Cetera Advisors LLC

SEC CIK: 0001534400
Latest filing: May 24, 2024

SEC filings (opens in a new tab)

Holdings in Q4 2021

Holdings as of Dec 31, 2021, filed Feb 14, 2022. Long positions only; changes compare share counts with Q3 2021.

Positions: 1,428; +29 vs. Q3 2021
Portfolio value: $4.94B; −$199.3M (−3.9%) vs. Q3 2021
Filed: Feb 14, 2022; SEC

Holdings of Cetera Advisors LLC in Q4 2021
Security	Class	Shares	Value	% of portfolio	Share change	Action	History
Innovator U.S. Equity Power Buffer ETF - October45782C797	ETF	19,174	$584.0K	<0.1%	+6,190+47.7%	Added	–
WisdomTree Tr97717X214	EMERG MKTS ESG	16,623	$586.0K	<0.1%	+4,230+34.1%	Added	–
CWHCamping World Holdings, Inc.	CL A	14,525	$587.0K	<0.1%	+5,756+65.6%	Added	History
RBLXRoblox Corp	Stock	5,702	$588.0K	<0.1%	−13,880−70.9%	Reduced	History
XELXcel Energy Inc	Stock	8,704	$589.0K	<0.1%	−1,543−15.1%	Reduced	History
VanEck ETF Trust92189F791	JUNIOR GOLD MINE	14,079	$590.0K	<0.1%	+2,888+25.8%	Added	–
SPDR Series Trust78464A805	ST STR PR SP1500	10,099	$590.0K	<0.1%	−4,185−29.3%	Reduced	–
IVZInvesco Ltd.	Stock	25,692	$591.0K	<0.1%	−16,833−39.6%	Reduced	History
Invesco Exch Traded FD Tr II46138E537	NATL AMT MUNI	21,812	$591.0K	<0.1%	−4,553−17.3%	Reduced	–
iShares Tr46435U713	US INFRASTRUC	15,478	$592.0K	<0.1%	−151−1.0%	Reduced	–
Northern LTS FD Tr III66538R730	HCM DEFEN 500	12,821	$592.0K	<0.1%	+5,901+85.3%	Added	–
JBLJabil Inc	Stock	8,442	$594.0K	<0.1%	+3,900+85.9%	Added	History
RIVNRivian Automotive, Inc.	Stock	5,741	$595.0K	<0.1%	+5,741	New	History
Northern LTS FD Tr III66538R748	HCM DEFND 100	10,563	$595.0K	<0.1%	+2,429+29.9%	Added	–
iShares Tr464288513	IBOXX HI YD ETF	6,851	$596.0K	<0.1%	−639−8.5%	Reduced	–
iShares Tr46434V878	ULTRA SHORT DUR	11,888	$599.0K	<0.1%	−2,798−19.1%	Reduced	–
First Tr Exchange-Traded FD33737K205	INDXX NEXTG ETF	7,268	$600.0K	<0.1%	−4,191−36.6%	Reduced	–
NVSNovartis AG	ADR	6,931	$606.0K	<0.1%	−1,378−16.6%	Reduced	History
Global X FDS37954Y624	AUTONMOUS EV ETF	19,850	$606.0K	<0.1%	+5,113+34.7%	Added	–
Invesco Exch TRD SLF Idx FD46138J882	BULSHS 2022 CB	28,370	$607.0K	<0.1%	−14,622−34.0%	Reduced	–
GRPNGroupon, Inc.	COM NEW	26,234	$608.0K	<0.1%	−63,878−70.9%	Reduced	History
TSNTyson Foods, Inc.	Stock	7,014	$611.0K	<0.1%	−1,635−18.9%	Reduced	History
PSLVSprott Physical Silver Trust	PHYSICAL SILVER	76,263	$612.0K	<0.1%	+300+0.4%	Added	History
NEANuveen AMT-Free Quality Municipal Income Fund	COM	39,211	$612.0K	<0.1%	+9,678+32.8%	Added	History
PEGPublic Service Enterprise Group Inc	COM	9,193	$613.0K	<0.1%	−1,714−15.7%	Reduced	History
HALHalliburton Co	Stock	27,009	$618.0K	<0.1%	−12,006−30.8%	Reduced	History
State Street SPDR Portfolio S&P 500 Value ETF78464A508	ETF	14,703	$618.0K	<0.1%	+1,738+13.4%	Added	–
NOKNokia Corp	SPONSORED ADR	99,538	$619.0K	<0.1%	−4,332−4.2%	Reduced	History
Goldman Sachs ETF Tr381430529	ACCES TREASURY	6,197	$620.0K	<0.1%	−51−0.8%	Reduced	–
Schwab U.S. Broad Market ETF808524102	ETF	5,491	$621.0K	<0.1%	−686−11.1%	Reduced	–
Vanguard World FD921910733	ESG US STK ETF	7,072	$622.0K	<0.1%	+1,137+19.2%	Added	–
AUPHAurinia Pharmaceuticals Inc.	COM	27,199	$622.0K	<0.1%	−1,069−3.8%	Reduced	History
Innovator ETFs Trust45782C789	US EQTY BUFR JUL	18,667	$623.0K	<0.1%	−3,190−14.6%	Reduced	–
AEEAmeren Corp	COM	7,004	$623.0K	<0.1%	−3,867−35.6%	Reduced	History
MFCManulife Financial Corp	COM	32,737	$624.0K	<0.1%	−19,986−37.9%	Reduced	History
DECKDeckers Outdoor Corp	COM	1,727	$633.0K	<0.1%	+113+7.0%	Added	History
SPDR Series Trust78468R200	ST STR RATE ETF	20,729	$634.0K	<0.1%	+2,415+13.2%	Added	–
iShares Inc46434G889	EMNG MKTS EQT	12,419	$635.0K	<0.1%	+2,258+22.2%	Added	–
SPDR Series Trust78464A284	ST NUVE HIGH ETF	10,574	$635.0K	<0.1%	−1,077−9.2%	Reduced	–
TYTRI-CONTINENTAL Corp	COM	19,118	$635.0K	<0.1%	−8,673−31.2%	Reduced	History
THSTreeHouse Foods, Inc.	COM	15,688	$636.0K	<0.1%	+1,134+7.8%	Added	History
EXASExact Sciences Corp	COM	8,183	$637.0K	<0.1%	−159−1.9%	Reduced	History
Flexshares Tr33939L605	IBOXX 5YR TRGT	22,850	$641.0K	<0.1%	−1,000−4.2%	Reduced	–
ProShares Tr74347B425	SHORT S&P 500 NE	47,056	$641.0K	<0.1%	+33,765+254.0%	Added	–
ABNBAirbnb, Inc.	Stock	3,871	$644.0K	<0.1%	+20+0.5%	Added	History
iShares Tr464288570	ESG MSCI KLD ETF	6,928	$644.0K	<0.1%	+70+1.0%	Added	–
Alps ETF Tr00162Q858	SECTR DIV DOGS	12,017	$644.0K	<0.1%	+1,514+14.4%	Added	–
HTGCHercules Capital, Inc.	COM	38,973	$647.0K	<0.1%	−1,122−2.8%	Reduced	History
SPDR Ser Tr78468R689	S&P KENSHO SMART	11,725	$647.0K	<0.1%	−238−2.0%	Reduced	–
PMLPIMCO Municipal Income Fund II	COM	44,451	$649.0K	<0.1%	+90+0.2%	Added	History
RPMRPM International Inc	COM	6,453	$652.0K	<0.1%	−14−0.2%	Reduced	History
First Tr Exchange Traded FD33738R845	NASDQ OIL GAS	33,587	$653.0K	<0.1%	+33,587	New	–
ESEversource Energy	Stock	7,185	$654.0K	<0.1%	+45+0.6%	Added	History
First Tr Exchng Traded FD VI33740F557	FT VEST NAS	30,606	$654.0K	<0.1%	−31,701−50.9%	Reduced	–
PLTRPalantir Technologies Inc.	Stock	36,021	$656.0K	<0.1%	−23,121−39.1%	Reduced	History
iShares Tr464288703	MRNING SM CP ETF	11,063	$658.0K	<0.1%	−491−4.2%	Reduced	–
iShares Russell Top 200 Growth ETF464289438	ETF	3,805	$660.0K	<0.1%	+248+7.0%	Added	–
iShares Tr464287341	GLOBAL ENERG ETF	23,993	$660.0K	<0.1%	+234+1.0%	Added	–
iShares Tr46435U176	IBONDS 22 TRM HG	27,420	$661.0K	<0.1%	+72+0.3%	Added	–
ETF Ser Solutions26922B873	DEFIANCE HTL AIR	31,209	$663.0K	<0.1%	+31,209	New	–
Invesco Exchange Traded FD T46137V167	S&P SML600 VAL	6,900	$664.0K	<0.1%	−535−7.2%	Reduced	–
Osi ETF Tr67110P704	OSHS GBL INTER	13,503	$665.0K	<0.1%	−2,781−17.1%	Reduced	–
PPGPPG Industries Inc	Stock	3,873	$668.0K	<0.1%	+67+1.8%	Added	History
iShares Tr464288307	MRGSTR MD CP GRW	9,133	$669.0K	<0.1%	+441+5.1%	Added	–
Vanguard Consumer Discretionary ETF92204A108	ETF	1,969	$671.0K	<0.1%	+307+18.5%	Added	–
First Tr Exch Traded FD III33739N108	MANAGD MUN ETF	11,784	$671.0K	<0.1%	−1,183−9.1%	Reduced	–
Vanguard World FD921910709	EXTENDED DUR	4,800	$672.0K	<0.1%	+169+3.6%	Added	–
PENNPENN Entertainment, Inc.	COM	13,008	$674.0K	<0.1%	−8,122−38.4%	Reduced	History
NGGNational Grid PLC	SPONSORED ADR NE	9,328	$675.0K	<0.1%	−2,896−23.7%	Reduced	History
iShares Tr464287762	US HLTHCARE ETF	2,246	$675.0K	<0.1%	−273−10.8%	Reduced	–
PSAPublic Storage	COM	1,806	$676.0K	<0.1%	−168−8.5%	Reduced	History
SNOWSnowflake Inc.	Stock	1,999	$677.0K	<0.1%	−562−21.9%	Reduced	History
KLACKLA Corp	COM NEW	1,574	$677.0K	<0.1%	00.0%	Unchanged	History
Invesco Exch Traded FD Tr II46138G672	S&P MDCP 400 REV	7,184	$680.0K	<0.1%	−146−2.0%	Reduced	–
ETREntergy Corp	COM	6,055	$682.0K	<0.1%	−380−5.9%	Reduced	History
Barrick Gold Corp067901108	COM	35,942	$683.0K	<0.1%	+14,784+69.9%	Added	–
ARK ETF Tr00214Q500	3D PRINTING ETF	19,911	$683.0K	<0.1%	+673+3.5%	Added	–
First Tr Exchange Trad FD VI33739H101	FST TR GLB FD	29,667	$684.0K	<0.1%	+8,245+38.5%	Added	–
NUENucor Corp	COM	6,007	$686.0K	<0.1%	+463+8.4%	Added	History
Vanguard Communication Services ETF92204A884	ETF	5,068	$687.0K	<0.1%	−7,563−59.9%	Reduced	–
iShares S&P Mid-Cap 400 Growth ETF464287606	ETF	8,063	$687.0K	<0.1%	+554+7.4%	Added	–
PEBOPeoples Bancorp Inc	COM	21,662	$689.0K	<0.1%	−210−1.0%	Reduced	History
SYNASYNAPTICS Inc	Stock	2,385	$690.0K	<0.1%	−354−12.9%	Reduced	History
COFCapital One Financial Corp	Stock	4,758	$690.0K	<0.1%	−1,705−26.4%	Reduced	History
iShares Tr464288521	CRE U S REIT ETF	10,219	$691.0K	<0.1%	+4,333+73.6%	Added	–
Invesco Exch TRD SLF Idx FD46138J585	BULETSHS 2027	27,584	$700.0K	<0.1%	+17,864+183.8%	Added	–
SPDR Series Trust78464A201	ST STR SP600GRWO	7,568	$702.0K	<0.1%	−84−1.1%	Reduced	–
Amplify Blockchain Technology ETF032108607	ETF	17,545	$705.0K	<0.1%	−2,856−14.0%	Reduced	–
SRESempra	Stock	5,327	$705.0K	<0.1%	+167+3.2%	Added	History
HBANHuntington Bancshares Inc	COM	45,766	$706.0K	<0.1%	+1,143+2.6%	Added	History
Innovator U.S. Equity Power Buffer ETF - September45782C656	ETF	23,269	$707.0K	<0.1%	−871−3.6%	Reduced	–
TRGPTarga Resources Corp.	COM	13,556	$708.0K	<0.1%	+469+3.6%	Added	History
Innovator ETFs Trust45782C276	GRWT100 PWR BUF	14,733	$710.0K	<0.1%	−1,977−11.8%	Reduced	–
PWRQuanta Services, Inc.	COM	6,202	$711.0K	<0.1%	+1,936+45.4%	Added	History
First Tr Exchange-Traded Alp33733C108	SHS ISSUED FRST	9,488	$714.0K	<0.1%	−5,335−36.0%	Reduced	–
RTLNecessity Retail REIT, Inc.	COM CLASS A	78,168	$714.0K	<0.1%	−34,780−30.8%	Reduced	History
VanEck ETF Trust92189F437	FALLEN ANGEL HG	21,739	$717.0K	<0.1%	−3,180−12.8%	Reduced	–
ETF Ser Solutions26922B105	LHA MKT ST TACTL	22,260	$718.0K	<0.1%	+754+3.5%	Added	–
iShares Tr46434V647	GLOBAL REIT ETF	23,663	$724.0K	<0.1%	−2,546−9.7%	Reduced	–
ALPPAlpine 4 Holdings, Inc.	COM	377,812	$725.0K	<0.1%	+377,812	New	History

Options (5)

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 Q4 2021
Security	Class	Puts	Calls
NVDANVIDIA Corp	Stock	$40.0K	–
CNCCentene Corp	Stock	$9.00K	–
BLDRBuilders FirstSource, Inc.	Stock	$5.00K	–
DISWalt Disney Co	Stock	$2.00K	–
ISRGIntuitive Surgical Inc	COM NEW	$1.00K	–

Sold out since Q3 2021 (106)

Positions held at the end of Q3 2021 that are gone from this filing.

The largest 100 of 106 by value last quarter.

Positions of Cetera Advisors LLC sold out since Q3 2021
Security	Class	Shares in Q3 2021	Value in Q3 2021	% of portfolio in Q3 2021	History
VERVEREIT, Inc.	COM	131,506	$5.95M	0.1%	History
DIDIYDiDi Global Inc.	SPONSORED ADS	305,637	$2.38M	<0.1%	History
EVAEnviva, LLC	COM UNIT	33,515	$1.81M	<0.1%	History
Invesco BulletShares 2021 HY Corp (BSJL)46138J809	Exchange Traded Fund	70,783	$1.63M	<0.1%	–
XPEVXpeng Inc.	ADS	33,427	$1.19M	<0.1%	History
QSQuantumScape Corp	COM CL A	35,148	$863.0K	<0.1%	History
EQIXEquinix Inc	COM	1,035	$818.0K	<0.1%	History
CRSCarpenter Technology Corp	COM	21,788	$713.0K	<0.1%	History
PCIPIMCO Dynamic Credit & Mortgage Income Fund	COM SHS	31,384	$663.0K	<0.1%	History
BLDPBallard Power Systems Inc.	COM	46,194	$649.0K	<0.1%	History
LILi Auto Inc.	SPONSORED ADS	24,060	$633.0K	<0.1%	History
ERICEricsson LM Telephone Co	ADR B SEK 10	55,241	$619.0K	<0.1%	History
CLVTClarivate PLC	ORD SHS	27,895	$611.0K	<0.1%	History
KSUKansas City Southern	COM NEW	2,231	$604.0K	<0.1%	History
First Tr Exchange-Traded FD33734X127	ENERGY ALPHADX	52,289	$600.0K	<0.1%	–
iShares Tr46435U226	IBONDS 21 TRM HG	23,540	$569.0K	<0.1%	–
First Tr Exchange Traded FD33738R795	NASDAQ TRANSN	18,133	$559.0K	<0.1%	–
AIZAssurant, Inc.	Stock	3,340	$527.0K	<0.1%	History
PHGKoninklijke Philips NV	NY REGIS SHS NEW	11,824	$525.0K	<0.1%	History
BEEMBeam Global	COM	18,757	$513.0K	<0.1%	History
WisdomTree Tr97717W844	GLOB EX US QU FD	12,638	$511.0K	<0.1%	–
First Tr Exch TRD Alphdx FD33737J109	ASIA EX JAPAN	15,509	$502.0K	<0.1%	–
Credit Suisse AG Nassau BRH22542D423	LG CAP GRTH ENH	655	$460.0K	<0.1%	–
First Tr Exchng Traded FD VI33740F789	MLT MNGD LRG GRW	16,665	$454.0K	<0.1%	–
NTLAIntellia Therapeutics, Inc.	COM	3,321	$446.0K	<0.1%	History
Dimensional ETF Trust25434V104	US CORE EQT MKT	12,950	$390.0K	<0.1%	–
BSCLBILI Social International, Inc.	BULSHS 2021 CB	18,279	$386.0K	<0.1%	History
WKHSWorkhorse Group Inc.	COM NEW	50,232	$384.0K	<0.1%	History
CAKECheesecake Factory Inc	COM	8,130	$382.0K	<0.1%	History
CARAvis Budget Group, Inc.	COM	3,279	$382.0K	<0.1%	History
iShares Inc464286319	EM MKTS DIV ETF	9,357	$364.0K	<0.1%	–
PTONPeloton Interactive, Inc.	CL A COM	4,133	$360.0K	<0.1%	History
iShares Tr46434VBK5	IBONDS DEC21 ETF	14,292	$353.0K	<0.1%	–
JYNTJOINT Corp	COM	3,440	$337.0K	<0.1%	History
ANAutonation, Inc.	COM	2,710	$330.0K	<0.1%	History
First Trust Indxx Innovative Transaction & Process ETF33741X201	ETF	7,640	$322.0K	<0.1%	–
First Tr Exchng Traded FD VI33740F730	FT VEST US EQT	9,447	$319.0K	<0.1%	–
Innovator ETFs Trust45782C326	US EQTY BUFR MAY	10,081	$315.0K	<0.1%	–
iShares Tr464288836	U.S. PHARMA ETF	1,702	$312.0K	<0.1%	–
VanEck Vectors ETF Tr92189F585	OIL REFINERS ETF	10,609	$310.0K	<0.1%	–
SPLKSplunk Inc	COM	2,106	$305.0K	<0.1%	History
HSBCHSBC Holdings PLC	SPON ADR NEW	11,621	$304.0K	<0.1%	History
WisdomTree Tr97717W547	US VALUE FD	5,080	$301.0K	<0.1%	–
GBABGuggenheim Taxable Municipal Bond & Investment Grade Debt Trust	COM	12,040	$295.0K	<0.1%	History
LSCCLattice Semiconductor Corp	COM	4,485	$290.0K	<0.1%	History
DBEInvesco DB Energy Fund	ENERGY FD	17,000	$288.0K	<0.1%	History
JKHYJack Henry & Associates Inc	Stock	1,752	$287.0K	<0.1%	History
CASYCaseys General Stores Inc	COM	1,499	$282.0K	<0.1%	History
APPNAppian Corp	CL A	2,997	$277.0K	<0.1%	History
CONECyrusOne Holdco LLC	COM	3,572	$277.0K	<0.1%	History
JWNNordstrom Inc	Stock	10,411	$275.0K	<0.1%	History
BYNDBeyond Meat, Inc.	COM	2,617	$275.0K	<0.1%	History
EXPEExpedia Group, Inc.	Stock	1,671	$274.0K	<0.1%	History
OPIOffice Properties Income Trust	COM SHS BEN INT	10,328	$262.0K	<0.1%	History
BEPBrookfield Renewable Partners L.P.	PARTNERSHIP UNIT	7,063	$261.0K	<0.1%	History
INGING Groep NV	SPONSORED ADR	17,441	$253.0K	<0.1%	History
SPDR Series Trust78464A540	ST STR SP TELCO	2,654	$253.0K	<0.1%	–
CIIBlackRock Enhanced Large Cap Core Fund, Inc.	COM	12,465	$252.0K	<0.1%	History
UPSTUpstart Holdings, Inc.	COM	788	$249.0K	<0.1%	History
BILIBilibili Inc.	SPONS ADS REP Z	3,745	$248.0K	<0.1%	History
iShares Tr46435G342	MORTGE REL ETF	6,837	$247.0K	<0.1%	–
WHFWhiteHorse Finance, Inc.	COM	16,125	$245.0K	<0.1%	History
WisdomTree Tr97717X651	US S CAP QTY DIV	5,484	$243.0K	<0.1%	–
iShares Tr464289420	RUS TP200 VL ETF	3,639	$239.0K	<0.1%	–
ORIOld Republic International Corp	COM	10,252	$237.0K	<0.1%	History
LMNDLemonade, Inc.	Stock	3,524	$236.0K	<0.1%	History
OMCOmnicom Group Inc.	COM	3,192	$231.0K	<0.1%	History
Northern LTS FD Tr IV66538H591	MAIN SECTR ROTN	5,592	$228.0K	<0.1%	–
Flexshares Tr33939L407	MORNSTAR UPSTR	6,189	$227.0K	<0.1%	–
PBCTPeople's United Financial, Inc.	COM	12,878	$225.0K	<0.1%	History
BUDAnheuser-Busch InBev SA/NV	ADR	3,917	$221.0K	<0.1%	History
SARSaratoga Investment Corp.	COM NEW	7,488	$215.0K	<0.1%	History
Nuveen Diversified Divid & I6706EP105	COM	20,542	$213.0K	<0.1%	–
Northern LTS FD Tr IV66538H658	INSPIRE GBL HOPE	5,500	$210.0K	<0.1%	–
WATWaters Corp	COM	588	$210.0K	<0.1%	History
NEONeogenomics Inc	COM NEW	4,316	$208.0K	<0.1%	History
FLOFlowers Foods Inc	COM	8,702	$206.0K	<0.1%	History
Pacer Developed Markets International Cash Cows 100 ETF69374H873	ETF	6,580	$204.0K	<0.1%	–
Global X FDS37954Y434	GENOMIC BIOTECH	9,200	$204.0K	<0.1%	–
DXCMDexcom Inc	COM	371	$203.0K	<0.1%	History
PTYPIMCO Corporate & Income Opportunity Fund	COM	11,030	$202.0K	<0.1%	History
PDCOPatterson Companies, Inc.	COM	6,673	$201.0K	<0.1%	History
APTVAptiv PLC	SHS	1,351	$201.0K	<0.1%	History
OKTAOkta, Inc.	CL A	843	$200.0K	<0.1%	History
BHKBlackRock Core Bond Trust	SHS BEN INT	10,252	$170.0K	<0.1%	History
JBLUJetBlue Airways Corp	COM	10,128	$155.0K	<0.1%	History
HNSTHonest Company, Inc.	COM	13,900	$144.0K	<0.1%	History
EARNEllington Credit Co	COM SHS BEN INT	12,765	$142.0K	<0.1%	History
MTUSMetallus Inc.	COM	10,695	$140.0K	<0.1%	History
FIRYFiry Inc.	COM	11,755	$115.0K	<0.1%	History
POWWOutdoor Holding Co	COM	16,054	$99.0K	<0.1%	History
USALiberty All Star Equity Fund	SH BEN INT	10,029	$86.0K	<0.1%	History
INSGInseego Corp.	COM	12,701	$85.0K	<0.1%	History
IAFAbrdn Australia Equity Fund, Inc.	COM	11,636	$69.0K	<0.1%	History
NCZVirtus Convertible & Income Fund II	COM	11,704	$61.0K	<0.1%	History
SMSISmith Micro Software, Inc.	COM NEW	11,100	$54.0K	<0.1%	History
KOPNKopin Corp	COM	10,254	$53.0K	<0.1%	History
KRMDKORU Medical Systems, Inc.	COM	17,919	$51.0K	<0.1%	History
HIVEHIVE Digital Technologies Ltd.	COM	10,900	$29.0K	<0.1%	History
DFTXDefinium Therapeutics, Inc.	COM	11,300	$26.0K	<0.1%	History