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Livermore
Livermore
ZHEN

Cetera Advisors LLC

SEC CIK
0001534400
Latest filing
May 24, 2024

Holdings in Q1 2023

Holdings as of Mar 31, 2023, filed May 15, 2023. Long positions only; changes compare share counts with Q4 2022.

Institution overview
Positions
1,642
+51 vs. Q4 2022
Portfolio value
$6.00B
+$488.1M (+8.8%) vs. Q4 2022
Filed
May 15, 2023
SEC
Holdings of Cetera Advisors LLC in Q1 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
LGL Group Inc50186A132*W EXP 11/16/20210,000$1.60K<0.1%00.0%Unchanged–
TRKATroika Media Group, Inc.COM10,000$2.43K<0.1%00.0%UnchangedHistory
WTERAlkaline Water Co IncCOM NEW15,389$2.46K<0.1%00.0%UnchangedHistory
VSTMVerastem, Inc.COM10,177$4.22K<0.1%+10,177NewHistory
BNKKBonk, Inc.COM NEW10,000$4.45K<0.1%00.0%UnchangedHistory
ACBAurora Cannabis IncCOM10,572$7.34K<0.1%−215−2.0%ReducedHistory
DWTXDogwood Therapeutics, Inc.COM20,524$7.54K<0.1%00.0%UnchangedHistory
SENSSenseonics Holdings, Inc.COM12,400$8.80K<0.1%+1,100+9.7%AddedHistory
PRAXPraxis Precision Medicines, Inc.COM11,194$9.06K<0.1%00.0%UnchangedHistory
Supernus Pharmaceuticals, Inc.868459AD0NOTE 0.625% 4/010,000$10.0K<0.1%00.0%Unchanged–
InterDigital, Inc.45867GAB7NOTE 2.000% 6/010,000$10.3K<0.1%00.0%Unchanged–
Hannon Armstrong Sust Infr C41068XAD2NOTE 8/112,000$11.6K<0.1%00.0%Unchanged–
NKTRNektar TherapeuticsCOM17,355$12.2K<0.1%−600−3.3%ReducedHistory
HCI Group, Inc.40416EAD5NOTE 4.250% 3/016,000$13.4K<0.1%00.0%Unchanged–
TOPSTop Ships Inc.SHS NEW16,222$14.3K<0.1%+16,222NewHistory
New MTN Fin Corp647551AC4NOTE 5.750% 8/115,000$14.9K<0.1%00.0%Unchanged–
ARECAmerican Resources CorpCL A10,500$15.8K<0.1%00.0%UnchangedHistory
Genetic Technologies Ltd37185R307NEW SPONSRD ADR13,961$16.2K<0.1%00.0%Unchanged–
KOPNKopin CorpCOM15,027$16.4K<0.1%00.0%UnchangedHistory
DHCDiversified Healthcare TrustCOM SH BEN INT13,255$17.9K<0.1%−10.0%ReducedHistory
Ironwood Pharmaceuticals Inc46333XAF5NOTE 0.750% 6/121,000$21.0K<0.1%00.0%Unchanged–
LFTLument Finance Trust, Inc.COM10,695$21.6K<0.1%00.0%UnchangedHistory
CGCCanopy Growth CorpCOM12,889$22.6K<0.1%−2,619−16.9%ReducedHistory
BVSBioventus Inc.COM CL A21,468$23.0K<0.1%+1,832+9.3%AddedHistory
Itron, Inc.465741AN6NOTE 3/128,000$23.2K<0.1%+28,000New–
FPAYFlexShopper, Inc.COM NEW27,400$23.3K<0.1%00.0%UnchangedHistory
DBDDiebold Nixdorf, IncCOM20,156$24.2K<0.1%00.0%UnchangedHistory
FUBOFuboTV Inc.COM20,125$24.4K<0.1%−1,670−7.7%ReducedHistory
UPWheels Up Experience Inc.COMMON STOCK39,809$25.2K<0.1%+11,208+39.2%AddedHistory
Western Digital Corp958102AP0NOTE 1.500% 2/028,000$27.0K<0.1%00.0%Unchanged–
VXRTVaxart, Inc.COM NEW36,400$27.5K<0.1%−6,650−15.4%ReducedHistory
OPKOpko Health, Inc.COM20,500$29.9K<0.1%+5,900+40.4%AddedHistory
MINAberdeen Intermediate Income FundSH BEN INT11,172$30.9K<0.1%+11,172NewHistory
Cracker Barrel Old Ctry Stor22410JAB2NOTE 0.625% 6/135,000$31.4K<0.1%+35,000New–
Lci Inds501812AB7NOTE 1.125% 5/135,000$31.8K<0.1%+35,000New–
Ironwood Pharmaceuticals Inc46333XAH1NOTE 1.500% 6/132,000$32.1K<0.1%+32,000New–
Hope Bancorp Inc43940TAB5NOTE 2.000% 5/134,000$32.9K<0.1%00.0%Unchanged–
Insight Enterprises Inc45765UAB9NOTE 0.750% 2/116,000$33.5K<0.1%00.0%Unchanged–
COMPCompass, Inc.CL A10,471$33.8K<0.1%−14,920−58.8%ReducedHistory
OXSQOxford Square Capital Corp.COM10,930$34.5K<0.1%+29+0.3%AddedHistory
GTEGran Tierra Energy Inc.COM40,346$35.5K<0.1%+7,000+21.0%AddedHistory
AMRSAmyris, Inc.COM NEW27,811$37.8K<0.1%+14,578+110.2%AddedHistory
CRONCronos Group Inc.COM20,152$39.1K<0.1%−1,100−5.2%ReducedHistory
Lumentum Hldgs Inc55024UAD1NOTE 0.500%12/147,000$40.7K<0.1%+35,000+291.7%Added–
FIRYFiry Inc.COM69,500$41.2K<0.1%+75+0.1%AddedHistory
Imax Corp45245EAJ8NOTE 0.500% 4/046,000$43.0K<0.1%+17,000+58.6%Added–
IAFAbrdn Australia Equity Fund, Inc.COM10,160$44.6K<0.1%+10,160NewHistory
UPLDUpland Software, Inc.COM10,576$45.5K<0.1%+10,576NewHistory
ILPTIndustrial Logistics Properties TrustCOM SHS BEN INT17,115$52.5K<0.1%−1,005−5.5%ReducedHistory
Chegg, Inc163092AD1NOTE 0.125% 3/161,000$53.4K<0.1%00.0%Unchanged–
Cheesecake Factory Inc163072AA9NOTE 0.375% 6/165,000$53.8K<0.1%00.0%Unchanged–
APTOAptose Biosciences Inc.COM NEW86,827$55.8K<0.1%00.0%UnchangedHistory
CXEMFS High Income Municipal TrustSH BEN INT15,500$56.6K<0.1%−1,100−6.6%ReducedHistory
JetBlue Airways Corp477143AP6NOTE 0.500% 4/074,000$56.8K<0.1%+17,000+29.8%Added–
SRTSSensus Healthcare, Inc.COM11,236$58.5K<0.1%+11,236NewHistory
LUMNLumen Technologies, Inc.Stock22,372$59.3K<0.1%+2,431+12.2%AddedHistory
KAMAN Corp483548AF0NOTE 3.250% 5/065,000$61.3K<0.1%+25,000+62.5%Added–
TLRYTilray Brands, Inc.COM CL 225,302$64.0K<0.1%−3,302−11.5%ReducedHistory
Prospect Cap Corp74348TAT9NOTE 6.375% 3/070,000$68.3K<0.1%00.0%Unchanged–
SANBanco Santander, S.A.ADR18,747$69.2K<0.1%+1,486+8.6%AddedHistory
First Tr Exchng Traded FD VI33740F540SKYB CRY IND ETF14,219$70.2K<0.1%+2,098+17.3%Added–
XXII22nd Century Group, Inc.COM92,760$71.3K<0.1%−500−0.5%ReducedHistory
STEMStem, Inc.CL A12,685$71.9K<0.1%+293+2.4%AddedHistory
USALiberty All Star Equity FundSH BEN INT11,670$72.4K<0.1%+11,670NewHistory
EVFEaton Vance Senior Income TrustSH BEN INT14,500$77.6K<0.1%00.0%UnchangedHistory
ABCLAbCellera Biologics Inc.COM10,859$81.9K<0.1%−2,789−20.4%ReducedHistory
JPCNuveen Preferred & Income Opportunities FundCOM12,550$82.6K<0.1%+12,550NewHistory
SOLEmeren Group LtdSPONSORED ADS18,758$83.5K<0.1%+443+2.4%AddedHistory
PetIQ, Inc.71639TAB2NOTE 4.000% 6/0102,000$88.4K<0.1%00.0%Unchanged–
NPKINPK International Inc.COM SHS23,150$89.1K<0.1%−1,330−5.4%ReducedHistory
CLNEClean Energy Fuels Corp.COM20,550$89.6K<0.1%+2,400+13.2%AddedHistory
ROIVRoivant Sciences Ltd.SHS12,200$90.0K<0.1%+12,200NewHistory
EOLSEvolus, Inc.COM10,802$91.4K<0.1%−16,966−61.1%ReducedHistory
SIRISirius XM Holdings Inc.COM23,206$92.1K<0.1%+8,135+54.0%AddedHistory
ETWEaton Vance Tax-Managed Global Buy-Write Opportunities FundCOM11,523$93.1K<0.1%−3,930−25.4%ReducedHistory
MARAMARA Holdings, Inc.COM10,736$93.6K<0.1%+130+1.2%AddedHistory
Guess Inc401617AD7NOTE 2.000% 4/197,000$100.4K<0.1%00.0%Unchanged–
ALPPAlpine 4 Holdings, Inc.COM197,187$100.6K<0.1%−78,028−28.4%ReducedHistory
POWWOutdoor Holding CoCOM51,252$101.0K<0.1%+2,550+5.2%AddedHistory
ARIApollo Commercial Real Estate Finance, Inc.COM10,914$101.6K<0.1%+10,914NewHistory
Biomarin Pharmaceutical Inc09061GAK7NOTE 1.250% 5/198,000$102.2K<0.1%00.0%Unchanged–
EMDWestern Asset Emerging Markets Debt Fund Inc.COM11,936$102.5K<0.1%−215−1.8%ReducedHistory
DNAGinkgo Bioworks Holdings, Inc.CL A SHS78,577$104.5K<0.1%+37,179+89.8%AddedHistory
TEITempleton Emerging Markets Income FundCOM20,750$105.2K<0.1%00.0%UnchangedHistory
BDJBlackRock Enhanced Equity Dividend TrustCOM12,261$105.3K<0.1%00.0%UnchangedHistory
BLNKBlink Charging Co.COM12,407$107.3K<0.1%+240+2.0%AddedHistory
ONLOrion Properties Inc.REIT16,305$109.2K<0.1%−271−1.6%ReducedHistory
First Tr MLP & Energy Incom33739B104COM14,337$109.5K<0.1%+132+0.9%Added–
RWTRedwood Trust IncCOM16,374$110.4K<0.1%−2,100−11.4%ReducedHistory
Pacira BioSciences, Inc.695127AF7NOTE 0.750% 8/0122,000$111.6K<0.1%00.0%Unchanged–
HIEMiller/Howard High Income Equity FundCOM SHS BEN IN11,190$112.5K<0.1%−11,620−50.9%ReducedHistory
EBSEmergent BioSolutions Inc.COM10,881$112.7K<0.1%+10,881NewHistory
RTLNecessity Retail REIT, Inc.COM CLASS A18,073$113.5K<0.1%−4,742−20.8%ReducedHistory
DBDeutsche Bank AktiengesellschaftNAMEN AKT11,460$117.0K<0.1%+468+4.3%AddedHistory
Akamai Technologies Inc00971TAL5NOTE 0.375% 9/0128,000$117.6K<0.1%+12,000+10.3%Added–
PBRPetrobras - Petroleo Brasileiro SASPONSORED ADR11,346$118.3K<0.1%+143+1.3%AddedHistory
ETF Managers Tr26924G508ETFMG ALTR HRVST33,710$118.7K<0.1%+4,823+16.7%Added–
Stride, Inc.86333MAA6NOTE 1.125% 9/0122,000$120.9K<0.1%+7,000+6.1%Added–
LASRNlight, Inc.COM12,000$122.2K<0.1%−715−5.6%ReducedHistory
FGBFirst Trust Specialty Finance & Financial Opportunities FundCOM BEN INTR39,287$123.4K<0.1%+1,000+2.6%AddedHistory

Options (8)

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 2023
SecurityClassPutsCalls
PDDPDD Holdings Inc.SPONSORED ADS$126.7K–
CBRECbre Group, Inc.CL A$17.6K–
XPEVXpeng Inc.ADS$15.0K–
SESea LtdSPONSORD ADS$12.3K–
CRWDCrowdStrike Holdings, Inc.Stock$6.80K–
WMTWalmart Inc.Stock$3.35K–
BMYBristol Myers Squibb CoStock$546–
LLYEli Lilly & CoStock$297–

Sold out since Q4 2022 (88)

Positions held at the end of Q4 2022 that are gone from this filing.

Positions of Cetera Advisors LLC sold out since Q4 2022
SecurityClassShares in Q4 2022Value in Q4 2022% of portfolio in Q4 2022History
FNVFranco Nevada CorpStock19,654$2.68M<0.1%History
VNOMViper Energy, Inc.COM UNT RP INT65,729$2.09M<0.1%History
MOHMolina Healthcare, Inc.COM5,498$1.82M<0.1%History
Innovator ETFs Trust45782C722INTRNL DEV JULY45,066$1.07M<0.1%–
New York Life Investments Et45409B107HEDGE MULTI STRA35,389$1.01M<0.1%–
LPXLouisiana-Pacific CorpCOM13,815$817.8K<0.1%History
ProShares Tr74347B714SHORT QQQ NEW43,125$634.8K<0.1%–
Invesco Exch Traded FD Tr II46138G508SR LN ETF30,636$629.0K<0.1%–
VVRInvesco Senior Income TrustCOM161,569$618.8K<0.1%History
Starboard Invt Tr85521B791AI QUALITY GROWT50,201$610.4K<0.1%–
NHINational Health Investors IncCOM11,571$604.2K<0.1%History
Litman Gregory FDS Tr53700T827IMGP DBI MAN ETF20,093$584.9K<0.1%–
Invesco DB Multi-Sector Comm46140H205SILVER FD17,750$577.6K<0.1%–
Kraneshares Trust500767652MOUNT LUCAS ETF18,560$567.0K<0.1%–
First Tr Exchange-Traded FD33738R852NASDQ FOD BVRG20,827$563.4K<0.1%–
Agf Invts Tr00110G408US MARKET NETRL26,256$556.9K<0.1%–
First Tr Exchange Traded FD33738R837NASDQ PHRMTCLS20,053$550.1K<0.1%–
Starboard Invt Tr85521B767ADAPTIVE HIGH IN63,190$527.0K<0.1%–
Innovator U.S. Equity Ultra Buffer ETF - October45782C821ETF18,290$499.0K<0.1%–
VISTVista Energy, S.A.B. de C.V.SPONSORED ADS29,448$461.2K<0.1%History
SPDR Series Trust78468R408ST TERM HIGH ETF18,502$448.5K<0.1%–
ProShares Tr74347G366SHRT RL EST FD21,809$444.0K<0.1%–
Invesco Exchange Traded FD T46137V407INVESCO MSCI9,073$433.5K<0.1%–
UGAUnited States Gasoline Fund, LPUNITS7,136$427.7K<0.1%History
WPMWheaton Precious Metals Corp.COM10,743$419.8K<0.1%History
WRBBerkley W R CorpCOM5,645$409.7K<0.1%History
LHLabcorp Holdings Inc.COM NEW1,671$393.5K<0.1%History
CORNTeucrium Commodity TrustCORN FD SHS14,119$380.2K<0.1%History
WEATTeucrium Commodity TrustWHEAT FD47,135$376.1K<0.1%History
DOXAmdocs LtdSHS3,946$358.7K<0.1%History
Invesco Exch TRD SLF Idx FD46138J668BULLSHS 23 USD15,207$353.7K<0.1%–
LPLALPL Financial Holdings Inc.COM1,623$350.8K<0.1%History
JBHTHunt J B Transport Services IncCOM2,012$350.8K<0.1%History
WAFDWafd IncStock10,249$343.9K<0.1%History
First Tr Exchng Traded FD VI33740F680FT VEST US EQT10,863$333.0K<0.1%–
iShares Tr46435U473BB RAT CORP BD7,164$318.1K<0.1%–
DBX ETF Tr233051143XTRACKRS S&P 5009,155$316.4K<0.1%–
RYRoyal Bank of CanadaStock3,318$312.0K<0.1%History
CTSHCognizant Technology Solutions CorpCL A5,339$305.3K<0.1%History
PAAPlains All American Pipeline LPUNIT LTD PARTN24,878$292.6K<0.1%History
STORStore Capital LLCCOM9,051$290.2K<0.1%History
IIIInformation Services Group Inc.COM61,300$282.0K<0.1%History
iShares MSCI India ETF46429B598ETF6,572$274.3K<0.1%–
VGRVector Group LtdCOM22,954$272.2K<0.1%History
Vanguard Scottsdale FDS92206C664VNG RUS2000IDX3,767$265.1K<0.1%–
Federated Hermes ETF Trust31423L305US STRATEGIC DIV10,085$256.5K<0.1%–
WHRWhirlpool CorpStock1,767$250.0K<0.1%History
SPDR Ser Tr78464A110FACTST INV ETF2,467$247.3K<0.1%–
iShares Inc464286707MSCI FRANCE ETF7,443$246.5K<0.1%–
SFStifel Financial CorpCOM4,176$243.8K<0.1%History
Delaware Invts Div & Income245915103COM29,100$236.6K<0.1%–
SBACSba Communications CorpCL A839$235.2K<0.1%History
iShares Tr46436E841IBONDS 27 TRM TS10,569$235.1K<0.1%–
Invesco Exchange Traded FD T46137V662PHARMACEUTICALS2,966$233.1K<0.1%–
CRLCharles River Laboratories International, Inc.COM1,055$229.9K<0.1%History
VanEck ETF Trust92189F130REAL ASSETS ETF9,172$227.5K<0.1%–
HZNPHorizon Therapeutics Public Ltd CoSHS1,956$222.6K<0.1%History
ARAntero Resources CorpCOM7,158$221.8K<0.1%History
ETF Managers Tr26924G870BLUESTAR ISRAEL4,994$219.8K<0.1%–
First Tr Exchange-Traded FD33734X184UTILITIES ALPH6,595$219.0K<0.1%–
PNFPPinnacle Financial Partners, Inc.COM2,941$215.9K<0.1%History
BILLBILL Holdings, Inc.Stock1,973$215.0K<0.1%History
TRPTC Energy CorpCOM5,212$207.7K<0.1%History
Absolute Shs Tr00400R809WBI BBR QTY 30007,449$206.4K<0.1%–
WTRGEssential Utilities, Inc.COM4,288$204.7K<0.1%History
QQQXNuveen NASDAQ 100 Dynamic Overwrite FundCOM SHS10,013$204.6K<0.1%History
OHIOmega Healthcare Investors IncCOM7,260$202.9K<0.1%History
AESAES CorpStock7,043$202.6K<0.1%History
Fidelity Covington Trust316092832DIVID ETF RISI5,075$202.2K<0.1%–
HSTHost Hotels & Resorts, Inc.COM12,172$195.4K<0.1%History
Parsons Corp70202LAB8NOTE 0.250% 8/1166,000$188.7K<0.1%–
WisdomTree Tr97717Y683ENHNCD CMMDTY ST10,039$182.9K<0.1%–
ALTAltimmune, Inc.COM NEW10,100$166.1K<0.1%History
Burlington Stores, Inc.122017AB2NOTE 2.250% 4/1124,000$142.6K<0.1%–
VIPSVipshop Holdings LtdSPONSORED ADS A10,327$140.9K<0.1%History
RQICohen & Steers Quality Income Realty Fund IncCEF10,821$124.4K<0.1%History
HBIHanesbrands Inc.COM18,548$118.0K<0.1%History
NRDSNerdwallet, Inc.COM CL A10,945$105.1K<0.1%History
OCSLOaktree Specialty Lending CorpCOM10,272$70.6K<0.1%History
ASXASE Technology Holding Co., Ltd.SPONSORED ADS10,139$63.6K<0.1%History
CIMChimera Investment CorpCOM NEW10,595$58.3K<0.1%History
EDFVirtus Stone Harbor Emerging Markets Income FundCOM10,000$41.6K<0.1%History
SHIPSeanergy Maritime Holdings Corp.SHS NEW63,912$31.7K<0.1%History
MNTSMomentus Inc.COM CL A15,361$12.0K<0.1%History
NEUENeueHealth, Inc.COM17,051$11.1K<0.1%History
CLOVClover Health Investments, Corp.COM CL A11,685$10.9K<0.1%History
IRNTIronNet, Inc.COM21,250$4.89K<0.1%History
WINTWindtree Therapeutics IncCOM10,299$1.75K<0.1%History