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
ABBVAbbVie Inc.	Stock	74,312	$10.1M	0.2%	−5,720−7.1%	Reduced	History
BABoeing Co	Stock	49,042	$9.87M	0.2%	−3,017−5.8%	Reduced	History
CVSCVS Health Corp	Stock	95,688	$9.87M	0.2%	−11,438−10.7%	Reduced	History
First Tr Exchng Traded FD VI33740F649	FT VEST NAS	418,439	$9.85M	0.2%	−126,747−23.2%	Reduced	–
Vanguard Dividend Appreciation ETF921908844	ETF	57,170	$9.82M	0.2%	−3,620−6.0%	Reduced	–
Schwab International Equity ETF808524805	ETF	252,520	$9.81M	0.2%	−157,206−38.4%	Reduced	–
iShares Core S&P U.S. Growth ETF464287671	ETF	84,110	$9.73M	0.2%	+3,095+3.8%	Added	–
UNHUnitedHealth Group Inc	Stock	19,086	$9.58M	0.2%	−528−2.7%	Reduced	History
Vanguard Morningstar Mid-Cap ETF922908629	ETF	37,510	$9.56M	0.2%	+2,702+7.8%	Added	–
WPCW. P. Carey Inc.	COM	116,198	$9.53M	0.2%	+6,447+5.9%	Added	History
ARK Innovation ETF00214Q104	ETF	100,422	$9.50M	0.2%	−33,972−25.3%	Reduced	–
PMPhilip Morris International Inc.	Stock	97,860	$9.30M	0.2%	−3,544−3.5%	Reduced	History
Vanguard Malvern FDS922020805	STRM INFPROIDX	180,663	$9.29M	0.2%	+175,490+3,392.4%	Added	–
Franklin Templeton ETF Tr35473P801	US LRG CP MLTFCT	193,003	$9.08M	0.2%	−3,163−1.6%	Reduced	–
EPDEnterprise Products Partners L.P.	Stock	410,735	$9.02M	0.2%	+43,341+11.8%	Added	History
MDYSPDR S&P Midcap 400 ETF Trust	ETF	16,920	$8.76M	0.2%	−5,698−25.2%	Reduced	History
State Street Consumer Staples Select Sector SPDR ETF81369Y308	ETF	113,568	$8.76M	0.2%	+13,078+13.0%	Added	–
First Tr Exchng Traded FD VI33740F805	SMITH OPPORT FXD	164,176	$8.74M	0.2%	+15,280+10.3%	Added	–
iShares U.S. Treasury Bond ETF46429B267	ETF	323,491	$8.63M	0.2%	−142,974−30.7%	Reduced	–
WMTWalmart Inc.	Stock	59,638	$8.63M	0.2%	−11,595−16.3%	Reduced	History
BMYBristol Myers Squibb Co	Stock	135,451	$8.45M	0.2%	−21,519−13.7%	Reduced	History
iShares Iboxx $ Investment Grade Corporate Bond ETF464287242	ETF	63,258	$8.38M	0.2%	−4,214−6.2%	Reduced	–
MMM3M Co	Stock	47,110	$8.37M	0.2%	−1,276−2.6%	Reduced	History
iShares MSCI Eafe Min Vol Factor ETF46429B689	ETF	108,883	$8.36M	0.2%	−23,744−17.9%	Reduced	–
WisdomTree Tr97717W588	US LARGECAP FUND	163,654	$8.24M	0.2%	+46,271+39.4%	Added	–
NEENextera Energy Inc	Stock	88,044	$8.22M	0.2%	−16,565−15.8%	Reduced	History
ETNEaton Corp plc	Stock	47,425	$8.20M	0.2%	−448−0.9%	Reduced	History
INTCIntel Corp	Stock	158,173	$8.15M	0.2%	−12,251−7.2%	Reduced	History
ABTAbbott Laboratories	Stock	57,710	$8.12M	0.2%	−4,154−6.7%	Reduced	History
iShares Tr464288646	ISHS 1-5YR INVS	149,970	$8.08M	0.2%	−472,602−75.9%	Reduced	–
EHEHang Holdings Ltd	ADS	531,815	$7.93M	0.2%	−45,050−7.8%	Reduced	History
iShares Tr464288414	NATIONAL MUN ETF	67,914	$7.90M	0.2%	+9,203+15.7%	Added	–
First Tr Exchange-Traded FD33734X846	NASDAQ CYB ETF	149,090	$7.87M	0.2%	+11,306+8.2%	Added	–
iShares S&P 100 ETF464287101	ETF	35,616	$7.80M	0.2%	−23,290−39.5%	Reduced	–
Advisorshares Tr00768Y438	Q DYNAMIC GROWTH	251,439	$7.69M	0.2%	+16,563+7.1%	Added	–
VanEck ETF Trust92189F106	GOLD MINERS ETF	236,886	$7.59M	0.2%	+14,705+6.6%	Added	–
UPSUnited Parcel Service Inc	Stock	35,056	$7.51M	0.2%	+2,351+7.2%	Added	History
iShares Core MSCI Emerging Markets ETF46434G103	ETF	124,147	$7.43M	0.2%	−6,265−4.8%	Reduced	–
First Tr Exch Traded FD III33739E108	PFD SECS INC ETF	358,391	$7.28M	0.1%	−50,438−12.3%	Reduced	–
Vanguard S&P 500 Growth ETF921932505	ETF	23,990	$7.24M	0.1%	+118+0.5%	Added	–
Schwab U.S. Large-Cap Growth ETF808524300	ETF	43,949	$7.20M	0.1%	−26,237−37.4%	Reduced	–
iShares Tr464288885	EAFE GRWTH ETF	65,237	$7.20M	0.1%	+5,063+8.4%	Added	–
Invesco Actively Managed Exc46090A804	TOTAL RETURN	126,175	$7.11M	0.1%	−27,511−17.9%	Reduced	–
Vanguard Total International Bond ETF92203J407	ETF	127,482	$7.03M	0.1%	−97,731−43.4%	Reduced	–
WisdomTree Tr97717W562	US SMALLCAP FUND	135,886	$6.99M	0.1%	+20,917+18.2%	Added	–
ADMArcher-Daniels-Midland Co	Stock	103,058	$6.97M	0.1%	+3,928+4.0%	Added	History
FSKFS KKR Capital Corp	COM	332,222	$6.96M	0.1%	−35,064−9.5%	Reduced	History
iShares Core MSCI Total International Stock ETF46432F834	ETF	98,007	$6.95M	0.1%	−25,457−20.6%	Reduced	–
Global X Lithium & Battery Tech ETF37954Y855	ETF	81,836	$6.91M	0.1%	+50,503+161.2%	Added	–
Vanguard Intermediate-Term Bond ETF921937819	ETF	78,030	$6.84M	0.1%	+4,758+6.5%	Added	–
WisdomTree Tr97717X669	US QTLY DIV GRT	102,963	$6.78M	0.1%	+5,949+6.1%	Added	–
WisdomTree Tr97717W570	US MIDCAP FUND	120,243	$6.77M	0.1%	+14,003+13.2%	Added	–
Vanguard Admiral FDS Inc921932828	SMLLCP 600 IDX	32,200	$6.77M	0.1%	−11,518−26.3%	Reduced	–
Vanguard Scottsdale FDS92206C714	VNG RUS1000VAL	91,371	$6.74M	0.1%	−83,577−47.8%	Reduced	–
MRKMerck & Co., Inc.	Stock	87,872	$6.74M	0.1%	−12,022−12.0%	Reduced	History
PIMCO Active Bond Exchange-Traded Fund72201R775	ETF	61,445	$6.72M	0.1%	−2,330−3.7%	Reduced	–
FFord Motor Co	Stock	318,606	$6.62M	0.1%	−12,883−3.9%	Reduced	History
CSCOCisco Systems, Inc.	Stock	104,283	$6.61M	0.1%	−19,845−16.0%	Reduced	History
KMIKinder Morgan, Inc.	Stock	414,382	$6.57M	0.1%	+11,384+2.8%	Added	History
State Street Materials Select Sector SPDR ETF81369Y100	ETF	71,183	$6.45M	0.1%	+12,533+21.4%	Added	–
TGTTarget Corp	Stock	27,801	$6.43M	0.1%	−787−2.8%	Reduced	History
Vanguard Real Estate ETF922908553	ETF	55,334	$6.42M	0.1%	+1,078+2.0%	Added	–
SHOPShopify Inc.	Stock	4,654	$6.41M	0.1%	+139+3.1%	Added	History
iShares Tr464287721	U.S. TECH ETF	55,700	$6.40M	0.1%	+556+1.0%	Added	–
Tidal ETF Tr886364603	RPAR RISK PARI	254,497	$6.38M	0.1%	−13,994−5.2%	Reduced	–
SBUXStarbucks Corp	Stock	54,480	$6.37M	0.1%	−12,361−18.5%	Reduced	History
iShares MSCI USA Momentum Factor ETF46432F396	ETF	34,773	$6.32M	0.1%	−15,319−30.6%	Reduced	–
IAUiShares Gold Trust	ETF	181,252	$6.31M	0.1%	−90,577−33.3%	Reduced	History
SOSouthern Co	Stock	91,176	$6.25M	0.1%	−1,643−1.8%	Reduced	History
iShares Tr464287440	7-10 YR TRSY BD	54,113	$6.22M	0.1%	−43,949−44.8%	Reduced	–
AVGOBroadcom Inc.	Stock	9,349	$6.22M	0.1%	−1,742−15.7%	Reduced	History
First Tr Exchange-Traded FD336920103	US EQTY OPPT ETF	50,741	$6.22M	0.1%	−5,268−9.4%	Reduced	–
Schwab Intermediate-Term US Treasury ETF808524854	ETF	110,037	$6.18M	0.1%	−98,715−47.3%	Reduced	–
Vanguard Scottsdale FDS92206C409	SHRT TRM CORP BD	74,216	$6.03M	0.1%	−19,985−21.2%	Reduced	–
BTIBritish American Tobacco p.l.c.	SPONSORED ADR	158,039	$5.91M	0.1%	+16,171+11.4%	Added	History
BXBlackstone Inc.	COM	45,612	$5.90M	0.1%	−3,222−6.6%	Reduced	History
iShares Tr46434V613	CORE UNIVRSL USD	111,212	$5.89M	0.1%	+3,275+3.0%	Added	–
LOWLowes Companies Inc	Stock	22,406	$5.79M	0.1%	−2,209−9.0%	Reduced	History
WisdomTree Tr97717X594	ITL HDG QTLY DIV	126,534	$5.79M	0.1%	−2,948−2.3%	Reduced	–
Pacer Trendpilot US Large Cap ETF69374H105	ETF	138,085	$5.74M	0.1%	−14,867−9.7%	Reduced	–
Invesco Exch Traded FD Tr II46138E354	S&P500 LOW VOL	83,330	$5.72M	0.1%	−39,197−32.0%	Reduced	–
Invesco Exch TRD SLF Idx FD46138J817	BULSHS 2025 HY	232,300	$5.71M	0.1%	−9,409−3.9%	Reduced	–
Invesco Exchange Traded FD T46137V233	S&P 500 TOP 50	15,396	$5.68M	0.1%	−9,668−38.6%	Reduced	–
iShares Select Dividend ETF464287168	ETF	46,273	$5.67M	0.1%	−4,361−8.6%	Reduced	–
Kraneshares Tr500767736	QUADRTC INT RT	210,507	$5.65M	0.1%	−32,790−13.5%	Reduced	–
CATCaterpillar Inc	Stock	26,969	$5.58M	0.1%	−3,481−11.4%	Reduced	History
SONSonoco Products Co	COM	95,570	$5.53M	0.1%	+5,516+6.1%	Added	History
AALAmerican Airlines Group Inc.	Stock	307,117	$5.52M	0.1%	−39,718−11.5%	Reduced	History
CBRLCracker Barrel Old Country Store, Inc	COM	42,348	$5.45M	0.1%	+5,915+16.2%	Added	History
RTXRTX Corp	Stock	63,247	$5.44M	0.1%	−3,250−4.9%	Reduced	History
WisdomTree Tr97717W208	US HIGH DIVIDEND	65,833	$5.43M	0.1%	+14,205+27.5%	Added	–
Principal Exchange Traded FD74255Y201	QUALITY ETF	89,017	$5.39M	0.1%	+579+0.7%	Added	–
QCOMQualcomm Inc	Stock	29,357	$5.37M	0.1%	−3,987−12.0%	Reduced	History
iShares Global Clean Energy ETF464288224	ETF	252,747	$5.35M	0.1%	+11,483+4.8%	Added	–
Cambria ETF Tr132061201	SHSHLD YIELD ETF	82,768	$5.35M	0.1%	+26,297+46.6%	Added	–
LEGLeggett & Platt Inc	Stock	129,257	$5.32M	0.1%	+12,760+11.0%	Added	History
ACNAccenture plc	Stock	12,823	$5.32M	0.1%	−776−5.7%	Reduced	History
First Tr Exchng Traded FD VI33740F755	FT LADD BUFF ETF	221,201	$5.32M	0.1%	+3,102+1.4%	Added	–
Pacer Trendpilot US Bond ETF69374H642	ETF	196,366	$5.29M	0.1%	−642−0.3%	Reduced	–
WisdomTree Tr97717Y790	US EFFIC CORE FD	119,087	$5.28M	0.1%	+46,132+63.2%	Added	–

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