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Livermore
Livermore
ZHEN

Cetera Advisors LLC

SEC CIK
0001534400
Latest filing
May 24, 2024

Holdings in Q4 2022

Holdings as of Dec 31, 2022, filed Feb 14, 2023. Long positions only; changes compare share counts with Q3 2022.

Institution overview
Positions
1,591
+239 vs. Q3 2022
Portfolio value
$5.52B
+$1.73B (+45.8%) vs. Q3 2022
Filed
Feb 14, 2023
SEC
Holdings of Cetera Advisors LLC in Q4 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
TRKATroika Media Group, Inc.COM10,000$1.16K<0.1%00.0%UnchangedHistory
WINTWindtree Therapeutics IncCOM10,299$1.75K<0.1%+10,299NewHistory
LGL Group Inc50186A132*W EXP 11/16/20210,000$2.00K<0.1%00.0%Unchanged–
WTERAlkaline Water Co IncCOM NEW15,389$2.69K<0.1%00.0%UnchangedHistory
DWTXDogwood Therapeutics, Inc.COM20,524$4.84K<0.1%−23,420−53.3%ReducedHistory
IRNTIronNet, Inc.COM21,250$4.89K<0.1%+21,250NewHistory
BNKKBonk, Inc.COM NEW10,000$7.70K<0.1%00.0%UnchangedHistory
DHCDiversified Healthcare TrustCOM SH BEN INT13,256$8.57K<0.1%+300+2.3%AddedHistory
InterDigital, Inc.45867GAB7NOTE 2.000% 6/010,000$9.56K<0.1%+10,000New–
Supernus Pharmaceuticals, Inc.868459AD0NOTE 0.625% 4/010,000$9.82K<0.1%00.0%Unchanged–
ACBAurora Cannabis IncCOM10,787$9.95K<0.1%−619−5.4%ReducedHistory
Lumentum Hldgs Inc55024UAD1NOTE 0.500%12/112,000$10.3K<0.1%+12,000New–
CLOVClover Health Investments, Corp.COM CL A11,685$10.9K<0.1%−790−6.3%ReducedHistory
NEUENeueHealth, Inc.COM17,051$11.1K<0.1%+17,051NewHistory
Hannon Armstrong Sust Infr C41068XAD2NOTE 8/112,000$11.3K<0.1%+12,000New–
SENSSenseonics Holdings, Inc.COM11,300$11.6K<0.1%00.0%UnchangedHistory
MNTSMomentus Inc.COM CL A15,361$12.0K<0.1%+15,361NewHistory
HCI Group, Inc.40416EAD5NOTE 4.250% 3/016,000$13.0K<0.1%00.0%Unchanged–
Genetic Technologies Ltd37185R307NEW SPONSRD ADR13,961$13.0K<0.1%00.0%Unchanged–
ARECAmerican Resources CorpCL A10,500$13.9K<0.1%00.0%UnchangedHistory
New MTN Fin Corp647551AC4NOTE 5.750% 8/115,000$14.9K<0.1%00.0%Unchanged–
OPKOpko Health, Inc.COM14,600$18.3K<0.1%00.0%UnchangedHistory
KOPNKopin CorpCOM15,027$18.6K<0.1%00.0%UnchangedHistory
AMRSAmyris, Inc.COM NEW13,233$20.2K<0.1%+13,233NewHistory
LFTLument Finance Trust, Inc.COM10,695$20.3K<0.1%00.0%UnchangedHistory
Ironwood Pharmaceuticals Inc46333XAF5NOTE 0.750% 6/121,000$22.4K<0.1%+21,000New–
Insight Enterprises Inc45765UAB9NOTE 0.750% 2/116,000$24.0K<0.1%00.0%Unchanged–
Imax Corp45245EAJ8NOTE 0.500% 4/029,000$24.5K<0.1%+29,000New–
FPAYFlexShopper, Inc.COM NEW27,400$25.3K<0.1%00.0%UnchangedHistory
PRAXPraxis Precision Medicines, Inc.COM11,194$26.6K<0.1%00.0%UnchangedHistory
Western Digital Corp958102AP0NOTE 1.500% 2/028,000$26.7K<0.1%+28,000New–
DBDDiebold Nixdorf, IncCOM20,156$28.6K<0.1%+20,156NewHistory
UPWheels Up Experience Inc.COMMON STOCK28,601$29.5K<0.1%+28,601NewHistory
SHIPSeanergy Maritime Holdings Corp.SHS NEW63,912$31.7K<0.1%+17,727+38.4%AddedHistory
GTEGran Tierra Energy Inc.COM33,346$33.0K<0.1%+33,346NewHistory
Hope Bancorp Inc43940TAB5NOTE 2.000% 5/134,000$33.2K<0.1%+21,000+161.5%Added–
OXSQOxford Square Capital Corp.COM10,901$34.0K<0.1%+10,901NewHistory
FIRYFiry Inc.COM69,425$35.2K<0.1%+5,258+8.2%AddedHistory
CGCCanopy Growth CorpCOM15,508$35.9K<0.1%−1,569−9.2%ReducedHistory
MARAMARA Holdings, Inc.COM10,606$36.3K<0.1%+10,606NewHistory
KAMAN Corp483548AF0NOTE 3.250% 5/040,000$37.2K<0.1%+40,000New–
FUBOFuboTV Inc.COM21,795$37.9K<0.1%+908+4.3%AddedHistory
First Tr Exchng Traded FD VI33740F540SKYB CRY IND ETF12,121$39.9K<0.1%+12,121New–
NKTRNektar TherapeuticsCOM17,955$40.6K<0.1%−300−1.6%ReducedHistory
VXRTVaxart, Inc.COM NEW43,050$41.4K<0.1%−13,000−23.2%ReducedHistory
JetBlue Airways Corp477143AP6NOTE 0.500% 4/057,000$41.6K<0.1%+57,000New–
EDFVirtus Stone Harbor Emerging Markets Income FundCOM10,000$41.6K<0.1%−10,000−50.0%ReducedHistory
APTOAptose Biosciences Inc.COM NEW86,827$50.4K<0.1%+24,847+40.1%AddedHistory
SANBanco Santander, S.A.ADR17,261$50.9K<0.1%+490+2.9%AddedHistory
BVSBioventus Inc.COM CL A19,636$51.3K<0.1%+19,636NewHistory
Cheesecake Factory Inc163072AA9NOTE 0.375% 6/165,000$53.3K<0.1%+52,000+400.0%Added–
CRONCronos Group Inc.COM21,252$54.0K<0.1%−2,474−10.4%ReducedHistory
Chegg, Inc163092AD1NOTE 0.125% 3/161,000$55.7K<0.1%+61,000New–
CXEMFS High Income Municipal TrustSH BEN INT16,600$57.9K<0.1%00.0%UnchangedHistory
CIMChimera Investment CorpCOM NEW10,595$58.3K<0.1%−878−7.7%ReducedHistory
COMPCompass, Inc.CL A25,391$59.2K<0.1%+25,391NewHistory
ILPTIndustrial Logistics Properties TrustCOM SHS BEN INT18,120$59.3K<0.1%+115+0.6%AddedHistory
ASXASE Technology Holding Co., Ltd.SPONSORED ADS10,139$63.6K<0.1%−129,896−92.8%ReducedHistory
Prospect Cap Corp74348TAT9NOTE 6.375% 3/070,000$69.7K<0.1%+35,000+100.0%Added–
DNAGinkgo Bioworks Holdings, Inc.CL A SHS41,398$70.0K<0.1%+41,398NewHistory
OCSLOaktree Specialty Lending CorpCOM10,272$70.6K<0.1%−37−0.4%ReducedHistory
EVFEaton Vance Senior Income TrustSH BEN INT14,500$76.4K<0.1%00.0%UnchangedHistory
TLRYTilray Brands, Inc.COM CL 228,604$76.9K<0.1%−281−1.0%ReducedHistory
SOLEmeren Group LtdSPONSORED ADS18,315$82.8K<0.1%−6,175−25.2%ReducedHistory
PetIQ, Inc.71639TAB2NOTE 4.000% 6/0102,000$84.2K<0.1%+102,000New–
POWWOutdoor Holding CoCOM48,702$84.3K<0.1%−400−0.8%ReducedHistory
XXII22nd Century Group, Inc.COM93,260$85.8K<0.1%+9,600+11.5%AddedHistory
SIRISirius XM Holdings Inc.COM15,071$88.0K<0.1%−1,601−9.6%ReducedHistory
CLNEClean Energy Fuels Corp.COM18,150$94.4K<0.1%−950−5.0%ReducedHistory
QSQuantumScape CorpCOM CL A17,179$97.4K<0.1%+17,179NewHistory
NXDRNextdoor Holdings, Inc.COM CL A48,757$100.4K<0.1%+48,757NewHistory
NPKINPK International Inc.COM SHS24,480$101.6K<0.1%−3,100−11.2%ReducedHistory
Stride, Inc.86333MAA6NOTE 1.125% 9/0115,000$102.4K<0.1%+115,000New–
Guess Inc401617AD7NOTE 2.000% 4/197,000$102.9K<0.1%+97,000New–
LUMNLumen Technologies, Inc.Stock19,941$104.1K<0.1%−2,669−11.8%ReducedHistory
NRDSNerdwallet, Inc.COM CL A10,945$105.1K<0.1%+10,945NewHistory
Biomarin Pharmaceutical Inc09061GAK7NOTE 1.250% 5/198,000$105.3K<0.1%+98,000New–
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT29,972$108.8K<0.1%+3,690+14.0%AddedHistory
Pacira BioSciences, Inc.695127AF7NOTE 0.750% 8/0122,000$109.9K<0.1%+122,000New–
BDJBlackRock Enhanced Equity Dividend TrustCOM12,261$110.5K<0.1%+1,220+11.0%AddedHistory
EMDWestern Asset Emerging Markets Debt Fund Inc.COM12,151$110.7K<0.1%00.0%UnchangedHistory
STEMStem, Inc.CL A12,392$110.8K<0.1%+12,392NewHistory
First Tr MLP & Energy Incom33739B104COM14,205$110.9K<0.1%+117+0.8%Added–
Akamai Technologies Inc00971TAL5NOTE 0.375% 9/0116,000$111.7K<0.1%+116,000New–
PHKPIMCO High Income FundCOM SHS23,690$112.1K<0.1%−3,550−13.0%ReducedHistory
TEITempleton Emerging Markets Income FundCOM20,750$113.9K<0.1%+5,750+38.3%AddedHistory
EGYVaalco Energy IncCOM NEW25,662$117.0K<0.1%+1,241+5.1%AddedHistory
FGBFirst Trust Specialty Finance & Financial Opportunities FundCOM BEN INTR38,287$117.2K<0.1%00.0%UnchangedHistory
HBIHanesbrands Inc.COM18,548$118.0K<0.1%−3,793−17.0%ReducedHistory
PBRPetrobras - Petroleo Brasileiro SASPONSORED ADR11,203$119.3K<0.1%−63,595−85.0%ReducedHistory
ETWEaton Vance Tax-Managed Global Buy-Write Opportunities FundCOM15,453$119.9K<0.1%00.0%UnchangedHistory
ETF Managers Tr26924G508ETFMG ALTR HRVST28,887$123.1K<0.1%−5,393−15.7%Reduced–
Ford MTR Co Del345370CZ1NOTE 3/1131,000$123.6K<0.1%+131,000New–
RQICohen & Steers Quality Income Realty Fund IncCEF10,821$124.4K<0.1%+10,821NewHistory
RWTRedwood Trust IncCOM18,474$124.9K<0.1%+154+0.8%AddedHistory
DBDeutsche Bank AktiengesellschaftNAMEN AKT10,992$126.6K<0.1%−623−5.4%ReducedHistory
Greenbrier Cos Inc393657AM3NOTE 2.875% 4/1144,000$126.9K<0.1%+144,000New–
NIMNuveen Select Maturities Municipal FundSH BEN INT14,160$128.3K<0.1%00.0%UnchangedHistory
LASRNlight, Inc.COM12,715$128.9K<0.1%+12,715NewHistory
EFTEaton Vance Floating-Rate Income TrustCOM11,725$130.0K<0.1%−2,000−14.6%ReducedHistory

Options (12)

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 2022
SecurityClassPutsCalls
BMRNBiomarin Pharmaceutical IncCOM$63.8K–
CCJCameco CorpStock$55.5K–
CNCCentene CorpStock$52.1K–
MOHMolina Healthcare, Inc.COM$48.5K–
KEYKeycorpCOM$39.2K–
MTBM&T Bank CorpCOM$26.8K–
CBRECbre Group, Inc.CL A$20.8K–
BMYBristol Myers Squibb CoStock$7.33K–
TAT&T Inc.Stock$3.65K–
DALDelta Air Lines, Inc.COM NEW–$1.02K
SPYSPDR S&P 500 ETF TrustETF$665–
VZVerizon Communications IncStock–$185

Sold out since Q3 2022 (95)

Positions held at the end of Q3 2022 that are gone from this filing.

Positions of Cetera Advisors LLC sold out since Q3 2022
SecurityClassShares in Q3 2022Value in Q3 2022% of portfolio in Q3 2022History
Kraneshares Tr500767736QUADRTC INT RT120,356$2.67M0.1%–
Invesco Bulletshares 2022 HY Bd (BSJM)46138J874BULSHS 2022 HY86,438$1.90M0.1%–
Barclays Bank PLC06746P563ETN LKD 4819,425$1.19M<0.1%–
CCRNCross Country Healthcare IncCOM36,739$1.04M<0.1%History
TWTRTwitter, Inc.COM23,723$1.04M<0.1%History
American Centy ETF Tr025072604AVANTIS EMGMKT22,050$1.01M<0.1%–
MOSMosaic CoCOM18,321$885.0K<0.1%History
AFRMAffirm Holdings, Inc.COM CL A36,912$692.0K<0.1%History
Invesco Exch TRD SLF Idx FD46138J551BULSHS 2022 MUNI26,292$665.0K<0.1%–
iShares Tr46435U176IBONDS 22 TRM HG26,640$640.0K<0.1%–
American Centy ETF Tr025072307US QUALITY GROW11,633$639.0K<0.1%–
Golden Ocean Group LtdG39637205SHS NEW74,468$556.0K<0.1%–
ZIMZIM Integrated Shipping Services Ltd.SHS22,987$540.0K<0.1%History
Invesco Exch TRD SLF Idx FD46138J676BULLSHS 22 USD21,298$509.0K<0.1%–
ICLICL Group Ltd.SHS62,656$508.0K<0.1%History
WDSWoodside Energy Group LtdADR24,620$496.0K<0.1%History
TROXTronox Holdings plcSHS39,359$482.0K<0.1%History
ARK Next Generation Technology ETF00214Q401ETF10,532$481.0K<0.1%–
First Tr Exch TRD Alphdx FD33737J125LATIN AMER ALP29,704$465.0K<0.1%–
Invesco Exch TRD SLF Idx FD46138J882BULSHS 2022 CB21,344$452.0K<0.1%–
iShares Tr46434VBA7IBONDS DEC22 ETF17,920$449.0K<0.1%–
Barclays Bank PLC06742A669IPATH SHILR CAPE23,922$438.0K<0.1%–
DPGDuff & Phelps Utility & Infrastructure Fund Inc.COM28,020$359.0K<0.1%History
WisdomTree Tr97717Y717GROWTH LEADERS13,930$350.0K<0.1%–
SOYBTeucrium Commodity TrustSOYBEAN FD12,395$324.0K<0.1%History
Absolute Shs Tr00400R841WBI BULBEAR TR16,530$300.0K<0.1%–
TBITrueBlue, Inc.COM14,688$280.0K<0.1%History
Franklin Templeton ETF Tr35473P595SENIOR LOAN ETF11,887$274.0K<0.1%–
Schwab Strategic Tr8085247141 5YR CORP BD5,800$269.0K<0.1%–
LNTHLantheus Holdings, Inc.Stock3,725$262.0K<0.1%History
Flexshares Tr33939L605IBOXX 5YR TRGT11,200$262.0K<0.1%–
HLITHarmonic Inc.COM19,261$252.0K<0.1%History
iShares Tr46435G250HIGH YLD SYSTM B5,784$246.0K<0.1%–
Vanguard Total World Stock ETF922042742ETF3,097$244.0K<0.1%–
Barclays Bank PLC06746P548ETN LKD 484,165$244.0K<0.1%–
GILGildan Activewear Inc.Stock8,431$238.0K<0.1%History
State Street SPDR S&P Bank ETF78464A797ETF5,330$236.0K<0.1%–
MKSIMKS IncCOM2,836$234.0K<0.1%History
LADLithia Motors IncCOM1,080$232.0K<0.1%History
SWAVShockwave Medical, Inc.COM830$231.0K<0.1%History
LACLithium Americas Corp.COM NEW8,286$219.0K<0.1%History
Invesco Exch Traded FD Tr II46138E784EMRNG MKT SVRG12,892$218.0K<0.1%–
CWHCamping World Holdings, Inc.CL A8,608$218.0K<0.1%History
CHRDChord Energy CorpCOM NEW1,568$214.0K<0.1%History
Invesco Exchange Traded FD T46137V647SEMICONDUCTORS2,319$209.0K<0.1%–
DXCDXC Technology CoStock8,515$208.0K<0.1%History
First Tr Exchange-Traded Alp33737M300SML CP GRW ALP3,866$208.0K<0.1%–
iShares Tr46435U135CYBERSECURITY6,069$206.0K<0.1%–
First Tr Exchange-Traded FD33734X119CONSUMR STAPLE3,581$204.0K<0.1%–
First Tr Exchange-Traded FD33737K205INDXX NEXTG ETF3,673$204.0K<0.1%–
PENNPENN Entertainment, Inc.COM7,374$203.0K<0.1%History
ETF Opportunities Trust26923N108AMERICAN CONSER7,500$202.0K<0.1%–
iShares Tr464288794US BR DEL SE ETF2,347$200.0K<0.1%–
Global X FDS37950E549GLB X SUPERDIV25,550$193.0K<0.1%–
BSTZBlackRock Science & Technology Term TrustSHS BEN INT10,719$189.0K<0.1%History
PLYAPlaya Hotels & Resorts N.V.SHS32,240$188.0K<0.1%History
Invesco Exch Traded FD Tr II46138E867DORSEY WRGT EMRG11,153$183.0K<0.1%–
LGILazard Global Total Return & Income Fund IncCOM13,098$177.0K<0.1%History
LEOBNY Mellon Strategic Municipals, Inc.COM27,157$165.0K<0.1%History
Eneti IncY2294C107COM24,712$165.0K<0.1%–
EOSEaton Vance Enhanced Equity Income Fund IICOM10,650$163.0K<0.1%History
MEGINYLI CBRE Global Infrastructure Megatrends Term FundCOM12,466$154.0K<0.1%History
BMAMacro Bank Inc.SPON ADR B10,745$153.0K<0.1%History
NVGNuveen AMT-Free Municipal Credit Income FundCEF10,884$127.0K<0.1%History
KTFDWS Municipal Income TrustCOM14,966$125.0K<0.1%History
CCIFCarlyle Credit Income FundSHS BEN INT12,877$115.0K<0.1%History
CHICalamos Convertible Opportunities & Income FundSH BEN INT11,629$112.0K<0.1%History
CHYCalamos Convertible & High Income FundCOM SHS10,674$108.0K<0.1%History
TELLTellurian Inc.COM39,755$95.0K<0.1%History
DSMBNY Mellon Strategic Municipal Bond Fund, Inc.COM16,120$91.0K<0.1%History
USALiberty All Star Equity FundSH BEN INT13,633$75.0K<0.1%History
Silvercrest Metals Inc828363101COM13,250$74.0K<0.1%–
DMFBNY Mellon Municipal Income, Inc.COM11,964$72.0K<0.1%History
MNKDMannkind CorpCOM NEW10,400$32.0K<0.1%History
CLVSClovis Oncology, Inc.COM16,330$19.0K<0.1%History
DRRXDurect CorpCOM15,000$9.00K<0.1%History
AEOAmerican Eagle Outfitters IncCOM24,554$00.0%History
BTZBlackRock Credit Allocation Income TrustCOM10,612$00.0%History
BKHBlack Hills CorpCOM3,048$00.0%History
BHKBlackRock Core Bond TrustSHS BEN INT13,304$00.0%History
American Centy ETF Tr025072810FOCUSED DYNAMIC4,578$00.0%–
ADXAdams Diversified Equity Fund, Inc.COM11,310$00.0%History
Abrdn ETFs003261104BBRG ALL COMD K112,634$00.0%–
BEBloom Energy CorpCOM CL A10,624$00.0%History
Amplify ETF Tr032108847CEF HIGH INCOME21,936$00.0%–
UHALU-Haul Holding CoCOM488$00.0%History
ALGNAlign Technology IncCOM990$00.0%History
ALKAlaska Air Group, Inc.COM5,694$00.0%History
BCBPBCB Bancorp IncCOM14,328$00.0%History
FAXAbrdn Asia-Pacific Income Fund, Inc.COM19,808$00.0%History
IAFAbrdn Australia Equity Fund, Inc.COM18,278$00.0%History
Amplify ETF Tr032108805AMPLIFY LITHIUM16,930$00.0%–
BIGGQFormer BL Stores IncCOM10,510$00.0%History
BKCCBlackRock Capital Investment CorpCOM17,278$00.0%History
BlackRock Corpor Hi Yld FD I09255L114RIGHT 10/13/202254,895$00.0%–