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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
CRLCharles River Laboratories International, Inc.COM1,495$617.0K<0.1%+755+102.0%AddedHistory
First Tr Exchange-Traded Alp33735B108COM SHS6,322$618.0K<0.1%+1,145+22.1%Added–
ERICEricsson LM Telephone CoADR B SEK 1055,241$619.0K<0.1%+32,042+138.1%AddedHistory
iShares U.S. Regional Banks ETF464288778ETF10,298$624.0K<0.1%−2,093−16.9%Reduced–
First Tr Exchange Traded FD33738R811NASDQ SEMCNDTR9,190$624.0K<0.1%+532+6.1%Added–
Invesco Exch Traded FD Tr II46138G102S&P SMLCP LOW13,272$625.0K<0.1%−764−5.4%Reduced–
Goldman Sachs ETF Tr381430529ACCES TREASURY6,248$625.0K<0.1%−395−5.9%Reduced–
AUPHAurinia Pharmaceuticals Inc.COM28,268$626.0K<0.1%+16,163+133.5%AddedHistory
Vanguard World FD921910709EXTENDED DUR4,631$628.0K<0.1%+35+0.8%Added–
Vanguard Mortgage-Backed Securities ETF92206C771ETF11,826$630.0K<0.1%−433−3.5%Reduced–
First Tr Exchange-Traded FD33733E807NAT GAS ETF37,567$633.0K<0.1%−1,275−3.3%Reduced–
LILi Auto Inc.SPONSORED ADS24,060$633.0K<0.1%−4,439−15.6%ReducedHistory
BAXBaxter International IncStock7,882$634.0K<0.1%+1,964+33.2%AddedHistory
LENLennar CorpCL A6,782$635.0K<0.1%+395+6.2%AddedHistory
BIDUBaidu, Inc.ADR4,135$636.0K<0.1%−3,990−49.1%ReducedHistory
APGAPi Group CorpCOM STK31,341$638.0K<0.1%00.0%UnchangedHistory
RSGRepublic Services, Inc.COM5,313$638.0K<0.1%+174+3.4%AddedHistory
iShares Tr464287341GLOBAL ENERG ETF23,759$638.0K<0.1%−27,119−53.3%Reduced–
ETREntergy CorpCOM6,435$639.0K<0.1%+505+8.5%AddedHistory
Invesco Exch Traded FD Tr II46138G672S&P MDCP 400 REV7,330$639.0K<0.1%+12+0.2%Added–
XELXcel Energy IncStock10,247$640.0K<0.1%+2,011+24.4%AddedHistory
Schwab U.S. Broad Market ETF808524102ETF6,177$642.0K<0.1%+521+9.2%Added–
TRGPTarga Resources Corp.COM13,087$644.0K<0.1%+13,087NewHistory
ABNBAirbnb, Inc.Stock3,851$646.0K<0.1%+1,403+57.3%AddedHistory
WRKWestRock CoCOM13,004$648.0K<0.1%+1,987+18.0%AddedHistory
BLDPBallard Power Systems Inc.COM46,194$649.0K<0.1%+11,779+34.2%AddedHistory
ETF Ser Solutions26922B105LHA MKT ST TACTL21,506$651.0K<0.1%+21,506New–
Invesco Exchange Traded FD T46137V720LEISU ENTMT ETF12,947$652.0K<0.1%+4,435+52.1%Added–
SRESempraStock5,160$653.0K<0.1%+325+6.7%AddedHistory
PMLPIMCO Municipal Income Fund IICOM44,361$654.0K<0.1%−196−0.4%ReducedHistory
iShares Tr464288513IBOXX HI YD ETF7,490$655.0K<0.1%−2,793−27.2%Reduced–
SPDR Ser Tr78468R689S&P KENSHO SMART11,963$655.0K<0.1%+238+2.0%Added–
ELEstee Lauder Companies IncCL A2,186$656.0K<0.1%−379−14.8%ReducedHistory
iShares Tr464288703MRNING SM CP ETF11,554$657.0K<0.1%+451+4.1%Added–
Invesco Exchange Traded FD T46137V407INVESCO MSCI10,426$660.0K<0.1%+137+1.3%Added–
iShares Tr46435U176IBONDS 22 TRM HG27,348$662.0K<0.1%−8,550−23.8%Reduced–
CMECME Group Inc.COM3,431$663.0K<0.1%+221+6.9%AddedHistory
PCIPIMCO Dynamic Credit & Mortgage Income FundCOM SHS31,384$663.0K<0.1%−1,714−5.2%ReducedHistory
PEGPublic Service Enterprise Group IncCOM10,907$664.0K<0.1%+1,222+12.6%AddedHistory
Flexshares Tr33939L605IBOXX 5YR TRGT23,850$666.0K<0.1%+23,850New–
HTGCHercules Capital, Inc.COM40,095$666.0K<0.1%+4,807+13.6%AddedHistory
SPDR Series Trust78464A201ST STR SP600GRWO7,652$667.0K<0.1%+679+9.7%Added–
Schwab Strategic Tr8085247221000 INDEX ETF15,675$668.0K<0.1%00.0%Unchanged–
HXLHexcel CorpCOM11,258$669.0K<0.1%+2,777+32.7%AddedHistory
Innovator ETFs Trust45782C318US EQTY PWR BUF22,730$671.0K<0.1%+4,250+23.0%Added–
DOCNDigitalOcean Holdings, Inc.COM8,667$673.0K<0.1%+8,667NewHistory
Invesco Exch Traded FD Tr II46138E511PFD ETF44,968$676.0K<0.1%+9,360+26.3%Added–
Invesco Exchange Traded FD T46137V746LARG CAP GRO ETF9,147$677.0K<0.1%00.0%Unchanged–
INTUIntuit Inc.Stock1,257$678.0K<0.1%+258+25.8%AddedHistory
NVSNovartis AGADR8,309$679.0K<0.1%+327+4.1%AddedHistory
DNPDNP Select Income Fund IncCOM63,811$680.0K<0.1%+10,906+20.6%AddedHistory
TSNTyson Foods, Inc.Stock8,649$683.0K<0.1%+981+12.8%AddedHistory
Invesco Exch Traded FD Tr II46138E842DORSEY WRGT SMLC7,780$683.0K<0.1%+7,780New–
Invesco Exch Traded FD Tr II46138G664S&P SMALLCAP 6005,854$684.0K<0.1%+5,854New–
ARK ETF Tr00214Q5003D PRINTING ETF19,238$687.0K<0.1%−782−3.9%Reduced–
INVHInvitation Homes Inc.COM17,986$689.0K<0.1%−1,065−5.6%ReducedHistory
ZMZoom Communications, Inc.Stock2,640$690.0K<0.1%+192+7.8%AddedHistory
HBANHuntington Bancshares IncCOM44,623$690.0K<0.1%−2,888−6.1%ReducedHistory
Innovator ETFs Trust45782C789US EQTY BUFR JUL21,857$690.0K<0.1%+7,013+47.2%Added–
Invesco Exchange Traded FD T46137V167S&P SML600 VAL7,435$691.0K<0.1%−7,251−49.4%Reduced–
PEBOPeoples Bancorp IncCOM21,872$691.0K<0.1%00.0%UnchangedHistory
iShares Tr464287838U.S. BAS MTL ETF5,570$694.0K<0.1%+85+1.5%Added–
iShares Tr464287762US HLTHCARE ETF2,519$695.0K<0.1%+899+55.5%Added–
JDJD.com, Inc.SPON ADS CL A9,641$696.0K<0.1%−6,865−41.6%ReducedHistory
SPDR Series Trust78464A284ST NUVE HIGH ETF11,651$698.0K<0.1%+1,128+10.7%Added–
Innovator U.S. Equity Power Buffer ETF - September45782C656ETF24,140$701.0K<0.1%+9,529+65.2%Added–
Vanguard BD Index FDS921937793LONG TERM BOND6,894$705.0K<0.1%+839+13.9%Added–
Invesco Exch Traded FD Tr II46138E537NATL AMT MUNI26,365$708.0K<0.1%+5,407+25.8%Added–
BBNBlackRock Taxable Municipal Bond TrustSHS27,503$708.0K<0.1%−532−1.9%ReducedHistory
YUMYum Brands IncStock5,804$710.0K<0.1%+581+11.1%AddedHistory
First Tr Exch Traded FD III33739P855INSTL PFD SECS34,425$711.0K<0.1%+12,250+55.2%Added–
Exchange Traded Concepts Tru301505707ROBO GLB ETF11,071$713.0K<0.1%+905+8.9%Added–
CRSCarpenter Technology CorpCOM21,788$713.0K<0.1%+8,852+68.4%AddedHistory
CBChubb LtdStock4,136$718.0K<0.1%+528+14.6%AddedHistory
iShares Tr46434V647GLOBAL REIT ETF26,209$718.0K<0.1%−3,264−11.1%Reduced–
LKFNLakeland Financial CorpCOM10,091$719.0K<0.1%+51+0.5%AddedHistory
RBB FD Inc74933W601MOTLEY FOL ETF18,028$719.0K<0.1%−30−0.2%Reduced–
TDCTeradata CorpStock12,635$725.0K<0.1%−160−1.3%ReducedHistory
First Tr Exchng Traded FD VI33740F698FT VEST US EQT22,215$725.0K<0.1%+5,136+30.1%Added–
NGGNational Grid PLCSPONSORED ADR NE12,224$729.0K<0.1%+3,935+47.5%AddedHistory
NADNuveen Quality Municipal Income FundCOM46,668$729.0K<0.1%+10,650+29.6%AddedHistory
Dimensional ETF Trust25434V401US EQUI MARK ETF15,486$730.0K<0.1%00.0%Unchanged–
Invesco Exchange Traded FD T46137V688NEXT GEN CON ETF8,000$731.0K<0.1%−100−1.2%Reduced–
VanEck ETF Trust92189F130REAL ASSETS ETF28,768$732.0K<0.1%+28,768New–
UUUUEnergy Fuels IncCOM NEW104,679$732.0K<0.1%+40,203+62.4%AddedHistory
First Tr Exch Traded FD III33739N108MANAGD MUN ETF12,967$736.0K<0.1%+5,154+66.0%Added–
iShares Tr46434V878ULTRA SHORT DUR14,686$742.0K<0.1%−1,103−7.0%Reduced–
GPCGenuine Parts CoStock6,140$744.0K<0.1%+634+11.5%AddedHistory
TSMTaiwan Semiconductor Manufacturing Co LtdADR6,663$744.0K<0.1%+382+6.1%AddedHistory
PAYCPaycom Software, Inc.Stock1,516$752.0K<0.1%+278+22.5%AddedHistory
Indexiq ETF Tr45409B396IQ CHAIKIN US21,396$755.0K<0.1%+860+4.2%Added–
ICEIntercontinental Exchange, Inc.Stock6,593$757.0K<0.1%−248−3.6%ReducedHistory
SPDR Series Trust78464A805ST STR PR SP150014,284$757.0K<0.1%+6,201+76.7%Added–
Invesco Exchange Traded FD T46137V324S&P500 EQL IND4,161$759.0K<0.1%00.0%Unchanged–
CEFSprott Physical Gold & Silver TrustPHYSICAL GOLD AN44,442$761.0K<0.1%−404−0.9%ReducedHistory
Cyberark Software LtdM2682V108SHS4,831$762.0K<0.1%00.0%Unchanged–
WisdomTree Tr97717X511YIELD ENHANCD US14,722$764.0K<0.1%+6,007+68.9%Added–
iShares Tr464288562RESIDENTIAL MULT8,983$769.0K<0.1%+318+3.7%Added–
ASMLASML Holding NVADR1,036$772.0K<0.1%+239+30.0%AddedHistory
SNOWSnowflake Inc.Stock2,561$775.0K<0.1%+530+26.1%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