Cetera Advisors LLC

SEC CIK: 0001534400
Latest filing: May 24, 2024

SEC filings (opens in a new tab)

Holdings in Q2 2023

Holdings as of Jun 30, 2023, filed Aug 10, 2023. Long positions only; changes compare share counts with Q1 2023.

Positions: 1,643; +1 vs. Q1 2023
Portfolio value: $6.34B; +$339.0M (+5.6%) vs. Q1 2023
Filed: Aug 10, 2023; SEC

Holdings of Cetera Advisors LLC in Q2 2023
Security	Class	Shares	Value	% of portfolio	Share change	Action	History
BNGOBionano Genomics, Inc.	COM	11,850	$7.23K	<0.1%	+11,850	New	History
SENSSenseonics Holdings, Inc.	COM	11,900	$9.08K	<0.1%	−500−4.0%	Reduced	History
NKTRNektar Therapeutics	COM	17,280	$9.94K	<0.1%	−75−0.4%	Reduced	History
Hannon Armstrong Sust Infr C41068XAD2	NOTE 8/1	12,000	$11.9K	<0.1%	00.0%	Unchanged	–
InterDigital, Inc.45867GAB7	NOTE 2.000% 6/0	10,000	$12.1K	<0.1%	00.0%	Unchanged	–
PRAXPraxis Precision Medicines, Inc.	COM	11,194	$12.9K	<0.1%	00.0%	Unchanged	History
TOPSTop Ships Inc.	SHS NEW	24,222	$13.8K	<0.1%	+8,000+49.3%	Added	History
New MTN Fin Corp647551AC4	NOTE 5.750% 8/1	15,000	$14.9K	<0.1%	00.0%	Unchanged	–
ACBAurora Cannabis Inc	COM	29,152	$15.4K	<0.1%	+18,580+175.7%	Added	History
HCI Group, Inc.40416EAD5	NOTE 4.250% 3/0	16,000	$17.3K	<0.1%	00.0%	Unchanged	–
Hope Bancorp Inc43940TAB5	NOTE 2.000% 5/1	18,000	$17.8K	<0.1%	−16,000−47.1%	Reduced	–
VXRTVaxart, Inc.	COM NEW	25,200	$18.4K	<0.1%	−11,200−30.8%	Reduced	History
DWTXDogwood Therapeutics, Inc.	COM	13,560	$18.7K	<0.1%	−6,964−33.9%	Reduced	History
LFTLument Finance Trust, Inc.	COM	10,695	$20.3K	<0.1%	00.0%	Unchanged	History
ARECAmerican Resources Corp	CL A	10,500	$20.6K	<0.1%	00.0%	Unchanged	History
Ironwood Pharmaceuticals Inc46333XAF5	NOTE 0.750% 6/1	21,000	$21.0K	<0.1%	00.0%	Unchanged	–
NICE Ltd.653656AB4	NOTE 9/1	25,000	$24.2K	<0.1%	+25,000	New	–
Western Digital Corp958102AP0	NOTE 1.500% 2/0	28,000	$27.1K	<0.1%	00.0%	Unchanged	–
OXSQOxford Square Capital Corp.	COM	10,930	$29.0K	<0.1%	00.0%	Unchanged	History
CRONCronos Group Inc.	COM	14,752	$29.1K	<0.1%	−5,400−26.8%	Reduced	History
Cracker Barrel Old Ctry Stor22410JAB2	NOTE 0.625% 6/1	35,000	$29.7K	<0.1%	00.0%	Unchanged	–
MINAberdeen Intermediate Income Fund	SH BEN INT	11,172	$30.6K	<0.1%	00.0%	Unchanged	History
FAXAbrdn Asia-Pacific Income Fund, Inc.	COM	11,832	$31.9K	<0.1%	+11,832	New	History
KOPNKopin Corp	COM	15,027	$32.3K	<0.1%	00.0%	Unchanged	History
Ironwood Pharmaceuticals Inc46333XAH1	NOTE 1.500% 6/1	32,000	$32.7K	<0.1%	00.0%	Unchanged	–
Air Transport Services Grp I00922RAB1	NOTE 1.125%10/1	36,000	$34.0K	<0.1%	+36,000	New	–
OPKOpko Health, Inc.	COM	15,707	$34.1K	<0.1%	−4,793−23.4%	Reduced	History
Insight Enterprises Inc45765UAB9	NOTE 0.750% 2/1	16,000	$34.2K	<0.1%	00.0%	Unchanged	–
FPAYFlexShopper, Inc.	COM NEW	27,400	$35.1K	<0.1%	00.0%	Unchanged	History
TDUPThredUp Inc.	CL A	15,150	$37.0K	<0.1%	+15,150	New	History
TLRYTilray Brands, Inc.	COM CL 2	25,115	$39.2K	<0.1%	−187−0.7%	Reduced	History
COMPCompass, Inc.	CL A	11,221	$39.3K	<0.1%	+750+7.2%	Added	History
FUBOFuboTV Inc.	COM	19,055	$39.6K	<0.1%	−1,070−5.3%	Reduced	History
Lumentum Hldgs Inc55024UAD1	NOTE 0.500%12/1	47,000	$41.5K	<0.1%	00.0%	Unchanged	–
Imax Corp45245EAJ8	NOTE 0.500% 4/0	46,000	$42.0K	<0.1%	00.0%	Unchanged	–
Enphase Energy, Inc.29355AAH0	NOTE 3/0	45,000	$42.3K	<0.1%	+45,000	New	–
MNKDMannkind Corp	COM NEW	10,434	$42.5K	<0.1%	+10,434	New	History
ALPPAlpine 4 Holdings, Inc.	CL A NEW	21,441	$43.3K	<0.1%	−3,207−13.0%	ReducedConverted for a 1-for-8 split	History
ILPTIndustrial Logistics Properties Trust	COM SHS BEN INT	13,525	$44.6K	<0.1%	−3,590−21.0%	Reduced	History
BVSBioventus Inc.	COM CL A	16,391	$47.4K	<0.1%	−5,077−23.6%	Reduced	History
HBIHanesbrands Inc.	COM	10,584	$48.1K	<0.1%	+10,584	New	History
LUMNLumen Technologies, Inc.	Stock	21,583	$48.8K	<0.1%	−789−3.5%	Reduced	History
Euronet Worldwide, Inc.298736AL3	NOTE 0.750% 3/1	54,000	$52.4K	<0.1%	+54,000	New	–
Cheesecake Factory Inc163072AA9	NOTE 0.375% 6/1	65,000	$54.5K	<0.1%	00.0%	Unchanged	–
CXEMFS High Income Municipal Trust	SH BEN INT	16,000	$55.7K	<0.1%	+500+3.2%	Added	History
KAMAN Corp483548AF0	NOTE 3.250% 5/0	65,000	$62.6K	<0.1%	00.0%	Unchanged	–
ASRTAssertio Holdings, Inc.	COM NEW	11,910	$64.6K	<0.1%	+11,910	New	History
Prospect Cap Corp74348TAT9	NOTE 6.375% 3/0	70,000	$68.9K	<0.1%	00.0%	Unchanged	–
SOLEmeren Group Ltd	SPONSORED ADS	18,758	$71.1K	<0.1%	00.0%	Unchanged	History
AMLIFAmerican Lithium Corp.	COM	36,289	$73.0K	<0.1%	+36,289	New	History
SIRISirius XM Holdings Inc.	COM	16,282	$73.8K	<0.1%	−6,924−29.8%	Reduced	History
POWWOutdoor Holding Co	COM	35,852	$76.4K	<0.1%	−15,400−30.0%	Reduced	History
EVFEaton Vance Senior Income Trust	SH BEN INT	14,500	$79.2K	<0.1%	00.0%	Unchanged	History
RWTRedwood Trust Inc	COM	12,574	$80.1K	<0.1%	−3,800−23.2%	Reduced	History
SANBanco Santander, S.A.	ADR	21,730	$80.6K	<0.1%	+2,983+15.9%	Added	History
EOLSEvolus, Inc.	COM	11,292	$82.1K	<0.1%	+490+4.5%	Added	History
JPCNuveen Preferred & Income Opportunities Fund	COM	13,317	$86.3K	<0.1%	+767+6.1%	Added	History
SHIPSeanergy Maritime Holdings Corp.	SHS	18,201	$87.7K	<0.1%	+18,201	New	History
First Tr Exchng Traded FD VI33740F540	SKYB CRY IND ETF	14,434	$88.1K	<0.1%	+215+1.5%	Added	–
VVRInvesco Senior Income Trust	COM	23,025	$88.6K	<0.1%	+23,025	New	History
EMDWestern Asset Emerging Markets Debt Fund Inc.	COM	10,755	$92.7K	<0.1%	−1,181−9.9%	Reduced	History
PACWPacwest Bancorp	COM	11,425	$93.1K	<0.1%	+11,425	New	History
PetIQ, Inc.71639TAB2	NOTE 4.000% 6/0	102,000	$93.5K	<0.1%	00.0%	Unchanged	–
ETWEaton Vance Tax-Managed Global Buy-Write Opportunities Fund	COM	11,523	$94.7K	<0.1%	00.0%	Unchanged	History
KGCKinross Gold Corp	COM	19,869	$94.8K	<0.1%	+19,869	New	History
ETF Managers Tr26924G508	ETFMG ALTR HRVST	32,056	$95.8K	<0.1%	−1,654−4.9%	Reduced	–
CLNEClean Energy Fuels Corp.	COM	19,550	$97.0K	<0.1%	−1,000−4.9%	Reduced	History
Guess Inc401617AD7	NOTE 2.000% 4/1	97,000	$97.3K	<0.1%	00.0%	Unchanged	–
NCVVirtus Convertible & Income Fund	COM	28,069	$97.7K	<0.1%	+28,069	New	History
UAUnder Armour, Inc.	CL C	14,588	$97.9K	<0.1%	−1,268−8.0%	Reduced	History
Biomarin Pharmaceutical Inc09061GAK7	NOTE 1.250% 5/1	98,000	$98.5K	<0.1%	00.0%	Unchanged	–
HLHecla Mining Co	COM	19,238	$99.1K	<0.1%	+19,238	New	History
LCIDLucid Group, Inc.	COM	14,515	$100.0K	<0.1%	−9,992−40.8%	Reduced	History
Lci Inds501812AB7	NOTE 1.125% 5/1	105,000	$101.1K	<0.1%	+70,000+200.0%	Added	–
BDJBlackRock Enhanced Equity Dividend Trust	COM	12,606	$105.1K	<0.1%	+345+2.8%	Added	History
ABCLAbCellera Biologics Inc.	COM	16,277	$105.1K	<0.1%	+5,418+49.9%	Added	History
ONLOrion Properties Inc.	REIT	16,359	$108.1K	<0.1%	+54+0.3%	Added	History
Itron, Inc.465741AN6	NOTE 3/1	123,000	$109.1K	<0.1%	+95,000+339.3%	Added	–
ZYXIZynex Inc	COM	11,542	$110.7K	<0.1%	+11,542	New	History
WTIW&T Offshore Inc	COM	28,790	$111.4K	<0.1%	−15,878−35.5%	Reduced	History
First Tr MLP & Energy Incom33739B104	COM	14,482	$111.7K	<0.1%	+145+1.0%	Added	–
Pacira BioSciences, Inc.695127AF7	NOTE 0.750% 8/0	122,000	$112.8K	<0.1%	00.0%	Unchanged	–
PFLPIMCO Income Strategy Fund	COM	13,883	$113.7K	<0.1%	−4,520−24.6%	Reduced	History
Stride, Inc.86333MAA6	NOTE 1.125% 9/0	122,000	$116.7K	<0.1%	00.0%	Unchanged	–
ROIVRoivant Sciences Ltd.	SHS	11,608	$117.0K	<0.1%	−592−4.9%	Reduced	History
DBDeutsche Bank Aktiengesellschaft	NAMEN AKT	11,460	$120.7K	<0.1%	00.0%	Unchanged	History
NPKINPK International Inc.	COM SHS	23,150	$121.1K	<0.1%	00.0%	Unchanged	History
TEITempleton Emerging Markets Income Fund	COM	23,750	$122.3K	<0.1%	+3,000+14.5%	Added	History
BSBKBogota Financial Corp.	COM	15,000	$122.4K	<0.1%	00.0%	Unchanged	History
Halozyme Therapeutics, Inc.40637HAD1	NOTE 0.250% 3/0	148,000	$122.9K	<0.1%	00.0%	Unchanged	–
HGLBHighland Global Allocation Fund	COM	14,320	$123.9K	<0.1%	+14,320	New	History
EFTEaton Vance Floating-Rate Income Trust	COM	10,725	$125.3K	<0.1%	−1,000−8.5%	Reduced	History
NMFCNew Mountain Finance Corp	COM	10,072	$125.3K	<0.1%	+10,072	New	History
Akamai Technologies Inc00971TAL5	NOTE 0.375% 9/0	130,000	$125.5K	<0.1%	+2,000+1.6%	Added	–
NIMNuveen Select Maturities Municipal Fund	SH BEN INT	14,160	$127.4K	<0.1%	00.0%	Unchanged	History
FGBFirst Trust Specialty Finance & Financial Opportunities Fund	COM BEN INTR	39,287	$128.1K	<0.1%	00.0%	Unchanged	History
JetBlue Airways Corp477143AP6	NOTE 0.500% 4/0	156,000	$128.1K	<0.1%	+82,000+110.8%	Added	–
SNAPSnap Inc	Stock	10,846	$128.4K	<0.1%	−6,050−35.8%	Reduced	History
RTLNecessity Retail REIT, Inc.	COM CLASS A	19,108	$129.2K	<0.1%	+1,035+5.7%	Added	History
HLNHaleon plc	ADR	15,617	$130.9K	<0.1%	−7,404−32.2%	Reduced	History

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 Q2 2023
Security	Class	Puts	Calls
SPYSPDR S&P 500 ETF Trust	ETF	$111.7K	$355
Invesco QQQ Trust Series I46090E103	ETF	$89.8K	–
NVDANVIDIA Corp	Stock	$27.6K	–
SLViShares Silver Trust	ETF	$23.8K	–
CCJCameco Corp	Stock	$16.7K	–
ISRGIntuitive Surgical Inc	COM NEW	$9.66K	–
PODDInsulet Corp	Stock	$7.80K	–
GLDSPDR Gold Trust	ETF	$6.86K	–

Sold out since Q1 2023 (144)

Positions held at the end of Q1 2023 that are gone from this filing.

The largest 100 of 144 by value last quarter.

Positions of Cetera Advisors LLC sold out since Q1 2023
Security	Class	Shares in Q1 2023	Value in Q1 2023	% of portfolio in Q1 2023	History
UUPInvesco DB US Dollar Index Bullish Fund	BULLISH FD	278,617	$7.77M	0.1%	History
RGLDRoyal Gold Inc	Stock	29,034	$3.77M	0.1%	History
Columbia ETF Tr I19761L300	SUSTANABLE US	91,925	$3.46M	0.1%	–
SPDR Ser Tr78464A813	S&P 600 SML CAP	36,181	$3.04M	0.1%	–
TRTNTriton International Ltd	CL A	28,768	$1.82M	<0.1%	History
Barclays Bank PLC06740P114	IPTH PURE BRD	34,699	$1.56M	<0.1%	–
Tidal ETF Tr886364603	RPAR RISK PARI	55,230	$1.08M	<0.1%	–
SESea Ltd	SPONSORD ADS	11,358	$983.0K	<0.1%	History
Invesco Exchange Traded FD T46137V258	S&P500 PUR VAL	12,318	$934.9K	<0.1%	–
PIImpinj Inc	COM	6,724	$911.2K	<0.1%	History
CHPTChargePoint Holdings, Inc.	COM CL A	85,865	$899.0K	<0.1%	History
SPDR Series Trust78468R556	SP O&G EXPL PRO	6,902	$880.7K	<0.1%	–
BBWBuild-A-Bear Workshop Inc	COM	36,145	$840.0K	<0.1%	History
BSMBlack Stone Minerals, L.P.	COM UNIT	45,055	$706.9K	<0.1%	History
KRPKimbell Royalty Partners, LP	UNIT	44,599	$679.2K	<0.1%	History
CWENClearway Energy, Inc.	CL C	21,284	$666.8K	<0.1%	History
PDDPDD Holdings Inc.	SPONSORED ADS	8,479	$643.6K	<0.1%	History
GBDCGolub Capital BDC, Inc.	COM	46,866	$635.5K	<0.1%	History
STNGScorpio Tankers Inc.	SHS	10,415	$586.5K	<0.1%	History
TFSLTFS Financial CORP	COM	46,232	$583.9K	<0.1%	History
Barclays BK PLC06746P456	ETN LKD 48	8,440	$550.4K	<0.1%	–
DBPInvesco DB Precious Metals Fund	PRECIOUS METAL	10,695	$545.9K	<0.1%	History
First Tr Dow Jones Select Mi33718M105	COM SHS ANNUAL	9,760	$523.7K	<0.1%	–
XPEVXpeng Inc.	ADS	46,198	$513.3K	<0.1%	History
VRDNViridian Therapeutics, Inc.	COM	19,945	$507.4K	<0.1%	History
ALGMAllegro Microsystems, Inc.	COM	10,155	$487.3K	<0.1%	History
ProShares Tr74347B391	EQTS FOR RISIN	9,773	$482.0K	<0.1%	–
TRINTrinity Capital Inc.	COM	36,902	$469.8K	<0.1%	History
CANETeucrium Commodity Trust	SUGAR FD	40,050	$455.8K	<0.1%	History
CPERUnited States Commodity Index Funds Trust	CM REP COPP FD	18,090	$451.2K	<0.1%	History
Invesco Exchange Traded FD T46137V266	S&P500 PUR GWT	2,985	$451.2K	<0.1%	–
TRIThomson Reuters Corp	COM NEW	3,456	$449.7K	<0.1%	History
Barclays BK PLC06746P431	ETN LKD 48	5,445	$447.3K	<0.1%	–
Barclays Bank PLC06739H313	ETN DJUBSCOCO 38	13,625	$438.0K	<0.1%	–
DBBInvesco DB Base Metals Fund	BASE METALS FD	21,365	$431.6K	<0.1%	History
FROFrontline plc	COM	25,992	$430.4K	<0.1%	History
SBRSabine Royalty Trust	UNIT BEN INT	5,993	$430.3K	<0.1%	History
EPAMEPAM Systems, Inc.	COM	1,425	$426.1K	<0.1%	History
CXTCrane NXT, Co.	COM	3,590	$407.5K	<0.1%	History
GAMGeneral American Investors Co Inc	COM	9,978	$388.2K	<0.1%	History
CNCCentene Corp	Stock	5,854	$370.0K	<0.1%	History
Crescent PT Energy Corp22576C101	COM	51,981	$366.5K	<0.1%	–
Invesco Exch Traded FD Tr II46138G870	VAR RATE PFD	16,304	$361.1K	<0.1%	–
iShares Tr464289446	RUS TOP 200 ETF	3,666	$356.7K	<0.1%	–
Direxion Shares ETF Trust25460E869	DAILY 500 1X ETF	21,900	$339.2K	<0.1%	–
GSLGlobal Ship Lease, Inc.	COM CL A	17,942	$336.2K	<0.1%	History
ADCAgree Realty Corp	COM	4,868	$334.0K	<0.1%	History
AVIDAvid Technology, Inc.	COM	10,000	$319.8K	<0.1%	History
SBSWSibanye Stillwater Ltd	SPONSORED ADR	38,077	$316.8K	<0.1%	History
SPDR Index Shs FDS78463X541	ST STR NAT ETF	5,542	$316.4K	<0.1%	–
iShares U S ETF Tr46431W580	INFLATION HEDG	12,048	$315.8K	<0.1%	–
SPHSuburban Propane Partners LP	UNIT LTD PARTN	20,277	$310.6K	<0.1%	History
DHTDHT Holdings, Inc.	SHS NEW	28,591	$309.1K	<0.1%	History
ANDEAndersons, Inc.	COM	7,439	$307.4K	<0.1%	History
WSBCWesbanco Inc	COM	9,973	$306.2K	<0.1%	History
BBYBest Buy Co Inc	Stock	3,890	$304.4K	<0.1%	History
SPDR Series Trust78464A292	ST STR PFD ETF	8,718	$296.1K	<0.1%	–
MASIMasimo Corp	COM	1,591	$293.6K	<0.1%	History
HDSNHudson Technologies Inc	COM	33,547	$292.9K	<0.1%	History
DBX ETF Tr233051879	XTRACK HRVST CSI	9,815	$289.3K	<0.1%	–
SPDR Series Trust78464A573	ST STR SP HCSVC	3,313	$286.5K	<0.1%	–
FPFFirst Trust Intermediate Duration Preferred & Income Fund	COM	18,131	$286.1K	<0.1%	History
Invesco Exch Traded FD Tr II46138E867	DORSEY WRGT EMRG	15,231	$282.2K	<0.1%	–
AVYAvery Dennison Corp	COM	1,532	$274.2K	<0.1%	History
KIMKimco Realty Corp	COM	13,724	$268.0K	<0.1%	History
Cambria ETF Tr132061300	CAMBRIA FGN SHR	10,410	$260.4K	<0.1%	–
Franklin Templeton ETF Tr35473P744	FTSE JAPAN ETF	10,071	$260.3K	<0.1%	–
MKTXMarketaxess Holdings Inc	COM	654	$255.9K	<0.1%	History
Direxion Shs ETF Tr25460E307	AUSPCE CMD STG	8,133	$249.4K	<0.1%	–
Invesco Exchange Traded FD T46137V274	S&P500 EQL UTL	2,190	$248.3K	<0.1%	–
PORPortland General Electric Co	COM NEW	5,059	$247.3K	<0.1%	History
RMBSRambus Inc	COM	4,820	$247.1K	<0.1%	History
RCMTRCM Technologies, Inc.	COM NEW	21,017	$243.0K	<0.1%	History
RGENRepligen Corp	COM	1,435	$241.6K	<0.1%	History
BMRNBiomarin Pharmaceutical Inc	COM	2,469	$240.1K	<0.1%	History
EMNEastman Chemical Co	Stock	2,843	$239.8K	<0.1%	History
TYLTyler Technologies Inc	COM	676	$239.7K	<0.1%	History
AAPAdvance Auto Parts Inc	COM	1,965	$239.0K	<0.1%	History
Innovator ETFs Trust45782C649	US EQTY ULTRA B	8,679	$238.7K	<0.1%	–
UDNInvesco DB US Dollar Index Bearish Fund	BEARISH FD	12,475	$234.2K	<0.1%	History
UBSIUnited Bankshares Inc	COM	6,642	$233.8K	<0.1%	History
ROCCBaytex Energy USA, Inc.	COM	5,683	$232.1K	<0.1%	History
CTRClearBridge MLP & Midstream Total Return Fund Inc.	COM	8,020	$231.8K	<0.1%	History
Invesco Exchange Traded FD T46137V647	SEMICONDUCTORS	1,875	$231.7K	<0.1%	–
PKGPackaging Corp of America	Stock	1,661	$230.6K	<0.1%	History
APTVAptiv PLC	SHS	2,042	$229.1K	<0.1%	History
Abrdn ETFs003261203	BBRG ALL COMMDY	6,856	$227.2K	<0.1%	–
HRBH&R Block Inc	COM	6,317	$222.7K	<0.1%	History
VanEck ETF Trust92189H805	RARE EARTH AND S	2,712	$221.2K	<0.1%	–
CIENCiena Corp	COM NEW	4,208	$221.0K	<0.1%	History
CNRCore Natural Resources, Inc.	COM	3,765	$219.4K	<0.1%	History
VanEck ETF Trust92189H607	OIL SERVICES ETF	778	$215.6K	<0.1%	–
Yamana Gold Inc98462Y100	COM	36,800	$215.3K	<0.1%	–
Schwab U.S. REIT ETF808524847	ETF	11,023	$214.9K	<0.1%	–
iShares Tr464287697	U.S. UTILITS ETF	2,526	$211.5K	<0.1%	–
GFSGLOBALFOUNDRIES Inc.	Stock	2,912	$210.2K	<0.1%	History
FNFFidelity National Financial, Inc.	COM SHS	6,005	$209.8K	<0.1%	History
SONYSony Group Corp	SPONSORED ADR	2,310	$209.4K	<0.1%	History
Barclays Bank PLC06740P221	IPTH CRUDE OIL	7,212	$208.8K	<0.1%	–
OLNOLIN Corp	Stock	3,750	$208.1K	<0.1%	History