Skip to main content
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
EOGEOG Resources IncStock5,936$476.0K<0.1%+1,976+49.9%AddedHistory
iShares Tr464287788U.S. FINLS ETF5,832$481.0K<0.1%+1,845+46.3%Added–
IPInternational Paper CoCOM8,644$483.0K<0.1%−2,382−21.6%ReducedHistory
iShares Tr464287754US INDUSTRIALS4,526$485.0K<0.1%+838+22.7%Added–
EIXEdison InternationalStock8,757$486.0K<0.1%+227+2.7%AddedHistory
PWRQuanta Services, Inc.COM4,266$486.0K<0.1%+226+5.6%AddedHistory
PHParker-Hannifin CorpStock1,750$489.0K<0.1%+25+1.4%AddedHistory
UALUnited Airlines Holdings, Inc.COM10,290$489.0K<0.1%−7,193−41.1%ReducedHistory
SYNASYNAPTICS IncStock2,739$492.0K<0.1%+466+20.5%AddedHistory
WECWec Energy Group, Inc.Stock5,583$492.0K<0.1%+893+19.0%AddedHistory
Invesco Exch Traded FD Tr II46138E669GLOBAL EX US HGH22,678$493.0K<0.1%+850+3.9%Added–
MRVLMarvell Technology, Inc.COM8,204$495.0K<0.1%+1,394+20.5%AddedHistory
SPOTSpotify Technology S.A.Stock2,205$497.0K<0.1%+574+35.2%AddedHistory
AMPAmeriprise Financial IncCOM1,891$499.0K<0.1%+165+9.6%AddedHistory
RPMRPM International IncCOM6,467$502.0K<0.1%+373+6.1%AddedHistory
First Tr Exch TRD Alphdx FD33737J109ASIA EX JAPAN15,509$502.0K<0.1%00.0%Unchanged–
OCCIOFS Credit Company, Inc.COM37,043$504.0K<0.1%+12,919+53.6%AddedHistory
PAASPan American Silver CorpStock21,701$505.0K<0.1%−1,100−4.8%ReducedHistory
State Street SPDR Portfolio S&P 500 Value ETF78464A508ETF12,965$506.0K<0.1%+2,239+20.9%Added–
DSLDoubleLine Income Solutions FundCOM28,680$509.0K<0.1%+3,250+12.8%AddedHistory
iShares Tr46434VBA7IBONDS DEC22 ETF20,112$509.0K<0.1%00.0%Unchanged–
ORCOrchid Island Capital, Inc.COM104,114$509.0K<0.1%+7,665+7.9%AddedHistory
HPEHewlett Packard Enterprise CoCOM35,880$511.0K<0.1%+2,253+6.7%AddedHistory
WisdomTree Tr97717W844GLOB EX US QU FD12,638$511.0K<0.1%−1,203−8.7%Reduced–
AFLAflac IncStock9,835$513.0K<0.1%+680+7.4%AddedHistory
BEEMBeam GlobalCOM18,757$513.0K<0.1%+9,753+108.3%AddedHistory
Vanguard Consumer Discretionary ETF92204A108ETF1,662$515.0K<0.1%+88+5.6%Added–
First Tr Exchange Trad FD VI33739H101FST TR GLB FD21,422$516.0K<0.1%+8,229+62.4%Added–
ETF Managers Tr26924G870BLUESTAR ISRAEL7,833$516.0K<0.1%+267+3.5%Added–
First Tr Exchng Traded FD VI33740F615FT VEST US EQT16,670$518.0K<0.1%+1,030+6.6%Added–
SPDR Series Trust78464A714ST STR SP RETAIL5,764$521.0K<0.1%+3,196+124.5%Added–
iShares Inc46434G889EMNG MKTS EQT10,161$524.0K<0.1%+1,055+11.6%Added–
iShares Tr464288794US BR DEL SE ETF5,020$524.0K<0.1%+2,671+113.7%Added–
PHGKoninklijke Philips NVNY REGIS SHS NEW11,824$525.0K<0.1%+1,280+12.1%AddedHistory
AIZAssurant, Inc.Stock3,340$527.0K<0.1%+1,560+87.6%AddedHistory
KLACKLA CorpCOM NEW1,574$527.0K<0.1%+60+4.0%AddedHistory
TWTRTwitter, Inc.COM8,799$531.0K<0.1%+1,082+14.0%AddedHistory
iShares Tr46435U713US INFRASTRUC15,629$533.0K<0.1%+221+1.4%Added–
PIMCO ETF Tr72201R718ENHNCD LW DUR AC5,253$535.0K<0.1%−268−4.9%Reduced–
First Tr Exchange-Traded FD337344105NASDAQ-100 SEL4,811$535.0K<0.1%+1,133+30.8%Added–
Alps ETF Tr00162Q858SECTR DIV DOGS10,503$537.0K<0.1%+2,487+31.0%Added–
Vanguard Whitehall FDS921946810INTL DVD ETF6,171$538.0K<0.1%+1,787+40.8%Added–
PLDPrologis, Inc.REIT4,297$539.0K<0.1%+951+28.4%AddedHistory
Invesco Exchange Traded FD T46137V662PHARMACEUTICALS6,968$539.0K<0.1%+2,647+61.3%Added–
Invesco Exch Traded FD Tr II46138E784EMRNG MKT SVRG20,230$540.0K<0.1%+4,238+26.5%Added–
iShares Russell Top 200 Growth ETF464289438ETF3,557$543.0K<0.1%−102−2.8%Reduced–
PPGPPG Industries IncStock3,806$544.0K<0.1%+37+1.0%AddedHistory
BHPBHP Group LtdADR10,192$545.0K<0.1%+2,357+30.1%AddedHistory
TROWPrice T Rowe Group IncStock2,770$545.0K<0.1%+472+20.5%AddedHistory
John Hancock Exchange Traded47804J206MULTIFACTOR MI10,547$545.0K<0.1%+3,596+51.7%Added–
Innovator ETFs Trust45782C532US EQTY ULTRA B18,430$546.0K<0.1%−2,301−11.1%Reduced–
NUENucor CorpCOM5,544$546.0K<0.1%+264+5.0%AddedHistory
AXONAxon Enterprise, Inc.COM3,124$547.0K<0.1%+199+6.8%AddedHistory
iShares Tr46435G326CORE MSCI INTL8,181$547.0K<0.1%+4,913+150.3%Added–
FYBRFrontier Communications Parent, Inc.COM19,661$548.0K<0.1%+1,459+8.0%AddedHistory
BSTBlackRock Science & Technology TrustSHS10,598$553.0K<0.1%+440+4.3%AddedHistory
Paramount Global92556H206CL B14,000$553.0K<0.1%+5,134+57.9%Added–
FPFFirst Trust Intermediate Duration Preferred & Income FundCOM22,180$555.0K<0.1%00.0%UnchangedHistory
BLWBlackRock Ltd Duration Income TrustCOM SHS32,512$556.0K<0.1%+8,253+34.0%AddedHistory
SPDR Series Trust78464A383ST STR BACKE ETF21,677$558.0K<0.1%+1,884+9.5%Added–
First Tr Exchange Traded FD33738R795NASDAQ TRANSN18,133$559.0K<0.1%00.0%Unchanged–
Invesco Exch TRD SLF Idx FD46138J775BLOO PRI PWR ETF8,480$560.0K<0.1%+2,010+31.1%Added–
LGILazard Global Total Return & Income Fund IncCOM27,951$560.0K<0.1%+14,573+108.9%AddedHistory
SPDR Series Trust78468R200ST STR RATE ETF18,314$562.0K<0.1%−106,155−85.3%Reduced–
VEEVVeeva Systems IncStock1,962$565.0K<0.1%+139+7.6%AddedHistory
NOKNokia CorpSPONSORED ADR103,870$566.0K<0.1%+2,558+2.5%AddedHistory
First Tr Dow Jones Select Mi33718M105COM SHS ANNUAL9,466$567.0K<0.1%+338+3.7%Added–
iShares Tr464287812US CONSM STAPLES3,160$568.0K<0.1%+1,307+70.5%Added–
iShares Ibonds Dec 2027 Term Corporate ETF46435UAA9ETF21,100$569.0K<0.1%+380+1.8%Added–
PINSPinterest, Inc.CL A11,167$569.0K<0.1%+3,863+52.9%AddedHistory
iShares Tr46435U226IBONDS 21 TRM HG23,540$569.0K<0.1%−6,000−20.3%Reduced–
iShares Tr464288570ESG MSCI KLD ETF6,858$571.0K<0.1%−1,300−15.9%Reduced–
EGPEastgroup Properties IncCOM3,436$573.0K<0.1%+291+9.3%AddedHistory
ETF Ser Solutions26922A305ALPCLONE ALTER6,942$576.0K<0.1%+648+10.3%Added–
HCAHCA Healthcare, Inc.COM2,385$579.0K<0.1%+819+52.3%AddedHistory
BDRYAmplify Commodity TrustBREAKWAVE DRY16,110$580.0K<0.1%−1,575−8.9%ReducedHistory
THSTreeHouse Foods, Inc.COM14,554$580.0K<0.1%+6,020+70.5%AddedHistory
DECKDeckers Outdoor CorpCOM1,614$581.0K<0.1%+88+5.8%AddedHistory
BEPCBrookfield Renewable CorpCL A SUB VTG14,968$581.0K<0.1%+9,216+160.2%AddedHistory
PSLVSprott Physical Silver TrustPHYSICAL SILVER75,963$583.0K<0.1%+3,850+5.3%AddedHistory
ESEversource EnergyStock7,140$584.0K<0.1%+18+0.3%AddedHistory
Vanguard Morningstar Large-Cap ETF922908637ETF2,911$585.0K<0.1%+819+39.1%Added–
PSAPublic StorageCOM1,974$586.0K<0.1%+206+11.7%AddedHistory
ALGNAlign Technology IncCOM883$588.0K<0.1%+399+82.4%AddedHistory
Invesco Exchange Traded FD T46137V845DORSEY WRGT INDS5,949$591.0K<0.1%+1,463+32.6%Added–
BKNGBooking Holdings Inc.Stock250$593.0K<0.1%+44+21.4%AddedHistory
TDToronto Dominion BankStock8,981$594.0K<0.1%+4,827+116.2%AddedHistory
iShares Tr464288273EAFE SML CP ETF7,987$594.0K<0.1%+608+8.2%Added–
iShares S&P Mid-Cap 400 Growth ETF464287606ETF7,509$595.0K<0.1%+667+9.7%Added–
SIISprott Inc.COM NEW16,279$598.0K<0.1%+2,180+15.5%AddedHistory
iShares Tr464288307MRGSTR MD CP GRW8,692$599.0K<0.1%−85−1.0%Reduced–
First Tr Exchange-Traded FD33734X127ENERGY ALPHADX52,289$600.0K<0.1%+508+1.0%Added–
BSXBoston Scientific CorpStock13,842$601.0K<0.1%+3,175+29.8%AddedHistory
PMTPennyMac Mortgage Investment TrustCOM30,560$602.0K<0.1%−5,500−15.3%ReducedHistory
KSUKansas City SouthernCOM NEW2,231$604.0K<0.1%+526+30.9%AddedHistory
STXSeagate Technology Holdings plcORD SHS7,331$605.0K<0.1%+1,241+20.4%AddedHistory
Schwab Emerging Markets Equity ETF808524706ETF19,939$608.0K<0.1%+1,930+10.7%Added–
CLVTClarivate PLCORD SHS27,895$611.0K<0.1%+27,895NewHistory
Ssga Active ETF Tr78467V848ST STR TOTAL ETF12,663$612.0K<0.1%+523+4.3%Added–
RGENRepligen CorpCOM2,121$613.0K<0.1%+57+2.8%AddedHistory

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