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Livermore
Livermore
ZHEN

Cetera Advisors LLC

SEC CIK
0001534400
Latest filing
May 24, 2024

Holdings in Q3 2022

Holdings as of Sep 30, 2022, filed Nov 14, 2022. Long positions only; changes compare share counts with Q2 2022.

Institution overview
Positions
1,352
−1 vs. Q2 2022
Portfolio value
$3.78B
−$608.6M (−13.9%) vs. Q2 2022
Filed
Nov 14, 2022
SEC
Holdings of Cetera Advisors LLC in Q3 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
NLYAnnaly Capital Management IncREIT984,428$17.0K<0.1%+623,330+172.6%AddedConverted for a 1-for-4 splitHistory
Vishay Intertechnology Inc928298AP3NOTE 2.250% 6/118,000$17.0K<0.1%00.0%Unchanged–
DWTXDogwood Therapeutics, Inc.COM43,944$17.0K<0.1%00.0%UnchangedHistory
CLVSClovis Oncology, Inc.COM16,330$19.0K<0.1%+6,000+58.1%AddedHistory
Insight Enterprises Inc45765UAB9NOTE 0.750% 2/116,000$20.0K<0.1%00.0%Unchanged–
CLOVClover Health Investments, Corp.COM CL A12,475$21.0K<0.1%+750+6.4%AddedHistory
SHIPSeanergy Maritime Holdings Corp.SHS NEW46,185$22.0K<0.1%+7,000+17.9%AddedHistory
LFTLument Finance Trust, Inc.COM10,695$23.0K<0.1%00.0%UnchangedHistory
PRAXPraxis Precision Medicines, Inc.COM11,194$25.0K<0.1%00.0%UnchangedHistory
ARECAmerican Resources CorpCL A10,500$28.0K<0.1%+10,500NewHistory
OPKOpko Health, Inc.COM14,600$28.0K<0.1%−3,000−17.0%ReducedHistory
MNKDMannkind CorpCOM NEW10,400$32.0K<0.1%−3,000−22.4%ReducedHistory
Prospect Cap Corp74348TAT9NOTE 6.375% 3/035,000$36.0K<0.1%−35,000−50.0%Reduced–
APTOAptose Biosciences Inc.COM NEW61,980$37.0K<0.1%00.0%UnchangedHistory
SANBanco Santander, S.A.ADR16,771$39.0K<0.1%−809−4.6%ReducedHistory
CGCCanopy Growth CorpCOM17,077$47.0K<0.1%+168+1.0%AddedHistory
FPAYFlexShopper, Inc.COM NEW27,400$51.0K<0.1%+27,400NewHistory
CXEMFS High Income Municipal TrustSH BEN INT16,600$56.0K<0.1%00.0%UnchangedHistory
NKTRNektar TherapeuticsCOM18,255$58.0K<0.1%00.0%UnchangedHistory
CIMChimera Investment CorpCOM NEW11,473$60.0K<0.1%+11,473NewHistory
OCSLOaktree Specialty Lending CorpCOM10,309$62.0K<0.1%+84+0.8%AddedHistory
FIRYFiry Inc.COM64,167$65.0K<0.1%+8,917+16.1%AddedHistory
TEITempleton Emerging Markets Income FundCOM15,000$66.0K<0.1%+15,000NewHistory
CRONCronos Group Inc.COM23,726$67.0K<0.1%+57+0.2%AddedHistory
BRK.BBerkshire Hathaway IncStock253,118$68.0K<0.1%+136,769+117.6%AddedHistory
Invesco QQQ Trust Series I46090E103ETF259,182$69.0K<0.1%+126,788+95.8%Added–
NPKINPK International Inc.COM SHS27,580$70.0K<0.1%+27,580NewHistory
First Tr Exchange-Traded FD33733E104CAP STRENGTH ETF1,064,194$71.0K<0.1%+546,501+105.6%Added–
DMFBNY Mellon Municipal Income, Inc.COM11,964$72.0K<0.1%00.0%UnchangedHistory
FUBOFuboTV Inc.COM20,887$74.0K<0.1%+8,520+68.9%AddedHistory
Silvercrest Metals Inc828363101COM13,250$74.0K<0.1%+13,250New–
EDFVirtus Stone Harbor Emerging Markets Income FundCOM20,000$74.0K<0.1%−15,000−42.9%ReducedHistory
USALiberty All Star Equity FundSH BEN INT13,633$75.0K<0.1%+949+7.5%AddedHistory
EVFEaton Vance Senior Income TrustSH BEN INT14,500$76.0K<0.1%00.0%UnchangedHistory
XXII22nd Century Group, Inc.COM83,660$78.0K<0.1%+9,000+12.1%AddedHistory
TLRYTilray Brands, Inc.COM CL 228,885$79.0K<0.1%+2,040+7.6%AddedHistory
UAUnder Armour, Inc.CL C13,949$83.0K<0.1%−2,270−14.0%ReducedHistory
DBDeutsche Bank AktiengesellschaftNAMEN AKT11,615$86.0K<0.1%−975−7.7%ReducedHistory
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT26,282$86.0K<0.1%+5,342+25.5%AddedHistory
BDJBlackRock Enhanced Equity Dividend TrustCOM11,041$90.0K<0.1%−543−4.7%ReducedHistory
DSMBNY Mellon Strategic Municipal Bond Fund, Inc.COM16,120$91.0K<0.1%+1,273+8.6%AddedHistory
SIRISirius XM Holdings Inc.COM16,672$95.0K<0.1%+503+3.1%AddedHistory
TELLTellurian Inc.COM39,755$95.0K<0.1%+11,800+42.2%AddedHistory
EMDWestern Asset Emerging Markets Debt Fund Inc.COM12,151$97.0K<0.1%−500−4.0%ReducedHistory
ILPTIndustrial Logistics Properties TrustCOM SHS BEN INT18,005$99.0K<0.1%−11,337−38.6%ReducedHistory
First Tr MLP & Energy Incom33739B104COM14,088$101.0K<0.1%+115+0.8%Added–
CLNEClean Energy Fuels Corp.COM19,100$102.0K<0.1%+19,100NewHistory
AMZNAmazon Com IncStock912,290$103.0K<0.1%+450,769+97.7%AddedHistory
RWTRedwood Trust IncCOM18,320$105.0K<0.1%+2,000+12.3%AddedHistory
EGYVaalco Energy IncCOM NEW24,421$106.0K<0.1%−3,241−11.7%ReducedHistory
CHYCalamos Convertible & High Income FundCOM SHS10,674$108.0K<0.1%−6,582−38.1%ReducedHistory
FGBFirst Trust Specialty Finance & Financial Opportunities FundCOM BEN INTR38,287$110.0K<0.1%00.0%UnchangedHistory
CHICalamos Convertible Opportunities & Income FundSH BEN INT11,629$112.0K<0.1%+147+1.3%AddedHistory
CCIFCarlyle Credit Income FundSHS BEN INT12,877$115.0K<0.1%00.0%UnchangedHistory
NRONeuberger Real Estate Securities Income Fund IncCOM34,705$117.0K<0.1%+694+2.0%AddedHistory
ETWEaton Vance Tax-Managed Global Buy-Write Opportunities FundCOM15,453$117.0K<0.1%−540−3.4%ReducedHistory
RIGTransocean Ltd.REGISTERED SHS48,369$119.0K<0.1%+37,425+342.0%AddedHistory
VXRTVaxart, Inc.COM NEW56,050$122.0K<0.1%−41,675−42.6%ReducedHistory
SOLEmeren Group LtdSPONSORED ADS24,490$123.0K<0.1%+7,550+44.6%AddedHistory
KTFDWS Municipal Income TrustCOM14,966$125.0K<0.1%00.0%UnchangedHistory
NIMNuveen Select Maturities Municipal FundSH BEN INT14,160$125.0K<0.1%00.0%UnchangedHistory
NVGNuveen AMT-Free Municipal Credit Income FundCEF10,884$127.0K<0.1%+86+0.8%AddedHistory
PHKPIMCO High Income FundCOM SHS27,240$127.0K<0.1%00.0%UnchangedHistory
RTLNecessity Retail REIT, Inc.COM CLASS A22,588$133.0K<0.1%−3,000−11.7%ReducedHistory
AHRTAH Realty Trust, Inc.COM13,326$138.0K<0.1%+30+0.2%AddedHistory
SNAPSnap IncStock14,382$141.0K<0.1%+1,470+11.4%AddedHistory
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM19,396$141.0K<0.1%−334−1.7%ReducedHistory
Listed FD Tr53656F789ROUNDHILL SPORTS10,829$141.0K<0.1%−3,092−22.2%Reduced–
ENLCEnLink Midstream, LLCCOM UNIT REP LTD15,940$142.0K<0.1%00.0%UnchangedHistory
POWWOutdoor Holding CoCOM49,102$144.0K<0.1%+1,400+2.9%AddedHistory
RESRPC IncCOM21,180$147.0K<0.1%00.0%UnchangedHistory
Crescent PT Energy Corp22576C101COM24,531$152.0K<0.1%−1,941−7.3%Reduced–
ORGNOrigin Materials, Inc.COM29,381$152.0K<0.1%+29,381NewHistory
UECUranium Energy CorpCOM43,711$153.0K<0.1%+1,315+3.1%AddedHistory
BMAMacro Bank Inc.SPON ADR B10,745$153.0K<0.1%+10,745NewHistory
MEGINYLI CBRE Global Infrastructure Megatrends Term FundCOM12,466$154.0K<0.1%−15,830−55.9%ReducedHistory
HBIHanesbrands Inc.COM22,341$155.0K<0.1%−2,565−10.3%ReducedHistory
PTVEPactiv Evergreen Inc.COM17,720$155.0K<0.1%+17,720NewHistory
EFTEaton Vance Floating-Rate Income TrustCOM13,725$156.0K<0.1%00.0%UnchangedHistory
ETF Managers Tr26924G508ETFMG ALTR HRVST34,280$157.0K<0.1%−3,198−8.5%Reduced–
MQYBlackRock Muniyield Quality Fund, Inc.COM14,336$158.0K<0.1%+116+0.8%AddedHistory
ALTAltimmune, Inc.COM NEW12,400$158.0K<0.1%−4,700−27.5%ReducedHistory
NMZNuveen Municipal High Income Opportunity FundCOM15,340$158.0K<0.1%+15,340NewHistory
ONLOrion Properties Inc.REIT18,381$161.0K<0.1%−2,579−12.3%ReducedHistory
Global X FDS37954Y442CLOUD COMPUTNG10,087$161.0K<0.1%+10,087New–
EOSEaton Vance Enhanced Equity Income Fund IICOM10,650$163.0K<0.1%−4,620−30.3%ReducedHistory
PBTPermian Basin Royalty TrustUNIT BEN INT10,000$163.0K<0.1%00.0%UnchangedHistory
LUMNLumen Technologies, Inc.Stock22,610$165.0K<0.1%−317−1.4%ReducedHistory
LEOBNY Mellon Strategic Municipals, Inc.COM27,157$165.0K<0.1%00.0%UnchangedHistory
BKNBlackRock Investment Quality Municipal Trust, Inc.COM13,200$165.0K<0.1%+13,200NewHistory
BXMXNuveen S&P 500 BuyWrite Income FundCOM13,873$165.0K<0.1%+60.0%AddedHistory
Eneti IncY2294C107COM24,712$165.0K<0.1%+24,712New–
LXULSB Industries, Inc.COM11,789$168.0K<0.1%+835+7.6%AddedHistory
FMNBFarmers National Banc CorpCOM13,200$173.0K<0.1%+13+0.1%AddedHistory
NOKNokia CorpSPONSORED ADR41,488$177.0K<0.1%−589−1.4%ReducedHistory
LGILazard Global Total Return & Income Fund IncCOM13,098$177.0K<0.1%−1,399−9.7%ReducedHistory
Invesco Exch Traded FD Tr II46138E867DORSEY WRGT EMRG11,153$183.0K<0.1%−21,053−65.4%Reduced–
PLYAPlaya Hotels & Resorts N.V.SHS32,240$188.0K<0.1%+32,240NewHistory
BSTZBlackRock Science & Technology Term TrustSHS BEN INT10,719$189.0K<0.1%−4,139−27.9%ReducedHistory
BFZBlackRock California Municipal Income TrustSH BEN INT18,478$190.0K<0.1%00.0%UnchangedHistory

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 Q3 2022
SecurityClassPutsCalls
CBRECbre Group, Inc.CL A$109.0K–
WFCWells Fargo & CompanyStock$4.00K–
ZIMZIM Integrated Shipping Services Ltd.SHS$3.00K–
DALDelta Air Lines, Inc.COM NEW–$2.00K
VZVerizon Communications IncStock–$1.00K

Sold out since Q2 2022 (115)

Positions held at the end of Q2 2022 that are gone from this filing.

The largest 100 of 115 by value last quarter.

Positions of Cetera Advisors LLC sold out since Q2 2022
SecurityClassShares in Q2 2022Value in Q2 2022% of portfolio in Q2 2022History
Franklin Templeton ETF Tr35473P801US LRG CP MLTFCT155,409$6.03M0.1%–
GSKGSK plcSPONSORED ADR97,327$4.24M0.1%History
DBEInvesco DB Energy FundENERGY FD106,915$2.80M0.1%History
First Tr Exchng Traded FD VI33740F870LOW DUR STRTGC99,652$1.86M<0.1%–
Invesco Exchange Traded FD T46137V761ENERG EXPL ETF72,107$1.85M<0.1%–
New York Life Investments Et45409B560FTSE INTL EQTY C67,515$1.41M<0.1%–
SYFSynchrony FinancialCOM37,004$1.02M<0.1%History
RGLDRoyal Gold IncStock9,557$1.02M<0.1%History
CFCF Industries Holdings, Inc.COM11,651$999.0K<0.1%History
VanEck ETF Trust92189H607OIL SERVICES ETF3,312$770.0K<0.1%–
BGSB&G Foods, Inc.COM30,099$716.0K<0.1%History
EGLEEagle Bulk Shipping Inc.COM13,161$683.0K<0.1%History
HXLHexcel CorpCOM13,035$682.0K<0.1%History
iShares Tr464288737GLB CNSM STP ETF11,736$679.0K<0.1%–
BAKBraskem SASP ADR PFD A47,306$676.0K<0.1%History
First Tr Exchange-Traded FD33739Q309HIGH INCM STRGC14,829$666.0K<0.1%–
Innovator ETFs Trust45783Y855DEFINED WLT SHLD24,930$644.0K<0.1%–
SPDR Series Trust78468R200ST STR RATE ETF21,025$633.0K<0.1%–
UNGUnited States Natural Gas Fund, LPUNIT PAR32,077$610.0K<0.1%History
AGCOAGCO CorpCOM6,111$603.0K<0.1%History
SIISprott Inc.COM NEW15,672$543.0K<0.1%History
ARLPAlliance Resource Partners LPStock28,889$527.0K<0.1%History
DKLDelek Logistics Partners, LPCOM UNT RP INT10,481$510.0K<0.1%History
Lattice Strategies Tr518416409HARTFORD US EQTY12,957$486.0K<0.1%–
VSTVistra Corp.Stock20,930$478.0K<0.1%History
PAASPan American Silver CorpStock24,026$473.0K<0.1%History
KRPKimbell Royalty Partners, LPUNIT30,041$471.0K<0.1%History
DLTRDollar Tree, Inc.COM2,796$436.0K<0.1%History
IDAIdacorp IncCOM4,093$433.0K<0.1%History
HQHabrdn Healthcare InvestorsSH BEN INT22,401$419.0K<0.1%History
NRGNRG Energy, Inc.Stock10,610$405.0K<0.1%History
NVAXNovavax IncCOM NEW7,572$389.0K<0.1%History
UNMUnum GroupStock11,306$385.0K<0.1%History
GGGGraco IncCOM5,495$326.0K<0.1%History
Vanguard Scottsdale FDS92206C664VNG RUS2000IDX4,695$321.0K<0.1%–
DHIHorton D R IncCOM4,677$310.0K<0.1%History
iShares Tr46434V274INTL EQTY FACTOR13,106$308.0K<0.1%–
CZRCaesars Entertainment, Inc.COM7,938$304.0K<0.1%History
Invesco Exch Traded FD Tr II46138E842DORSEY WRGT SMLC4,459$303.0K<0.1%–
WisdomTree Tr97717W448GERMANY HEDEQ FD10,118$303.0K<0.1%–
UGAUnited States Gasoline Fund, LPUNITS4,373$297.0K<0.1%History
Cambria ETF Tr132061862TAIL RISK15,755$277.0K<0.1%–
Invesco Exchange Traded FD T46137V845DORSEY WRGT INDS3,314$268.0K<0.1%–
TRMKTrustmark CorpCOM9,188$268.0K<0.1%History
BSTBlackRock Science & Technology TrustSHS7,954$258.0K<0.1%History
XHRXenia Hotels & Resorts, Inc.COM17,737$258.0K<0.1%History
WisdomTree Tr97717X214EMERG MKTS ESG9,000$257.0K<0.1%–
VFCV F CorpStock5,791$256.0K<0.1%History
OGNOrganon & Co.Stock7,525$254.0K<0.1%History
Vanguard Scottsdale FDS92206C813LG-TERM COR BD3,062$248.0K<0.1%–
Fidelity MSCI Information Technology Index ETF316092808ETF2,561$247.0K<0.1%–
LKQLKQ CorpCOM4,949$243.0K<0.1%History
IFFInternational Flavors & Fragrances IncCOM2,032$242.0K<0.1%History
SNYSanofiSPONSORED ADR4,763$238.0K<0.1%History
Aim ETF Products Trust00888H208ALLIANZIM US EQT9,400$238.0K<0.1%–
OCCIOFS Credit Company, Inc.COM26,103$238.0K<0.1%History
Chiron Real Estate Inc.37954A204COM NEW21,118$237.0K<0.1%–
WisdomTree Tr97717X701EUROPE HEDGED EQ3,581$235.0K<0.1%–
iShares Tr46429B671MSCI CHINA ETF4,216$235.0K<0.1%–
SYNASYNAPTICS IncStock1,985$234.0K<0.1%History
MELIMercadolibre IncCOM368$234.0K<0.1%History
BSMBlack Stone Minerals, L.P.COM UNIT16,966$232.0K<0.1%History
VTRVentas, Inc.REIT4,485$231.0K<0.1%History
BEPBrookfield Renewable Partners L.P.PARTNERSHIP UNIT6,511$227.0K<0.1%History
HNIHni CorpStock6,472$225.0K<0.1%History
iShares Inc464286319EM MKTS DIV ETF8,441$225.0K<0.1%–
ECCEagle Point Credit CoCOM19,090$225.0K<0.1%History
ZMZoom Communications, Inc.Stock2,075$224.0K<0.1%History
Vanguard Whitehall FDS921946794INTL HIGH ETF3,793$223.0K<0.1%–
LITELumentum Holdings Inc.COM2,757$219.0K<0.1%History
First Tr Exch Traded FD III33739P608RIVRFRNT DYN DEV4,090$219.0K<0.1%–
iShares Inc464286657MSCI BIC ETF5,896$218.0K<0.1%–
ONOn Semiconductor CorpStock4,314$217.0K<0.1%History
CAHCardinal Health IncStock4,132$216.0K<0.1%History
AAPAdvance Auto Parts IncCOM1,250$216.0K<0.1%History
iShares Tr464287390LATN AMER 40 ETF9,546$215.0K<0.1%–
iShares Tr46435G326CORE MSCI INTL3,992$215.0K<0.1%–
EXRExtra Space Storage Inc.COM1,251$213.0K<0.1%History
iShares Tr464289420RUS TP200 VL ETF3,400$210.0K<0.1%–
iShares MSCI Acwi Ex U.S. ETF464288240ETF4,640$209.0K<0.1%–
Dimensional U.S. Targeted Value ETF25434V609ETF5,173$208.0K<0.1%–
EBAYeBay IncCOM4,999$208.0K<0.1%History
HEIHeico CorpCOM1,584$208.0K<0.1%History
CIENCiena CorpCOM NEW4,543$208.0K<0.1%History
AZPNAspen Technology, Inc.COM1,132$208.0K<0.1%History
GDYNGrid Dynamics Holdings, Inc.CL A12,320$207.0K<0.1%History
JJacobs Solutions Inc.COM1,627$207.0K<0.1%History
Vanguard Communication Services ETF92204A884ETF2,183$205.0K<0.1%–
ALLEAllegion plcORD SHS2,086$204.0K<0.1%History
GLADGladstone Capital CorpCOM20,190$204.0K<0.1%History
TRPTC Energy CorpCOM3,934$203.0K<0.1%History
Invesco Exchange Traded FD T46137V720LEISU ENTMT ETF5,566$202.0K<0.1%–
PDCEPDC Energy, Inc.COM3,285$202.0K<0.1%History
Franklin ETF Tr353506108SHRT DUR US GOVT2,203$201.0K<0.1%–
DSLDoubleLine Income Solutions FundCOM16,545$201.0K<0.1%History
iShares Tr464288745GLB CNS DISC ETF1,582$201.0K<0.1%–
CVICVR Energy IncCOM5,974$200.0K<0.1%History
Alps ETF Tr00162Q106REIT DIVIDE DOGS4,669$200.0K<0.1%–
TPVGTriplePoint Venture Growth BDC Corp.COM15,500$197.0K<0.1%History
BCATBlackRock Capital Allocation Term TrustCOM12,560$184.0K<0.1%History