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Livermore
Livermore
ZHEN

Cetera Advisors LLC

SEC CIK
0001534400
Latest filing
May 24, 2024

Holdings in Q2 2022

Holdings as of Jun 30, 2022, filed Aug 11, 2022. Long positions only; changes compare share counts with Q1 2022.

Institution overview
Positions
1,353
−47 vs. Q1 2022
Portfolio value
$4.39B
−$619.6M (−12.4%) vs. Q1 2022
Filed
Aug 11, 2022
SEC
Holdings of Cetera Advisors LLC in Q2 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
LGL Group Inc50186A132*W EXP 11/16/20210,000$5.00K<0.1%00.0%Unchanged–
MUXMcEwen Inc.COM12,403$5.00K<0.1%00.0%UnchangedHistory
WTERAlkaline Water Co IncCOM NEW15,389$6.00K<0.1%00.0%UnchangedHistory
DRRXDurect CorpCOM15,000$7.00K<0.1%00.0%UnchangedHistory
BNKKBonk, Inc.COM NEW10,000$7.00K<0.1%+10,000NewHistory
TRKATroika Media Group, Inc.COM10,000$8.00K<0.1%+10,000NewHistory
Supernus Pharmaceuticals, Inc.868459AD0NOTE 0.625% 4/010,000$10.0K<0.1%00.0%Unchanged–
Cheesecake Factory Inc163072AA9NOTE 0.375% 6/113,000$10.0K<0.1%−14,000−51.9%Reduced–
SENSSenseonics Holdings, Inc.COM11,300$12.0K<0.1%00.0%UnchangedHistory
Hope Bancorp Inc43940TAB5NOTE 2.000% 5/113,000$13.0K<0.1%00.0%Unchanged–
ACBAurora Cannabis IncCOM11,698$15.0K<0.1%+11,698NewHistory
New MTN Fin Corp647551AC4NOTE 5.750% 8/115,000$15.0K<0.1%+15,000New–
KOPNKopin CorpCOM15,027$17.0K<0.1%00.0%UnchangedHistory
Vishay Intertechnology Inc928298AP3NOTE 2.250% 6/118,000$17.0K<0.1%−16,000−47.1%Reduced–
HCI Group, Inc.40416EAD5NOTE 4.250% 3/016,000$18.0K<0.1%00.0%Unchanged–
CLVSClovis Oncology, Inc.COM10,330$19.0K<0.1%+10,330NewHistory
Genetic Technologies Ltd37185R307NEW SPONSRD ADR16,961$20.0K<0.1%+3,000+21.5%Added–
Insight Enterprises Inc45765UAB9NOTE 0.750% 2/116,000$21.0K<0.1%00.0%Unchanged–
DHCDiversified Healthcare TrustCOM SH BEN INT13,131$24.0K<0.1%00.0%UnchangedHistory
CLOVClover Health Investments, Corp.COM CL A11,725$25.0K<0.1%−17,000−59.2%ReducedHistory
LFTLument Finance Trust, Inc.COM10,695$25.0K<0.1%00.0%UnchangedHistory
PRAXPraxis Precision Medicines, Inc.COM11,194$27.0K<0.1%00.0%UnchangedHistory
FUBOFuboTV Inc.COM12,367$31.0K<0.1%−1,000−7.5%ReducedHistory
SHIPSeanergy Maritime Holdings Corp.SHS NEW39,185$32.0K<0.1%+22,750+138.4%AddedHistory
CMUMFS High Yield Municipal TrustSH BEN INT10,000$34.0K<0.1%+10,000NewHistory
RIGTransocean Ltd.REGISTERED SHS10,944$36.0K<0.1%+10,944NewHistory
OPKOpko Health, Inc.COM17,600$45.0K<0.1%+2,500+16.6%AddedHistory
APTOAptose Biosciences Inc.COM NEW61,980$46.0K<0.1%+1,085+1.8%AddedHistory
TOPSTop Ships Inc.COM122,557$46.0K<0.1%+20,000+19.5%AddedHistory
CGCCanopy Growth CorpCOM16,909$48.0K<0.1%+5,024+42.3%AddedHistory
SANBanco Santander, S.A.ADR17,580$49.0K<0.1%−1,059−5.7%ReducedHistory
MNKDMannkind CorpCOM NEW13,400$51.0K<0.1%+13,400NewHistory
IMMRImmersion CorpCOM10,496$56.0K<0.1%+10,496NewHistory
CXEMFS High Income Municipal TrustSH BEN INT16,600$62.0K<0.1%−2,000−10.8%ReducedHistory
BLUEbluebird bio, Inc.COM15,500$64.0K<0.1%+15,500NewHistory
CRONCronos Group Inc.COM23,669$67.0K<0.1%+8,277+53.8%AddedHistory
OCSLOaktree Specialty Lending CorpCOM10,225$67.0K<0.1%+73+0.7%AddedHistory
NKTRNektar TherapeuticsCOM18,255$69.0K<0.1%00.0%UnchangedHistory
FIRYFiry Inc.COM55,250$69.0K<0.1%+55,250NewHistory
Prospect Cap Corp74348TAT9NOTE 6.375% 3/070,000$72.0K<0.1%+35,000+100.0%Added–
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT20,940$75.0K<0.1%+584+2.9%AddedHistory
Nuveen PFD & Incm Securties67072C105COM10,325$75.0K<0.1%−19,482−65.4%Reduced–
EVFEaton Vance Senior Income TrustSH BEN INT14,500$79.0K<0.1%00.0%UnchangedHistory
USALiberty All Star Equity FundSH BEN INT12,684$80.0K<0.1%−1,556−10.9%ReducedHistory
SOLEmeren Group LtdSPONSORED ADS16,940$80.0K<0.1%00.0%UnchangedHistory
DMFBNY Mellon Municipal Income, Inc.COM11,964$81.0K<0.1%−3,200−21.1%ReducedHistory
TELLTellurian Inc.COM27,955$83.0K<0.1%+5,440+24.2%AddedHistory
TLRYTilray Brands, Inc.COM CL 226,845$84.0K<0.1%+7,732+40.5%AddedHistory
HIMXHimax Technologies, Inc.SPONSORED ADR11,701$88.0K<0.1%−225−1.9%ReducedHistory
DSMBNY Mellon Strategic Municipal Bond Fund, Inc.COM14,847$92.0K<0.1%−3,099−17.3%ReducedHistory
BBDCBarings BDC, Inc.COM10,163$95.0K<0.1%−13,751−57.5%ReducedHistory
UAAUnder Armour, Inc.Stock11,734$98.0K<0.1%+1,596+15.7%AddedHistory
SIRISirius XM Holdings Inc.COM16,169$99.0K<0.1%−3,474−17.7%ReducedHistory
BDJBlackRock Enhanced Equity Dividend TrustCOM11,584$102.0K<0.1%+173+1.5%AddedHistory
First Tr MLP & Energy Incom33739B104COM13,973$107.0K<0.1%+111+0.8%Added–
DBDeutsche Bank AktiengesellschaftNAMEN AKT12,590$110.0K<0.1%00.0%UnchangedHistory
JPCNuveen Preferred & Income Opportunities FundCOM14,350$110.0K<0.1%00.0%UnchangedHistory
EMDWestern Asset Emerging Markets Debt Fund Inc.COM12,651$112.0K<0.1%+500+4.1%AddedHistory
DSKEDaseke, Inc.COM18,276$117.0K<0.1%−1,636−8.2%ReducedHistory
Litman Gregory FDS Tr53700T793IMGP RBA RESPONS13,181$117.0K<0.1%+13,181New–
CCIFCarlyle Credit Income FundSHS BEN INT12,877$120.0K<0.1%−2,082−13.9%ReducedHistory
FGBFirst Trust Specialty Finance & Financial Opportunities FundCOM BEN INTR38,287$122.0K<0.1%−2,285−5.6%ReducedHistory
CHICalamos Convertible Opportunities & Income FundSH BEN INT11,482$123.0K<0.1%−1,858−13.9%ReducedHistory
UAUnder Armour, Inc.CL C16,219$123.0K<0.1%+71+0.4%AddedHistory
RWTRedwood Trust IncCOM16,320$126.0K<0.1%+4,300+35.8%AddedHistory
GRPNGroupon, Inc.COM NEW11,251$127.0K<0.1%−4,964−30.6%ReducedHistory
EVVEaton Vance Ltd Duration Income FundCOM12,495$129.0K<0.1%−83,020−86.9%ReducedHistory
NIMNuveen Select Maturities Municipal FundSH BEN INT14,160$130.0K<0.1%00.0%UnchangedHistory
UECUranium Energy CorpCOM42,396$131.0K<0.1%−1,550−3.5%ReducedHistory
STEWSRH Total Return Fund, Inc.COM11,019$132.0K<0.1%+20+0.2%AddedHistory
ETWEaton Vance Tax-Managed Global Buy-Write Opportunities FundCOM15,993$133.0K<0.1%00.0%UnchangedHistory
ENLCEnLink Midstream, LLCCOM UNIT REP LTD15,940$135.0K<0.1%00.0%UnchangedHistory
NRONeuberger Real Estate Securities Income Fund IncCOM34,011$137.0K<0.1%+5,291+18.4%AddedHistory
KTFDWS Municipal Income TrustCOM14,966$141.0K<0.1%+10.0%AddedHistory
PHKPIMCO High Income FundCOM SHS27,240$141.0K<0.1%+8,342+44.1%AddedHistory
NVGNuveen AMT-Free Municipal Credit Income FundCEF10,798$142.0K<0.1%−1,059−8.9%ReducedHistory
DPGDuff & Phelps Utility & Infrastructure Fund Inc.COM10,364$144.0K<0.1%+259+2.6%AddedHistory
RESRPC IncCOM21,180$146.0K<0.1%00.0%UnchangedHistory
VGRVector Group LtdCOM14,037$147.0K<0.1%+14,037NewHistory
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM19,730$152.0K<0.1%+1,803+10.1%AddedHistory
LXULSB Industries, Inc.COM10,954$152.0K<0.1%+10,954NewHistory
EDFVirtus Stone Harbor Emerging Markets Income FundCOM35,000$154.0K<0.1%00.0%UnchangedHistory
Amplify ETF Tr032108847CEF HIGH INCOME12,468$158.0K<0.1%−2,825−18.5%Reduced–
XXII22nd Century Group, Inc.COM74,660$159.0K<0.1%+11,100+17.5%AddedHistory
EFTEaton Vance Floating-Rate Income TrustCOM13,725$162.0K<0.1%+13,725NewHistory
SPCEVirgin Galactic Holdings, IncCOM27,031$163.0K<0.1%−3,550−11.6%ReducedHistory
BMEZBlackRock Health Sciences Term TrustCOM SHS10,031$165.0K<0.1%+10,031NewHistory
PBTPermian Basin Royalty TrustUNIT BEN INT10,000$166.0K<0.1%+10,000NewHistory
SNAPSnap IncStock12,912$170.0K<0.1%+2,208+20.6%AddedHistory
AHRTAH Realty Trust, Inc.COM13,296$171.0K<0.1%+25+0.2%AddedHistory
BXMXNuveen S&P 500 BuyWrite Income FundCOM13,867$172.0K<0.1%−994−6.7%ReducedHistory
LEOBNY Mellon Strategic Municipals, Inc.COM27,157$179.0K<0.1%00.0%UnchangedHistory
MQYBlackRock Muniyield Quality Fund, Inc.COM14,220$180.0K<0.1%+117+0.8%AddedHistory
BCATBlackRock Capital Allocation Term TrustCOM12,560$184.0K<0.1%00.0%UnchangedHistory
POWWOutdoor Holding CoCOM47,702$184.0K<0.1%−525−1.1%ReducedHistory
ETRNMidstream Co LLCCOM28,976$184.0K<0.1%−1,303−4.3%ReducedHistory
PDXPIMCO Dynamic Income Strategy FundCOM SHS BEN INT14,510$186.0K<0.1%+14,510NewHistory
RTLNecessity Retail REIT, Inc.COM CLASS A25,588$186.0K<0.1%−3,374−11.6%ReducedHistory
DWTXDogwood Therapeutics, Inc.COM43,944$186.0K<0.1%00.0%UnchangedHistory
Crescent PT Energy Corp22576C101COM26,472$188.0K<0.1%+26,472New–

Options (10)

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 Q2 2022
SecurityClassPutsCalls
SLBSLB LimitedStock$172.0K–
AMZNAmazon Com IncStock$161.0K–
COPConocoPhillipsStock$116.0K–
TWTRTwitter, Inc.COM$55.0K–
BMYBristol Myers Squibb CoStock$39.0K–
MRNAModerna, Inc.Stock$20.0K–
UNHUnitedHealth Group IncStock$16.0K–
AAPLApple Inc.Stock$6.00K–
DALDelta Air Lines, Inc.COM NEW–$5.00K
ARK Innovation ETF00214Q104ETF$2.00K–

Sold out since Q1 2022 (159)

Positions held at the end of Q1 2022 that are gone from this filing.

The largest 100 of 159 by value last quarter.

Positions of Cetera Advisors LLC sold out since Q1 2022
SecurityClassShares in Q1 2022Value in Q1 2022% of portfolio in Q1 2022History
Invesco Exchange Traded FD T46137V571GLOBAL DRGN CN1,127,220$32.7M0.7%–
EHEHang Holdings LtdADS777,931$9.33M0.2%History
Barclays BK PLC06746P456ETN LKD 4857,205$3.82M0.1%–
Kraneshares Trust500767306CSI CHI INTERNET110,402$3.15M0.1%–
First Tr Exchng Traded FD VI33740F656FT VEST INTE143,489$2.93M0.1%–
CERNCERNER CorpCOM19,775$1.85M<0.1%History
Ssga Active ETF Tr78467V608ST STR BL LN ETF40,170$1.81M<0.1%–
SPDR Ser Tr78468R655S&P KENSHO CLEAN18,115$1.63M<0.1%–
SPDR Index Shs FDS78463X541ST STR NAT ETF21,450$1.35M<0.1%–
Alps ETF Tr00162Q478DISRUPTIVE TECH26,049$1.11M<0.1%–
Signature BK New York N Y82669G104COM3,121$916.0K<0.1%–
SPDR Series Trust78468R408ST TERM HIGH ETF34,218$898.0K<0.1%–
J P Morgan Exchange Traded F46641Q753US VALUE FACTR24,246$896.0K<0.1%–
Invesco Exchange Traded FD T46137V480S&P SMCP VLU MNT16,086$867.0K<0.1%–
RBB FD Inc74933W601MOTLEY FOL ETF17,249$705.0K<0.1%–
Global X FDS37954Y830GLOBAL X COPPER15,166$690.0K<0.1%–
Indexiq ETF Tr45409B396IQ CHAIKIN US19,495$685.0K<0.1%–
BMEBlackRock Health Sciences TrustCOM14,640$666.0K<0.1%History
HSBCHSBC Holdings PLCSPON ADR NEW17,872$612.0K<0.1%History
PENGPenguin Solutions, Inc.SHS20,451$528.0K<0.1%History
CMCanadian Imperial Bank of CommerceCOM4,132$503.0K<0.1%History
TAKTakeda Pharmaceutical Co LtdADR33,714$483.0K<0.1%History
iShares Tr46434VBA7IBONDS DEC22 ETF19,157$480.0K<0.1%–
Barclays Bank PLC06746P548ETN LKD 485,990$469.0K<0.1%–
Barclays BK PLC06746P431ETN LKD 483,575$466.0K<0.1%–
VanEck ETF Trust92189H805RARE EARTH AND S3,916$463.0K<0.1%–
Barclays Bank PLC06746P563ETN LKD 487,445$456.0K<0.1%–
SPDR Series Trust78468R861STATE STRET SPDR22,019$455.0K<0.1%–
VVRInvesco Senior Income TrustCOM106,637$454.0K<0.1%History
CRCrane CoCOM4,000$433.0K<0.1%History
Barclays BK PLC06746P571ETN LKD 485,895$427.0K<0.1%–
MSTRStrategy IncStock823$400.0K<0.1%History
NETCloudflare, Inc.CL A COM3,299$395.0K<0.1%History
Ssga Active ETF Tr78467V848ST STR TOTAL ETF8,529$382.0K<0.1%–
Osi ETF Tr67110P704OSHS GBL INTER10,164$382.0K<0.1%–
iShares Tr464288174GL TIMB FORE ETF4,175$373.0K<0.1%–
Invesco Exchange Traded FD T46137V340S&P500 EQL FIN5,546$353.0K<0.1%–
SPDR Series Trust78468R739ST NUVE TERM ETF7,453$353.0K<0.1%–
iShares Inc464286285JP MRGN EM HI BD8,827$351.0K<0.1%–
VanEck ETF Trust92189F452MORTGAGE REIT20,008$342.0K<0.1%–
DJTTrump Media & Technology Group Corp.Stock5,160$333.0K<0.1%History
PNWPinnacle West Capital CorpCOM4,240$331.0K<0.1%History
EDRYEuroDry Ltd.COM9,755$331.0K<0.1%History
JKHYJack Henry & Associates IncStock1,663$328.0K<0.1%History
VRTVVeritiv CorpCOM2,442$326.0K<0.1%History
Global X FDS37954Y384CYBRSCURTY ETF10,359$325.0K<0.1%–
Vanguard Total World Stock ETF922042742ETF3,136$318.0K<0.1%–
iShares Tr464288604MRGSTR SM CP GR6,917$306.0K<0.1%–
First Tr Exchange-Traded Alp33737M102MID CP GR ALPH4,574$305.0K<0.1%–
WBDWarner Bros. Discovery, Inc.COM SER A12,239$305.0K<0.1%History
Industrias Bachoco SAB456463108SPON ADR B6,505$304.0K<0.1%–
TNDMTandem Diabetes Care IncCOM NEW2,586$301.0K<0.1%History
LACLithium Americas Corp.COM NEW7,738$298.0K<0.1%History
SAMBoston Beer Co IncCL A759$295.0K<0.1%History
BCRXBiocryst Pharmaceuticals IncCOM18,155$295.0K<0.1%History
TRGPTarga Resources Corp.COM3,907$295.0K<0.1%History
AFRMAffirm Holdings, Inc.COM CL A6,290$291.0K<0.1%History
SPDR Series Trust78464A284ST NUVE HIGH ETF5,210$287.0K<0.1%–
iShares Inc464286665MSCI PAC JP ETF5,788$285.0K<0.1%–
VSXYVictoria's Secret & Co.COMMON STOCK5,539$284.0K<0.1%History
Global X FDS37954Y814FINTECH ETF8,766$281.0K<0.1%–
LOBLive Oak Bancshares, Inc.COM5,498$280.0K<0.1%History
ACCAmerican Campus Communities IncCOM4,995$280.0K<0.1%History
EOLSEvolus, Inc.COM24,795$278.0K<0.1%History
EAElectronic Arts Inc.COM2,179$276.0K<0.1%History
First Tr Exchange Traded FD33738R662INTL DEV STRNGTH8,317$275.0K<0.1%–
iShares Tr46434V456MSCI INTL QUALTY7,426$274.0K<0.1%–
iShares Tr46434V4070-5YR HI YL CP6,233$274.0K<0.1%–
COFCapital One Financial CorpStock2,080$273.0K<0.1%History
MKSIMKS IncCOM1,798$270.0K<0.1%History
FNFabrinetSHS2,567$270.0K<0.1%History
SGOLabrdn Gold ETF TrustETF14,407$268.0K<0.1%History
SCCOSouthern Copper CorpStock3,476$264.0K<0.1%History
MROMarathon Oil CorpCOM10,428$262.0K<0.1%History
EXPEExpedia Group, Inc.Stock1,335$261.0K<0.1%History
TDYTeledyne Technologies IncCOM547$259.0K<0.1%History
Asymmetric ETFs Trust04651A101500 ETF9,110$259.0K<0.1%–
First Tr Exch TRD Alphdx FD33737J174DEV MRK EX US4,441$257.0K<0.1%–
ALGNAlign Technology IncCOM584$255.0K<0.1%History
Vanguard Whitehall FDS921946810INTL DVD ETF3,168$250.0K<0.1%–
OGSONE Gas, Inc.COM2,823$249.0K<0.1%History
ILMNIllumina, Inc.COM712$249.0K<0.1%History
Innovator ETFs Trust45782C698US EQUT BUFR AUG7,535$247.0K<0.1%–
FISFidelity National Information Services, Inc.Stock2,447$246.0K<0.1%History
BRGBluerock Residential Growth REIT, Inc.COM CL A9,144$243.0K<0.1%History
BBYBest Buy Co IncStock2,659$242.0K<0.1%History
First Trust Multi Cap Growth Alphadex Fund33733F101ETF2,145$241.0K<0.1%–
IIPRInnovative Industrial Properties IncCOM1,175$241.0K<0.1%History
DBX ETF Tr233051432XTRACK USD HIGH6,307$238.0K<0.1%–
Alps ETF Tr00162Q205EQUAL SEC ETF2,192$238.0K<0.1%–
MMacy's, Inc.COM9,790$238.0K<0.1%History
WABWestinghouse Air Brake Technologies CorpStock2,468$237.0K<0.1%History
BIIBBiogen Inc.COM1,123$237.0K<0.1%History
MTCHMatch Group, Inc.COM2,159$235.0K<0.1%History
First Tr Exchange Traded FD33738R878DORSEY WRIGHT6,421$235.0K<0.1%–
JCIJohnson Controls International plcStock3,571$234.0K<0.1%History
Fidelity Covington Trust316092303CONSMR STAPLES5,104$234.0K<0.1%–
First Tr Exchange-Traded FD33734X150INDLS PROD DUR4,096$232.0K<0.1%–
RNPCohen & Steers REIT & Preferred & Income Fund IncCOM8,619$232.0K<0.1%History
SUISun Communities IncCOM1,318$231.0K<0.1%History