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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
State Street Financial Select Sector SPDR ETF81369Y605ETF288,800$10.8M0.2%+30,812+11.9%Added–
NLYAnnaly Capital Management IncCOM1,280,558$10.8M0.2%+127,791+11.1%AddedHistory
PFEPfizer IncStock244,993$10.5M0.2%+50,540+26.0%AddedHistory
State Street Consumer Discretionary Select Sector SPDR ETF81369Y407ETF58,000$10.4M0.2%+4,139+7.7%Added–
Schwab U.S. Large-Cap Growth ETF808524300ETF70,186$10.4M0.2%+28,911+70.0%Added–
iShares Tr464287150CORE S&P TTL STK105,420$10.4M0.2%+4,135+4.1%Added–
Amplify ETF Tr032108409CWP ENHANCED DIV296,588$10.4M0.2%−3,399−1.1%Reduced–
State Street Utilities Select Sector SPDR ETF81369Y886ETF160,817$10.3M0.2%+25,369+18.7%Added–
iShares MSCI Eafe Min Vol Factor ETF46429B689ETF132,627$9.99M0.2%−15,158−10.3%Reduced–
WMTWalmart Inc.Stock71,233$9.93M0.2%+4,466+6.7%AddedHistory
OKEONEOK IncCOM168,158$9.75M0.2%+38,109+29.3%AddedHistory
PMPhilip Morris International Inc.Stock101,404$9.61M0.2%+26,619+35.6%AddedHistory
Vanguard Dividend Appreciation ETF921908844ETF60,790$9.34M0.2%+1,022+1.7%Added–
BMYBristol Myers Squibb CoStock156,970$9.29M0.2%+27,360+21.1%AddedHistory
First Tr Exchange-Traded FD336917109SHS279,216$9.15M0.2%+20,739+8.0%Added–
CVSCVS Health CorpStock107,126$9.09M0.2%+15,290+16.6%AddedHistory
IAUiShares Gold TrustETF271,829$9.08M0.2%+106,591+64.5%AddedHistory
INTCIntel CorpStock170,424$9.08M0.2%+28,216+19.8%AddedHistory
Global X FDS37954Y673US INFR DEV ETF354,815$9.02M0.2%+131,723+59.0%Added–
iShares Iboxx $ Investment Grade Corporate Bond ETF464287242ETF67,472$8.98M0.2%+4,777+7.6%Added–
Vanguard Scottsdale FDS92206C102SHORT TERM TREAS144,579$8.88M0.2%−15,799−9.9%Reduced–
IBMInternational Business Machines CorpStock63,788$8.86M0.2%+9,202+16.9%AddedHistory
Vanguard Admiral FDS Inc921932828SMLLCP 600 IDX43,718$8.81M0.2%+1,467+3.5%Added–
iShares MSCI USA Momentum Factor ETF46432F396ETF50,092$8.80M0.2%+7,283+17.0%Added–
iShares Core MSCI Total International Stock ETF46432F834ETF123,464$8.77M0.2%+12,475+11.2%Added–
Invesco Actively Managed Exc46090A804TOTAL RETURN153,686$8.73M0.2%+16,817+12.3%Added–
U.S. Global Jets ETF26922A842ETF366,410$8.66M0.2%+107,768+41.7%Added–
ABBVAbbVie Inc.Stock80,032$8.63M0.2%+6,248+8.5%AddedHistory
MMM3M CoStock48,386$8.49M0.2%+3,461+7.7%AddedHistory
First Tr Exch Traded FD III33739E108PFD SECS INC ETF408,829$8.40M0.2%+107,205+35.5%Added–
PYPLPayPal Holdings, Inc.Stock31,937$8.31M0.2%+5,685+21.7%AddedHistory
iShares Core S&P U.S. Growth ETF464287671ETF81,015$8.30M0.2%+12,432+18.1%Added–
Franklin Templeton ETF Tr35473P801US LRG CP MLTFCT196,166$8.27M0.2%−3,578−1.8%Reduced–
Invesco Exchange Traded FD T46137V233S&P 500 TOP 5025,064$8.27M0.2%+9,311+59.1%Added–
Vanguard Morningstar Mid-Cap ETF922908629ETF34,808$8.24M0.2%+2,602+8.1%Added–
PIMCO ETF Tr72201R30415+ YR US TIPS94,935$8.23M0.2%+94,935New–
NEENextera Energy IncStock104,609$8.21M0.2%+17,509+20.1%AddedHistory
FSKFS KKR Capital CorpCOM367,286$8.10M0.2%+46,670+14.6%AddedHistory
iShares Core MSCI Emerging Markets ETF46434G103ETF130,412$8.05M0.2%+13,156+11.2%Added–
WPCW. P. Carey Inc.COM109,751$8.02M0.2%+28,587+35.2%AddedHistory
First Tr Exchng Traded FD VI33740F805SMITH OPPORT FXD148,896$7.97M0.2%+16,715+12.6%Added–
EPDEnterprise Products Partners L.P.Stock367,394$7.95M0.2%+86,796+30.9%AddedHistory
iShares Tr464287515EXPANDED TECH19,909$7.95M0.2%+9,548+92.2%Added–
Vanguard Scottsdale FDS92206C409SHRT TRM CORP BD94,201$7.76M0.2%+12,948+15.9%Added–
iShares Tr464287549EXPND TEC SC ETF19,214$7.76M0.2%+9,514+98.1%Added–
UNHUnitedHealth Group IncStock19,614$7.66M0.1%+1,527+8.4%AddedHistory
ProShares Tr74348A467S&P 500 DV ARIST85,816$7.60M0.1%+7,506+9.6%Added–
ORealty Income CorpREIT116,650$7.57M0.1%+26,903+30.0%AddedHistory
MRKMerck & Co., Inc.Stock99,894$7.50M0.1%+16,053+19.1%AddedHistory
Invesco Exch Traded FD Tr II46138E354S&P500 LOW VOL122,527$7.46M0.1%+28,116+29.8%Added–
Vanguard World FD921910873MEGA CAP INDEX48,718$7.42M0.1%+22,687+87.2%Added–
SBUXStarbucks CorpStock66,841$7.37M0.1%+4,878+7.9%AddedHistory
ABTAbbott LaboratoriesStock61,864$7.31M0.1%+3,548+6.1%AddedHistory
ETNEaton Corp plcStock47,873$7.15M0.1%+11,715+32.4%AddedHistory
AALAmerican Airlines Group Inc.Stock346,835$7.12M0.1%−69,036−16.6%ReducedHistory
PIMCO Active Bond Exchange-Traded Fund72201R775ETF63,775$7.05M0.1%+7,370+13.1%Added–
First Tr Exchng Traded FD VI33740F771FT VEST US204,505$7.00M0.1%+42,419+26.2%Added–
State Street Consumer Staples Select Sector SPDR ETF81369Y308ETF100,490$6.92M0.1%+4,610+4.8%Added–
First Tr Exchange-Traded FD336920103US EQTY OPPT ETF56,009$6.91M0.1%+13,895+33.0%Added–
First Tr Exchng Traded FD VI33740F854FT VEST U.S.200,797$6.85M0.1%+69,719+53.2%Added–
iShares Tr46434V4070-5YR HI YL CP149,814$6.85M0.1%+5,011+3.5%Added–
iShares Tr464288414NATIONAL MUN ETF58,711$6.82M0.1%+8,692+17.4%Added–
Kraneshares Tr500767736QUADRTC INT RT243,297$6.78M0.1%+126,716+108.7%Added–
CSCOCisco Systems, Inc.Stock124,128$6.76M0.1%+18,901+18.0%AddedHistory
KMIKinder Morgan, Inc.Stock402,998$6.74M0.1%+108,170+36.7%AddedHistory
First Tr Exchange-Traded FD33734X846NASDAQ CYB ETF137,784$6.71M0.1%+17,239+14.3%Added–
Advisorshares Tr00768Y438Q DYNAMIC GROWTH234,876$6.57M0.1%+120,906+106.1%Added–
Vanguard Intermediate-Term Bond ETF921937819ETF73,272$6.55M0.1%+8,645+13.4%Added–
VanEck ETF Trust92189F106GOLD MINERS ETF222,181$6.55M0.1%+41,254+22.8%Added–
TGTTarget CorpStock28,588$6.54M0.1%+3,648+14.6%AddedHistory
CMCSAComcast CorpStock116,685$6.53M0.1%+29,792+34.3%AddedHistory
Tidal ETF Tr886364603RPAR RISK PARI268,491$6.49M0.1%+85,123+46.4%Added–
iShares Tr464288885EAFE GRWTH ETF60,174$6.41M0.1%+12,481+26.2%Added–
Vanguard S&P 500 Growth ETF921932505ETF23,872$6.37M0.1%+20+0.1%Added–
First Tr Exchng Traded FD VI33740F847FT VEST US EQT164,169$6.25M0.1%+32,015+24.2%Added–
First Tr Exchange-Traded FD33734X853INTL EQUITY OPP97,028$6.22M0.1%+43,161+80.1%Added–
SHOPShopify Inc.Stock4,515$6.12M0.1%+1,331+41.8%AddedHistory
UPSUnited Parcel Service IncStock32,705$5.96M0.1%+5,405+19.8%AddedHistory
ADMArcher-Daniels-Midland CoStock99,130$5.95M0.1%+28,187+39.7%AddedHistory
VERVEREIT, Inc.COM131,506$5.95M0.1%+2,787+2.2%AddedHistory
Invesco Exch TRD SLF Idx FD46138J817BULSHS 2025 HY241,709$5.94M0.1%+36,606+17.8%Added–
CATCaterpillar IncStock30,450$5.85M0.1%+3,416+12.6%AddedHistory
iShares Select Dividend ETF464287168ETF50,634$5.81M0.1%+6,586+15.0%Added–
Pacer Trendpilot US Large Cap ETF69374H105ETF152,952$5.77M0.1%+17,578+13.0%Added–
SOSouthern CoStock92,819$5.75M0.1%+13,873+17.6%AddedHistory
iShares Tr46434V613CORE UNIVRSL USD107,937$5.75M0.1%+16,503+18.0%Added–
COINCoinbase Global, Inc.COM CL A25,207$5.73M0.1%+20,076+391.3%AddedHistory
RTXRTX CorpStock66,497$5.72M0.1%+9,234+16.1%AddedHistory
WisdomTree Tr97717X669US QTLY DIV GRT97,014$5.71M0.1%+6,829+7.6%Added–
MRNAModerna, Inc.Stock14,823$5.71M0.1%+867+6.2%AddedHistory
BXBlackstone Inc.COM48,834$5.68M0.1%−5,868−10.7%ReducedHistory
ETF Ser Solutions26922A388APTUS DEFINED195,584$5.60M0.1%+73,016+59.6%Added–
WisdomTree Tr97717X594ITL HDG QTLY DIV129,482$5.59M0.1%+30,057+30.2%Added–
iShares Tr464287721U.S. TECH ETF55,144$5.58M0.1%+3,660+7.1%Added–
WisdomTree Tr97717W562US SMALLCAP FUND114,969$5.56M0.1%+114,969New–
iShares Tr464288760US AER DEF ETF53,143$5.54M0.1%+6,421+13.7%Added–
WisdomTree Tr97717W570US MIDCAP FUND106,240$5.53M0.1%+98,275+1,233.8%Added–
Vanguard Real Estate ETF922908553ETF54,256$5.52M0.1%+854+1.6%Added–
ARK ETF Tr00214Q302GENOMIC REV ETF72,887$5.45M0.1%+15,664+27.4%Added–
Invesco Exch TRD SLF Idx FD46138J858BULSHS 2023 HY213,318$5.40M0.1%+39,773+22.9%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