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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
HIIHuntington Ingalls Industries, Inc.COM1,943$375.0K<0.1%+890+84.5%AddedHistory
Delaware Invts Div & Income245915103COM34,000$375.0K<0.1%−500−1.4%Reduced–
Dimensional U.S. Small Cap ETF25434V500ETF6,541$376.0K<0.1%−264−3.9%Reduced–
First Tr Exchange Traded FD33738R100MULTI ASSET DI22,992$377.0K<0.1%+2,316+11.2%Added–
NCLHNorwegian Cruise Line Holdings Ltd.SHS14,164$378.0K<0.1%+2,832+25.0%AddedHistory
TDOCTeladoc Health, Inc.COM2,978$378.0K<0.1%+436+17.2%AddedHistory
WisdomTree Tr97717X628FLOATNG RAT TREA15,111$379.0K<0.1%−13,029−46.3%Reduced–
State Street SPDR S&P 600 Small Cap Value ETF78464A300ETF4,638$380.0K<0.1%+68+1.5%Added–
VTRSViatris IncStock28,028$380.0K<0.1%+8,808+45.8%AddedHistory
LCIDLucid Group, Inc.COM14,976$380.0K<0.1%+14,976NewHistory
Innovator U.S. Equity Power Buffer ETF - October45782C797ETF12,984$381.0K<0.1%+500+4.0%Added–
Barrick Gold Corp067901108COM21,158$382.0K<0.1%−39,428−65.1%Reduced–
CAKECheesecake Factory IncCOM8,130$382.0K<0.1%+4,000+96.9%AddedHistory
CARAvis Budget Group, Inc.COM3,279$382.0K<0.1%−2,784−45.9%ReducedHistory
WKHSWorkhorse Group Inc.COM NEW50,232$384.0K<0.1%−8,155−14.0%ReducedHistory
iShares Tr464287861EUROPE ETF7,405$386.0K<0.1%−10,519−58.7%Reduced–
BSCLBILI Social International, Inc.BULSHS 2021 CB18,279$386.0K<0.1%+7,629+71.6%AddedHistory
iShares Tr464288604MRGSTR SM CP GR7,859$387.0K<0.1%+1,248+18.9%Added–
SPDR Series Trust78464A771ST STR SP CAPMKT4,065$388.0K<0.1%+1,782+78.1%Added–
iShares Tr464289859CORE 80 20 ETF5,586$390.0K<0.1%+511+10.1%Added–
Dimensional ETF Trust25434V104US CORE EQT MKT12,950$390.0K<0.1%+4,700+57.0%Added–
DBX ETF Tr233051754XTRACK CSI 500 A9,700$390.0K<0.1%+9,700New–
Vanguard Total World Stock ETF922042742ETF3,840$391.0K<0.1%+406+11.8%Added–
Global X FDS37954Y830GLOBAL X COPPER11,428$391.0K<0.1%−1,602−12.3%Reduced–
First Tr Exchange-Traded Alp33734Y109COM SHS4,279$392.0K<0.1%+601+16.3%Added–
Vanguard Materials ETF92204A801ETF2,268$393.0K<0.1%00.0%Unchanged–
PNWPinnacle West Capital CorpCOM5,429$393.0K<0.1%+2,046+60.5%AddedHistory
USACUSA Compression Partners, LPCOMUNIT LTDPAR23,706$393.0K<0.1%+1,134+5.0%AddedHistory
Northern LTS FD Tr III66538R748HCM DEFND 1008,134$395.0K<0.1%+3,809+88.1%Added–
IDAIdacorp IncCOM3,824$395.0K<0.1%+23+0.6%AddedHistory
RITMRithm Capital Corp.REIT35,980$396.0K<0.1%+698+2.0%AddedHistory
SPDR Series Trust78464A672ST INTER ETF12,295$397.0K<0.1%+878+7.7%Added–
iShares Tr464288372GLB INFRASTR ETF8,652$397.0K<0.1%00.0%Unchanged–
CNPCenterpoint Energy IncCOM16,210$399.0K<0.1%+6,866+73.5%AddedHistory
HQHabrdn Healthcare InvestorsSH BEN INT15,752$403.0K<0.1%+782+5.2%AddedHistory
Global X FDS37954Y624AUTONMOUS EV ETF14,737$404.0K<0.1%+1,066+7.8%Added–
Vanguard Scottsdale FDS92206C664VNG RUS2000IDX4,571$404.0K<0.1%+1,812+65.7%Added–
SCHWSchwab Charles CorpStock5,556$405.0K<0.1%+383+7.4%AddedHistory
PRFTPerficient IncCOM3,498$405.0K<0.1%+3,498NewHistory
SPDR Series Trust78468R861STATE STRET SPDR19,341$408.0K<0.1%+596+3.2%Added–
Global X FDS37954Y814FINTECH ETF8,554$411.0K<0.1%+1,214+16.5%Added–
AWKAmerican Water Works Company, Inc.Stock2,434$412.0K<0.1%+785+47.6%AddedHistory
Innovator ETFs Trust45782C284US SML CP PWR B15,771$412.0K<0.1%−2,655−14.4%Reduced–
ProShares Tr74347B375LONG ONLINE SHRT5,990$412.0K<0.1%+848+16.5%Added–
GGGGraco IncCOM5,907$413.0K<0.1%+370+6.7%AddedHistory
TMUST-Mobile US, Inc.Stock3,250$415.0K<0.1%+135+4.3%AddedHistory
Invesco Exchange Traded FD T46137V852DORSEY WRIGHT HE2,575$415.0K<0.1%+1,037+67.4%Added–
iShares Tr464287325GLOB HLTHCRE ETF4,957$415.0K<0.1%+2,229+81.7%Added–
SWNSouthwestern Energy CoCOM74,904$415.0K<0.1%00.0%UnchangedHistory
iShares Tr46434V274INTL EQTY FACTOR14,344$416.0K<0.1%00.0%Unchanged–
iShares Ibonds Dec 2028 Term Corporate ETF46435U515ETF14,547$417.0K<0.1%+358+2.5%Added–
SPDR Index Shs FDS78463X509ST PORT MARK ETF9,856$419.0K<0.1%+2,022+25.8%Added–
iShares Tr46434V282U S EQUITY FACTR9,932$419.0K<0.1%+40.0%Added–
Vanguard Financials ETF92204A405ETF4,539$421.0K<0.1%−332−6.8%Reduced–
BRWSaba Capital Income & Opportunities FundSHARES92,695$422.0K<0.1%−85,268−47.9%ReducedHistory
CCDCalamos Dynamic Convertible & Income FundCOM13,939$424.0K<0.1%+1,781+14.6%AddedHistory
iShares Inc464286285JP MRGN EM HI BD9,563$424.0K<0.1%+2,625+37.8%Added–
HSTHost Hotels & Resorts, Inc.COM25,985$424.0K<0.1%+12,190+88.4%AddedHistory
RIGTransocean Ltd.REGISTERED SHS111,988$424.0K<0.1%+111,988NewHistory
PCARPaccar IncCOM5,386$425.0K<0.1%+122+2.3%AddedHistory
RFRegions Financial CorpCOM19,962$425.0K<0.1%+1,875+10.4%AddedHistory
Innovator ETFs Trust45782C417US EQTY PWR BUF14,950$427.0K<0.1%00.0%Unchanged–
VanEck ETF Trust92189F791JUNIOR GOLD MINE11,191$429.0K<0.1%+3,385+43.4%Added–
First Tr Exchange-Traded Alp33737M102MID CP GR ALPH5,985$430.0K<0.1%+5,985New–
Barclays Bank PLC06742A669IPATH SHILR CAPE20,390$430.0K<0.1%+20,390New–
First Tr Exch TRD Alphdx FD33737J117EUROPE ALPHADEX10,288$431.0K<0.1%+208+2.1%Added–
AGNCAGNC Investment Corp.REIT27,438$433.0K<0.1%+1,646+6.4%AddedHistory
BSTZBlackRock Science & Technology Term TrustSHS BEN INT11,224$433.0K<0.1%+3,273+41.2%AddedHistory
WisdomTree Tr97717Y683ENHNCD CMMDTY ST19,499$435.0K<0.1%+19,499New–
LOBLive Oak Bancshares, Inc.COM6,833$435.0K<0.1%+235+3.6%AddedHistory
VMCVulcan Materials COCOM2,582$437.0K<0.1%+79+3.2%AddedHistory
MTBM&T Bank CorpCOM2,941$439.0K<0.1%+154+5.5%AddedHistory
Pacer Trendpilot European Index ETF69374H808ETF18,132$440.0K<0.1%+6,548+56.5%Added–
WisdomTree Tr97717X214EMERG MKTS ESG12,393$440.0K<0.1%+12,393New–
DRIDarden Restaurants IncCOM2,908$441.0K<0.1%+320+12.4%AddedHistory
WYWeyerhaeuser CoCOM NEW12,419$442.0K<0.1%+2,360+23.5%AddedHistory
SPDR Series Trust78464A821ST STR SP400GRW5,837$442.0K<0.1%−266−4.4%Reduced–
SPDR Series Trust78468R887ST STR R2K LOWV3,956$444.0K<0.1%+1,281+47.9%Added–
NTLAIntellia Therapeutics, Inc.COM3,321$446.0K<0.1%+3,321NewHistory
OVVOvintiv Inc.COM13,578$446.0K<0.1%+36+0.3%AddedHistory
JCENuveen Core Equity Alpha FundCOM26,075$446.0K<0.1%00.0%UnchangedHistory
iShares Tr46435U796SYSTEMATIC BD ET4,457$447.0K<0.1%00.0%Unchanged–
NEANuveen AMT-Free Quality Municipal Income FundCOM29,533$449.0K<0.1%+2,430+9.0%AddedHistory
HRLHormel Foods CorpCOM10,987$450.0K<0.1%+972+9.7%AddedHistory
ATOAtmos Energy CorpCOM5,123$452.0K<0.1%+290+6.0%AddedHistory
Lattice Strategies Tr518416409HARTFORD US EQTY11,367$453.0K<0.1%−135−1.2%Reduced–
First Tr Exchng Traded FD VI33740F789MLT MNGD LRG GRW16,665$454.0K<0.1%−7,423−30.8%Reduced–
KKellanovaStock7,142$457.0K<0.1%+458+6.9%AddedHistory
PGRProgressive CorpStock5,086$460.0K<0.1%+1,072+26.7%AddedHistory
CBSHCommerce Bancshares IncStock6,604$460.0K<0.1%+1,605+32.1%AddedHistory
Credit Suisse AG Nassau BRH22542D423LG CAP GRTH ENH655$460.0K<0.1%00.0%Unchanged–
Kraneshares Tr500767827ELEC VEH FUTUR9,964$463.0K<0.1%+4,871+95.6%Added–
OPRXOptimizeRx CorpCOM NEW5,420$464.0K<0.1%−1,565−22.4%ReducedHistory
YPFYpf Sociedad AnonimaSPON ADR CL D99,678$464.0K<0.1%+8,600+9.4%AddedHistory
Invesco Exchange Traded FD T46137V134WILDERHIL CLAN6,014$465.0K<0.1%+980+19.5%Added–
Invesco Exchange Traded FD T46137V613RAFI US 1000 ETF2,953$468.0K<0.1%−148−4.8%Reduced–
SWKStanley Black & Decker, Inc.COM2,678$469.0K<0.1%−324−10.8%ReducedHistory
HNIHni CorpStock12,838$471.0K<0.1%+6,366+98.4%AddedHistory
MTCHMatch Group, Inc.COM3,013$473.0K<0.1%−200−6.2%ReducedHistory
Vanguard World FD921910733ESG US STK ETF5,935$475.0K<0.1%+581+10.9%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