Skip to main content
Livermore
Livermore
ZHEN

Cetera Advisors LLC

SEC CIK
0001534400
Latest filing
May 24, 2024

Holdings in Q1 2022

Holdings as of Mar 31, 2022, filed May 12, 2022. Long positions only; changes compare share counts with Q4 2021.

Institution overview
Positions
1,400
−28 vs. Q4 2021
Portfolio value
$5.01B
+$74.4M (+1.5%) vs. Q4 2021
Filed
May 12, 2022
SEC
Holdings of Cetera Advisors LLC in Q1 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
FRTXFresh Tracks Therapeutics, Inc.COM10,000$3.00K<0.1%00.0%UnchangedHistory
LGL Group Inc50186A132*W EXP 11/16/20210,000$5.00K<0.1%00.0%Unchanged–
CFMSConformis IncCOM10,550$7.00K<0.1%00.0%UnchangedHistory
DRRXDurect CorpCOM15,000$10.0K<0.1%00.0%UnchangedHistory
MUXMcEwen Inc.COM12,403$10.0K<0.1%00.0%UnchangedHistory
Supernus Pharmaceuticals, Inc.868459AD0NOTE 0.625% 4/010,000$10.0K<0.1%00.0%Unchanged–
Hope Bancorp Inc43940TAB5NOTE 2.000% 5/113,000$13.0K<0.1%00.0%Unchanged–
WTERAlkaline Water Co IncCOM NEW15,389$14.0K<0.1%+2,500+19.4%AddedHistory
KAMAN Corp483548AF0NOTE 3.250% 5/016,000$16.0K<0.1%+16,000New–
Pacira BioSciences, Inc.695127AF7NOTE 0.750% 8/013,000$16.0K<0.1%+13,000New–
Stride, Inc.86333MAA6NOTE 1.125% 9/017,000$17.0K<0.1%+17,000New–
VEONVEON Ltd.SPONSORED ADR24,874$17.0K<0.1%−4,542−15.4%ReducedHistory
HCI Group, Inc.40416EAD5NOTE 4.250% 3/016,000$18.0K<0.1%00.0%Unchanged–
SHIPSeanergy Maritime Holdings Corp.SHS NEW16,435$19.0K<0.1%−5,800−26.1%ReducedHistory
Air Transport Services Grp I00922RAB1NOTE 1.125%10/117,000$20.0K<0.1%+17,000New–
Meritor, Inc.59001KAF7NOTE 3.250%10/119,000$21.0K<0.1%+19,000New–
SENSSenseonics Holdings, Inc.COM11,300$22.0K<0.1%00.0%UnchangedHistory
Parsons Corp70202LAB8NOTE 0.250% 8/121,000$22.0K<0.1%+21,000New–
Cheesecake Factory Inc163072AA9NOTE 0.375% 6/127,000$24.0K<0.1%+14,000+107.7%Added–
Insight Enterprises Inc45765UAB9NOTE 0.750% 2/116,000$26.0K<0.1%00.0%Unchanged–
REFRResearch Frontiers IncCOM13,820$27.0K<0.1%00.0%UnchangedHistory
TXMDTherapeuticsMD, Inc.COM70,850$27.0K<0.1%−5,000−6.6%ReducedHistory
Genetic Technologies Ltd37185R307NEW SPONSRD ADR13,961$28.0K<0.1%−6,000−30.1%Reduced–
LFTLument Finance Trust, Inc.COM10,695$29.0K<0.1%00.0%UnchangedHistory
Vishay Intertechnology Inc928298AP3NOTE 2.250% 6/134,000$34.0K<0.1%+16,000+88.9%Added–
Prospect Cap Corp74348TAT9NOTE 6.375% 3/035,000$37.0K<0.1%+35,000New–
KOPNKopin CorpCOM15,027$38.0K<0.1%+15,027NewHistory
DHCDiversified Healthcare TrustCOM SH BEN INT13,131$42.0K<0.1%00.0%UnchangedHistory
OPKOpko Health, Inc.COM15,100$52.0K<0.1%−5,000−24.9%ReducedHistory
ASCArdmore Shipping CorpCOM13,305$60.0K<0.1%00.0%UnchangedHistory
CRONCronos Group Inc.COM15,392$60.0K<0.1%+268+1.8%AddedHistory
SANBanco Santander, S.A.ADR18,639$63.0K<0.1%+6,566+54.4%AddedHistory
DHYUBS Asset Management High Yield Credit FundSH BEN INT32,504$71.0K<0.1%−7,314−18.4%ReducedHistory
OCSLOaktree Specialty Lending CorpCOM10,152$75.0K<0.1%+61+0.6%AddedHistory
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT20,356$82.0K<0.1%+82+0.4%AddedHistory
CXEMFS High Income Municipal TrustSH BEN INT18,600$82.0K<0.1%00.0%UnchangedHistory
APTOAptose Biosciences Inc.COM NEW60,895$83.0K<0.1%+28,444+87.7%AddedHistory
FUBOFuboTV Inc.COM13,367$88.0K<0.1%+13,367NewHistory
CGCCanopy Growth CorpCOM11,885$90.0K<0.1%+291+2.5%AddedHistory
CERSCerus CorpCOM16,489$91.0K<0.1%+16,489NewHistory
EVFEaton Vance Senior Income TrustSH BEN INT14,500$92.0K<0.1%00.0%UnchangedHistory
NKTRNektar TherapeuticsCOM18,255$98.0K<0.1%+3,125+20.7%AddedHistory
SOLEmeren Group LtdSPONSORED ADS16,940$98.0K<0.1%+3,600+27.0%AddedHistory
CLOVClover Health Investments, Corp.COM CL A28,725$102.0K<0.1%+1,500+5.5%AddedHistory
TOPSTop Ships Inc.COM102,557$107.0K<0.1%+7,000+7.3%AddedHistory
UMCUnited Microelectronics CorpSPON ADR NEW11,967$109.0K<0.1%−6,683−35.8%ReducedHistory
PHKPIMCO High Income FundCOM SHS18,898$109.0K<0.1%+80.0%AddedHistory
IVRInvesco Mortgage Capital Inc.COM48,970$112.0K<0.1%+8,232+20.2%AddedHistory
BDJBlackRock Enhanced Equity Dividend TrustCOM11,411$113.0K<0.1%−2,044−15.2%ReducedHistory
ALTAltimmune, Inc.COM NEW18,500$113.0K<0.1%+18,500NewHistory
PRAXPraxis Precision Medicines, Inc.COM11,194$114.0K<0.1%+11,194NewHistory
USALiberty All Star Equity FundSH BEN INT14,240$115.0K<0.1%+14,240NewHistory
DMFBNY Mellon Municipal Income, Inc.COM15,164$115.0K<0.1%00.0%UnchangedHistory
First Tr MLP & Energy Incom33739B104COM13,862$115.0K<0.1%+111+0.8%Added–
Bitfarms Ltd Com09173B107Stock31,098$117.0K<0.1%−166,849−84.3%Reduced–
MTTRMatterport, Inc.COM CL A14,470$117.0K<0.1%+14,470NewHistory
TELLTellurian Inc.COM22,515$119.0K<0.1%−2,875−11.3%ReducedHistory
JPCNuveen Preferred & Income Opportunities FundCOM14,350$123.0K<0.1%00.0%UnchangedHistory
RWTRedwood Trust IncCOM12,020$127.0K<0.1%−200−1.6%ReducedHistory
DSMBNY Mellon Strategic Municipal Bond Fund, Inc.COM17,946$127.0K<0.1%00.0%UnchangedHistory
HIMXHimax Technologies, Inc.SPONSORED ADR11,926$130.0K<0.1%−1,016−7.9%ReducedHistory
SIRISirius XM Holdings Inc.COM19,643$130.0K<0.1%+262+1.4%AddedHistory
EMDWestern Asset Emerging Markets Debt Fund Inc.COM12,151$130.0K<0.1%−2,800−18.7%ReducedHistory
NIMNuveen Select Maturities Municipal FundSH BEN INT14,160$136.0K<0.1%00.0%UnchangedHistory
BGXBlackstone Long-Short Credit Income FundCOM SHS BN INT10,545$142.0K<0.1%+27+0.3%AddedHistory
NRONeuberger Real Estate Securities Income Fund IncCOM28,720$143.0K<0.1%−1,000−3.4%ReducedHistory
OXLCOxford Lane Capital Corp.COM19,775$143.0K<0.1%+19,775NewHistory
XXII22nd Century Group, Inc.COM63,560$147.0K<0.1%−6,250−9.0%ReducedHistory
TLRYTilray Brands, Inc.COM CL 219,113$149.0K<0.1%+5,968+45.4%AddedHistory
CCIFCarlyle Credit Income FundSHS BEN INT14,959$150.0K<0.1%00.0%UnchangedHistory
SWBISmith & Wesson Brands, Inc.COM10,137$153.0K<0.1%+10,137NewHistory
DPGDuff & Phelps Utility & Infrastructure Fund Inc.COM10,105$153.0K<0.1%−1,714−14.5%ReducedHistory
ENLCEnLink Midstream, LLCCOM UNIT REP LTD15,940$154.0K<0.1%00.0%UnchangedHistory
KTFDWS Municipal Income TrustCOM14,965$156.0K<0.1%00.0%UnchangedHistory
MUIBlackRock Municipal Credit Alpha Portfolio, Inc.COM12,037$158.0K<0.1%00.0%UnchangedHistory
DBDeutsche Bank AktiengesellschaftNAMEN AKT12,590$159.0K<0.1%+12,590NewHistory
FSRFisker Inc.CL A COM STK12,581$162.0K<0.1%+12,581NewHistory
STEWSRH Total Return Fund, Inc.COM10,999$163.0K<0.1%+19+0.2%AddedHistory
ETWEaton Vance Tax-Managed Global Buy-Write Opportunities FundCOM15,993$163.0K<0.1%+622+4.0%AddedHistory
FGBFirst Trust Specialty Finance & Financial Opportunities FundCOM BEN INTR40,572$170.0K<0.1%00.0%UnchangedHistory
UAAUnder Armour, Inc.Stock10,138$173.0K<0.1%+10,138NewHistory
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM17,927$174.0K<0.1%+561+3.2%AddedHistory
NVGNuveen AMT-Free Municipal Credit Income FundCEF11,857$175.0K<0.1%+11,857NewHistory
CHICalamos Convertible Opportunities & Income FundSH BEN INT13,340$176.0K<0.1%−684−4.9%ReducedHistory
Amplify ETF Tr032108805AMPLIFY LITHIUM10,885$187.0K<0.1%00.0%Unchanged–
ASXASE Technology Holding Co., Ltd.SPONSORED ADS27,163$193.0K<0.1%+27,163NewHistory
MQYBlackRock Muniyield Quality Fund, Inc.COM14,103$194.0K<0.1%+3,709+35.7%AddedHistory
AHRTAH Realty Trust, Inc.COM13,271$194.0K<0.1%+24+0.2%AddedHistory
HTZWWHertz Global Holdings, IncCommon Stock12,606$194.0K<0.1%+129+1.0%AddedHistory
LEOBNY Mellon Strategic Municipals, Inc.COM27,157$195.0K<0.1%00.0%UnchangedHistory
BAKBraskem SASP ADR PFD A10,437$195.0K<0.1%+10,437NewHistory
DWTXDogwood Therapeutics, Inc.COM43,944$197.0K<0.1%+7,934+22.0%AddedHistory
STTState Street CorpCOM2,292$200.0K<0.1%+16+0.7%AddedHistory
GDDYGoDaddy Inc.CL A2,395$200.0K<0.1%+18+0.8%AddedHistory
iShares Tr46434V381FUTU EXPO TE ETF3,388$200.0K<0.1%+35+1.0%Added–
Invesco Exch Traded FD Tr II46138G698S&P 500 REVENUE2,480$200.0K<0.1%+2,480New–
HDBHDFC Bank LtdSPONSORED ADS3,281$201.0K<0.1%−184−5.3%ReducedHistory
DSKEDaseke, Inc.COM19,912$201.0K<0.1%+19,912NewHistory
UECUranium Energy CorpCOM43,946$202.0K<0.1%00.0%UnchangedHistory
First Tr Exchange-Traded FD33734X200DJ GLBL DIVID8,022$203.0K<0.1%−733−8.4%Reduced–

Options (6)

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 Q1 2022
SecurityClassPutsCalls
MRNAModerna, Inc.Stock$17.0K–
Invesco QQQ Trust Series I46090E103ETF$3.00K–
RIORio Tinto PLCADR$3.00K–
DISWalt Disney CoStock$3.00K–
SLBSLB LimitedStock$2.00K–
AAPLApple Inc.Stock$1.00K–

Sold out since Q4 2021 (153)

Positions held at the end of Q4 2021 that are gone from this filing.

The largest 100 of 153 by value last quarter.

Positions of Cetera Advisors LLC sold out since Q4 2021
SecurityClassShares in Q4 2021Value in Q4 2021% of portfolio in Q4 2021History
PIMCO ETF Tr72201R30415+ YR US TIPS49,114$4.49M0.1%–
Royal Dutch Shell PLC780259107SPON ADR B62,114$2.69M0.1%–
Royal Dutch Shell PLC780259206SPONS ADR A52,507$2.28M<0.1%–
Advisorshares Tr00768Y453PURE US CANN ETF82,149$2.10M<0.1%–
ProShares Bitcoin ETF74347G440ETF72,054$2.08M<0.1%–
PARPar Technology CorpCOM38,306$2.02M<0.1%History
First Tr Exch TRD Alphdx FD33737J307EM SML CP ALPH34,516$1.39M<0.1%–
HPFJohn Hancock Preferred Income Fund IICOM61,350$1.28M<0.1%History
TELTE Connectivity plcREG SHS6,794$1.10M<0.1%History
ARK ETF Tr00214Q203AUTNMUS TECHNLGY13,243$1.02M<0.1%–
Etfis Ser Tr I26923G707VIRTUS NEWFLEET40,395$1.01M<0.1%–
iShares Tr46435G102CONV BD ETF10,842$967.0K<0.1%–
CHWYChewy, Inc.CL A16,098$949.0K<0.1%History
JEFJefferies Financial Group Inc.COM24,431$948.0K<0.1%History
STMSTMicroelectronics N.V.NY REGISTRY18,159$888.0K<0.1%History
EGPEastgroup Properties IncCOM3,626$826.0K<0.1%History
Dimensional ETF Trust25434V401US EQUI MARK ETF15,257$789.0K<0.1%–
CMGChipotle Mexican Grill IncCOM435$760.0K<0.1%History
Exchange Traded Concepts Tru301505889EMQQ EME MAR ETF16,915$726.0K<0.1%–
ETF Ser Solutions26922B105LHA MKT ST TACTL22,260$718.0K<0.1%–
Flexshares Tr33939L605IBOXX 5YR TRGT22,850$641.0K<0.1%–
EXASExact Sciences CorpCOM8,183$637.0K<0.1%History
THSTreeHouse Foods, Inc.COM15,688$636.0K<0.1%History
DECKDeckers Outdoor CorpCOM1,727$633.0K<0.1%History
CWHCamping World Holdings, Inc.CL A14,525$587.0K<0.1%History
ProShares Tr74347X849SHRT 20+YR TRE36,200$579.0K<0.1%–
TDCTeradata CorpStock13,591$577.0K<0.1%History
BHP Group Ltd05545E209SPONSORED ADR8,722$521.0K<0.1%–
BDRYAmplify Commodity TrustBREAKWAVE DRY17,410$513.0K<0.1%History
Metaurus Equity Component Tr59140L100US EQT CUM 202748,700$497.0K<0.1%–
First Tr Exch Traded FD III33739P863CALIF MUN INCM9,000$493.0K<0.1%–
LENLennar CorpCL A4,194$487.0K<0.1%History
Invesco Exch Traded FD Tr II46138E669GLOBAL EX US HGH22,160$474.0K<0.1%–
CNXCConcentrix CorpStock2,641$472.0K<0.1%History
ETF Ser Solutions26922A305ALPCLONE ALTER5,914$461.0K<0.1%–
PRFTPerficient IncCOM3,538$457.0K<0.1%History
CCDCalamos Dynamic Convertible & Income FundCOM14,475$456.0K<0.1%History
XLNXXilinx IncCOM2,135$453.0K<0.1%History
ZIPZiprecruiter, Inc.CL A16,698$416.0K<0.1%History
LEUCentrus Energy CorpStock8,282$413.0K<0.1%History
TDOCTeladoc Health, Inc.COM4,493$413.0K<0.1%History
BCVBancroft Fund LtdCOM15,493$409.0K<0.1%History
SLFSun Life Financial IncCOM7,318$408.0K<0.1%History
CROXCrocs, Inc.COM3,067$393.0K<0.1%History
iShares Tr464287812US CONSM STAPLES1,957$392.0K<0.1%–
Dimensional U.S. Small Cap ETF25434V500ETF6,385$383.0K<0.1%–
Invesco Exch TRD SLF Idx FD46138J783BULSHS 2027 CB17,558$378.0K<0.1%–
FNVFranco Nevada CorpStock2,690$372.0K<0.1%History
Global X FDS37954Y418THMATC GWT ETF8,191$364.0K<0.1%–
LANDGladstone Land CorpCOM10,758$363.0K<0.1%History
PINSPinterest, Inc.CL A9,955$362.0K<0.1%History
WisdomTree Tr97717X628FLOATNG RAT TREA14,300$359.0K<0.1%–
OLNOLIN CorpStock6,031$347.0K<0.1%History
iShares Tr46434V1000-5YR INVT GR CP6,782$346.0K<0.1%–
Fidelity Covington Trust316092824LOW VOLITY ETF6,507$340.0K<0.1%–
Global X FDS37954Y442CLOUD COMPUTNG12,700$337.0K<0.1%–
Invesco Exch TRD SLF Idx FD46138J643INVSCO BLSH 2813,966$317.0K<0.1%–
HAPNHappen, Inc.COM NEW13,090$317.0K<0.1%History
FIVEFive Below, IncCOM1,486$307.0K<0.1%History
DBX ETF Tr233051879XTRACK HRVST CSI7,794$305.0K<0.1%–
REGRegency Centers CorpCOM4,025$303.0K<0.1%History
First Tr Exch Traded FD III33739P301MUNI HI INCM ETF5,345$300.0K<0.1%–
Renaissance Cap Greenwich FD759937204IPO ETF5,192$300.0K<0.1%–
BBWIBath & Body Works, Inc.COM4,285$299.0K<0.1%History
GRMNGarmin LtdSHS2,151$293.0K<0.1%History
iShares Tr46435U366SELF DRIVNG EV5,333$289.0K<0.1%–
OPRXOptimizeRx CorpCOM NEW4,550$283.0K<0.1%History
Innovator ETFs Trust45782C755US EQTY BUFR JUN8,109$280.0K<0.1%–
PIMCO ETF Tr72201R866INTER MUN BD ACT4,957$279.0K<0.1%–
RIGTransocean Ltd.REGISTERED SHS100,923$279.0K<0.1%History
Invesco Exch Traded FD Tr II46138E404CEF INM COMPSI11,487$278.0K<0.1%–
TWTRTwitter, Inc.COM6,387$276.0K<0.1%History
Franklin Templeton ETF Tr35473P108INTL COR DIV TIL9,563$275.0K<0.1%–
Global X FDS37954Y889S&P 500 CATHOLIC4,614$272.0K<0.1%–
BLDQXO Insulation, LLCStock982$271.0K<0.1%History
SMPStandard Motor Products, Inc.Stock5,138$269.0K<0.1%History
iShares Tr464287861EUROPE ETF4,902$267.0K<0.1%–
iShares Tr46435U853BROAD USD HIGH6,455$266.0K<0.1%–
Columbia ETF Tr I19761L508DIVERSIFID FXD12,449$265.0K<0.1%–
EPAMEPAM Systems, Inc.COM397$265.0K<0.1%History
WDCWestern Digital CorpCOM4,007$261.0K<0.1%History
INVHInvitation Homes Inc.COM5,719$259.0K<0.1%History
USCIUnited States Commodity Index Funds TrustCOMM IDX FND5,723$249.0K<0.1%History
FMBIFirst Midwest Bancorp IncCOM12,112$248.0K<0.1%History
Invesco Exchange Traded FD T46137V621FINL PFD ETF13,011$245.0K<0.1%–
TECHBIO-TECHNE CorpCOM469$243.0K<0.1%History
WisdomTree Tr97717Y717GROWTH LEADERS5,505$242.0K<0.1%–
PPLIPeople IncCOM NEW1,839$240.0K<0.1%History
LYVLive Nation Entertainment, Inc.COM2,002$240.0K<0.1%History
Invesco Exchange Traded FD T46137V852DORSEY WRIGHT HE1,538$238.0K<0.1%–
FLNAFilana Therapeutics, Inc.COM5,444$238.0K<0.1%History
KMXCarMax IncCOM1,818$237.0K<0.1%History
ZSZscaler, Inc.Stock728$234.0K<0.1%History
MVTBlackRock Munivest Fund II, Inc.COM14,715$233.0K<0.1%History
First Tr Exchange-Traded FD33736G106GBL WND ENRG ETF11,388$230.0K<0.1%–
Alps Clean Energy ETF00162Q460ETF3,565$229.0K<0.1%–
TMToyota Motor CorpADS1,230$228.0K<0.1%History
WisdomTree Tr97717X172US HGH YLD CORP4,336$228.0K<0.1%–
IRIngersoll Rand Inc.COM3,636$225.0K<0.1%History
NBBNuveen Taxable Municipal Income FundCOM9,879$224.0K<0.1%History