSECProspect Capital Corp | COM | 39,617 | $305.0K | <0.1% | −1,500−3.6% | Reduced | History |
| SPLKSplunk Inc | COM | 2,106 | $305.0K | <0.1% | +2,106 | New | History |
| First Tr Exchange-Traded FD33736G106 | GBL WND ENRG ETF | 14,650 | $306.0K | <0.1% | −2,295−13.5% | Reduced | – |
| ERHAllspring Utilities & High Income Fund | WF UTILITIES INC | 22,700 | $306.0K | <0.1% | +2,000+9.7% | Added | History |
| Invesco Exch TRD SLF Idx FD46138J783 | BULSHS 2027 CB | 14,042 | $307.0K | <0.1% | +14,042 | New | – |
| CORCencora, Inc. | Stock | 2,582 | $308.0K | <0.1% | +136+5.6% | Added | History |
| Dimensional U.S. Core Equity 2 ETF25434V708 | ETF | 11,593 | $308.0K | <0.1% | +1,923+19.9% | Added | – |
| OLNOLIN Corp | Stock | 6,386 | $308.0K | <0.1% | +6,386 | New | History |
| MHDBlackRock Muniholdings Fund, Inc. | COM | 18,816 | $308.0K | <0.1% | −88−0.5% | Reduced | History |
| NUVNuveen Municipal Value Fund Inc | COM | 27,307 | $309.0K | <0.1% | +61+0.2% | Added | History |
| CROXCrocs, Inc. | COM | 2,156 | $309.0K | <0.1% | +2,156 | New | History |
| Invesco Exchange Traded FD T46137V266 | S&P500 PUR GWT | 1,608 | $310.0K | <0.1% | +1,608 | New | – |
| Innovator ETFs Trust45782C508 | US EQTY PWR BUF | 9,480 | $310.0K | <0.1% | −5,774−37.9% | Reduced | – |
| iShares Tr464288174 | GL TIMB FORE ETF | 3,642 | $310.0K | <0.1% | +1,213+49.9% | Added | – |
| VanEck Vectors ETF Tr92189F585 | OIL REFINERS ETF | 10,609 | $310.0K | <0.1% | +3,705+53.7% | Added | – |
| LADRLadder Capital Corp | CL A | 28,171 | $311.0K | <0.1% | +495+1.8% | Added | History |
| WisdomTree Tr97717X701 | EUROPE HEDGED EQ | 4,107 | $312.0K | <0.1% | −444−9.8% | Reduced | – |
| iShares Tr464288836 | U.S. PHARMA ETF | 1,702 | $312.0K | <0.1% | +1,702 | New | – |
| Innovator ETFs Trust45782C326 | US EQTY BUFR MAY | 10,081 | $315.0K | <0.1% | −4,091−28.9% | Reduced | – |
| Alps ETF Tr00162Q205 | EQUAL SEC ETF | 3,188 | $317.0K | <0.1% | −123−3.7% | Reduced | – |
| RIORio Tinto PLC | ADR | 4,756 | $318.0K | <0.1% | +4,756 | New | History |
| First Trust Multi Cap Growth Alphadex Fund33733F101 | ETF | 2,700 | $319.0K | <0.1% | 00.0% | Unchanged | – |
| First Tr Exchng Traded FD VI33740F730 | FT VEST US EQT | 9,447 | $319.0K | <0.1% | +9,447 | New | – |
| OGNOrganon & Co. | Stock | 9,787 | $321.0K | <0.1% | +1,162+13.5% | Added | History |
| CMCanadian Imperial Bank of Commerce | COM | 2,884 | $321.0K | <0.1% | +310+12.0% | Added | History |
| First Trust Indxx Innovative Transaction & Process ETF33741X201 | ETF | 7,640 | $322.0K | <0.1% | +7,640 | New | – |
| ETYEaton Vance Tax-Managed Diversified Equity Income Fund | COM | 23,087 | $322.0K | <0.1% | −3,083−11.8% | Reduced | History |
| SSLSasol Ltd | SPONSORED ADR | 17,127 | $323.0K | <0.1% | +17,127 | New | History |
| APAAPA Corp | Stock | 15,100 | $324.0K | <0.1% | +360+2.4% | Added | History |
| Fidelity Covington Trust316092824 | LOW VOLITY ETF | 6,810 | $324.0K | <0.1% | +257+3.9% | Added | – |
| FUNSix Flags Entertainment Corporation | DEPOSITRY UNIT | 6,977 | $324.0K | <0.1% | −153−2.1% | Reduced | History |
| Vanguard World FD921910840 | MEGA CAP VAL ETF | 3,323 | $325.0K | <0.1% | +3,323 | New | – |
| RYRoyal Bank of Canada | Stock | 3,274 | $326.0K | <0.1% | −604−15.6% | Reduced | History |
| Flagstar Bank, National Association649445103 | COM | 25,335 | $326.0K | <0.1% | +3,676+17.0% | Added | – |
| TECHBIO-TECHNE Corp | COM | 674 | $327.0K | <0.1% | 00.0% | Unchanged | History |
| IIPRInnovative Industrial Properties Inc | COM | 1,417 | $328.0K | <0.1% | +1,417 | New | History |
| Innovator ETFs Trust45782C813 | US EQTY PWR BUF | 11,106 | $330.0K | <0.1% | +11,106 | New | – |
| ANAutonation, Inc. | COM | 2,710 | $330.0K | <0.1% | +2,710 | New | History |
| XLNXXilinx Inc | COM | 2,186 | $330.0K | <0.1% | +137+6.7% | Added | History |
| GDDYGoDaddy Inc. | CL A | 4,743 | $331.0K | <0.1% | +2,341+97.5% | Added | History |
| SEBSeaboard Corp | COM | 81 | $332.0K | <0.1% | 00.0% | Unchanged | History |
| Absolute Shs Tr00400R841 | WBI BULBEAR TR | 16,714 | $332.0K | <0.1% | +1,261+8.2% | Added | – |
| PXDPioneer Natural Resources Co | COM | 1,992 | $332.0K | <0.1% | +363+22.3% | Added | History |
| First Tr Exchange-Traded FD33739Q309 | HIGH INCM STRGC | 6,765 | $333.0K | <0.1% | −600−8.1% | Reduced | – |
| EBAYeBay Inc | COM | 4,804 | $335.0K | <0.1% | −20−0.4% | Reduced | History |
| State Street SPDR S&P Bank ETF78464A797 | ETF | 6,353 | $336.0K | <0.1% | +1,054+19.9% | Added | – |
| JYNTJOINT Corp | COM | 3,440 | $337.0K | <0.1% | +3,440 | New | History |
| Renaissance Cap Greenwich FD759937204 | IPO ETF | 5,235 | $337.0K | <0.1% | +396+8.2% | Added | – |
| Invesco Exchange Traded FD T46137V647 | SEMICONDUCTORS | 2,655 | $339.0K | <0.1% | +2,655 | New | – |
| Direxion Shares ETF Trust25459Y207 | NASDAQ 100 EQ WT | 4,100 | $340.0K | <0.1% | +4,100 | New | – |
| SMLPSummit Midstream Partners, LP | COM UNIT LTD | 9,573 | $340.0K | <0.1% | +9,573 | New | History |
| CWHCamping World Holdings, Inc. | CL A | 8,769 | $341.0K | <0.1% | +8,769 | New | History |
| iShares Tr464289446 | RUS TOP 200 ETF | 3,315 | $342.0K | <0.1% | −82−2.4% | Reduced | – |
| Global X FDS37954Y442 | CLOUD COMPUTNG | 11,717 | $343.0K | <0.1% | +692+6.3% | Added | – |
| AIFApollo Tactical Income Fund Inc. | COM | 21,700 | $343.0K | <0.1% | 00.0% | Unchanged | History |
| iShares Tr464288521 | CRE U S REIT ETF | 5,886 | $345.0K | <0.1% | −115−1.9% | Reduced | – |
| Nuveen PFD & Incm Securties67072C105 | COM | 35,226 | $345.0K | <0.1% | +6,015+20.6% | Added | – |
| Invesco Exch Traded FD Tr II46138G656 | S&P ULTRA DIVIDE | 8,891 | $346.0K | <0.1% | +2,105+31.0% | Added | – |
| SYFSynchrony Financial | COM | 7,093 | $347.0K | <0.1% | +7,093 | New | History |
| DBX ETF Tr233051200 | XTRACK MSCI EAFE | 9,241 | $349.0K | <0.1% | +1,907+26.0% | Added | – |
| Global X FDS37954Y343 | GLBL X MLP ETF | 9,901 | $349.0K | <0.1% | +604+6.5% | Added | – |
| iShares Tr46434V100 | 0-5YR INVT GR CP | 6,782 | $350.0K | <0.1% | +6,782 | New | – |
| BNYBank of New York Mellon Corp | Stock | 6,776 | $351.0K | <0.1% | +716+11.8% | Added | History |
| MSIMotorola Solutions, Inc. | Stock | 1,513 | $352.0K | <0.1% | +188+14.2% | Added | History |
| VanEck ETF Trust92189F411 | BDC INCOME ETF | 20,550 | $352.0K | <0.1% | +281+1.4% | Added | – |
| CPECallon Petroleum Co | COM | 7,172 | $352.0K | <0.1% | +2,022+39.3% | Added | History |
| Vanguard Admiral FDS Inc921932794 | SMLCP 600 GRTH | 1,573 | $353.0K | <0.1% | +650+70.4% | Added | – |
| iShares Tr46434VBK5 | IBONDS DEC21 ETF | 14,292 | $353.0K | <0.1% | +231+1.6% | Added | – |
| EAElectronic Arts Inc. | COM | 2,488 | $354.0K | <0.1% | +703+39.4% | Added | History |
| GRMNGarmin Ltd | SHS | 2,278 | $354.0K | <0.1% | +215+10.4% | Added | History |
| WisdomTree Tr97717W448 | GERMANY HEDEQ FD | 10,118 | $354.0K | <0.1% | 00.0% | Unchanged | – |
| VFCV F Corp | Stock | 5,298 | $355.0K | <0.1% | +933+21.4% | Added | History |
| RMDResmed Inc | COM | 1,351 | $356.0K | <0.1% | 00.0% | Unchanged | History |
| BCEBce Inc | COM NEW | 7,110 | $356.0K | <0.1% | +1,682+31.0% | Added | History |
| ADSKAutodesk, Inc. | COM | 1,253 | $357.0K | <0.1% | +70+5.9% | Added | History |
| TTETotalEnergies SE | SPONSORED ADS | 7,445 | $357.0K | <0.1% | +495+7.1% | Added | History |
| FNGSBank of Montreal | NT LKD 38 | 11,730 | $358.0K | <0.1% | +450+4.0% | Added | History |
| American Centy ETF Tr025072307 | US QUALITY GROW | 5,060 | $359.0K | <0.1% | +148+3.0% | Added | – |
| HAPNHappen, Inc. | COM NEW | 12,700 | $359.0K | <0.1% | +12,700 | New | History |
| Innovator U.S. Equity Buffer ETF - October45782C771 | ETF | 11,005 | $360.0K | <0.1% | +11,005 | New | – |
| PTONPeloton Interactive, Inc. | CL A COM | 4,133 | $360.0K | <0.1% | +597+16.9% | Added | History |
| CGCCanopy Growth Corp | COM | 25,967 | $360.0K | <0.1% | −13,533−34.3% | Reduced | History |
| Vanguard Industrials ETF92204A603 | ETF | 1,922 | $361.0K | <0.1% | −128−6.2% | Reduced | – |
| iShares S&P Mid-Cap 400 Value ETF464287705 | ETF | 3,510 | $362.0K | <0.1% | +886+33.8% | Added | – |
| MRSHMarsh & McLennan Companies, Inc. | Stock | 2,388 | $362.0K | <0.1% | +585+32.4% | Added | History |
| FEFirstenergy Corp | COM | 10,194 | $363.0K | <0.1% | −895−8.1% | Reduced | History |
| TEVATeva Pharmaceutical Industries Ltd | SPONSORED ADS | 37,407 | $364.0K | <0.1% | −13,139−26.0% | Reduced | History |
| iShares Inc464286319 | EM MKTS DIV ETF | 9,357 | $364.0K | <0.1% | +2,347+33.5% | Added | – |
| WSBCWesbanco Inc | COM | 10,759 | $367.0K | <0.1% | +583+5.7% | Added | History |
| iShares Tr464287127 | MORNINGSTR US EQ | 6,048 | $367.0K | <0.1% | −8−0.1% | Reduced | – |
| Vanguard Whitehall FDS921946794 | INTL HIGH ETF | 5,578 | $368.0K | <0.1% | −500−8.2% | Reduced | – |
| Innovator ETFs Trust45782C540 | US EQTY PWR BUF | 12,010 | $369.0K | <0.1% | −450−3.6% | Reduced | – |
| XHRXenia Hotels & Resorts, Inc. | COM | 20,820 | $369.0K | <0.1% | +3,061+17.2% | Added | History |
| VTLEVital Energy, Inc. | COM | 4,603 | $373.0K | <0.1% | +858+22.9% | Added | 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 |