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Livermore
Livermore
ZHEN

Cetera Advisor Networks LLC

SEC CIK
0001534468
Latest filing
May 24, 2024

Holdings in Q2 2021

Holdings as of Jun 30, 2021, filed Aug 13, 2021. Long positions only; changes compare share counts with Q1 2021.

Institution overview
Positions
1,884
+410 vs. Q1 2021
Portfolio value
$7.09B
+$2.38B (+50.4%) vs. Q1 2021
Filed
Aug 13, 2021
SEC
Holdings of Cetera Advisor Networks LLC in Q2 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
BlackRock Science & Technolo09258G112RIGHT 07/14/202115,423$10.0K<0.1%+15,423New–
NMTR9 Meters Biopharma, Inc.COM10,000$11.0K<0.1%+10,000NewHistory
CNVSCineverse Corp.COM NEW10,000$13.0K<0.1%00.0%UnchangedHistory
TNXPTonix Pharmaceuticals Holding Corp.COM12,000$13.0K<0.1%−1,500−11.1%ReducedHistory
MUXMcEwen Inc.COM11,795$16.0K<0.1%+11,795NewHistory
AMPEAmpio Pharmaceuticals, Inc.COM10,000$17.0K<0.1%+10,000NewHistory
TYMETyme Technologies, Inc.COM17,200$22.0K<0.1%+17,200NewHistory
Alexco Resource Corp01535P106COM10,000$25.0K<0.1%+10,000New–
SVRASavara IncCOM15,000$26.0K<0.1%−4,000−21.1%ReducedHistory
Gabelli Equity Tr Inc362397218RIGHT 07/14/2021275,620$32.0K<0.1%+275,620New–
IAGIamgold CorpCOM12,500$37.0K<0.1%+12,500NewHistory
RENORenovare Environmental, Inc.COM32,300$47.0K<0.1%00.0%UnchangedHistory
CTXRCitius Pharmaceuticals, Inc.COM NEW14,000$49.0K<0.1%00.0%UnchangedHistory
DHCDiversified Healthcare TrustCOM SH BEN INT12,445$52.0K<0.1%+12,445NewHistory
OPKOpko Health, Inc.COM13,537$55.0K<0.1%+13,537NewHistory
ENDPEndo International plcSHS12,000$56.0K<0.1%+12,000NewHistory
BTGB2GOLD CorpCOM14,000$59.0K<0.1%+14,000NewHistory
VBIVVBI Vaccines Inc/BCCOM NEW17,815$60.0K<0.1%00.0%UnchangedHistory
AAICArlington Asset Investment Corp.CL A NEW15,300$62.0K<0.1%−2,000−11.6%ReducedHistory
MIECohen & Steers MLP Income & Energy Opportunity FundCOM SHS16,175$66.0K<0.1%+16,175NewHistory
TRVGtrivago N.V.SPON ADS A SHS20,000$66.0K<0.1%+20,000NewHistory
New York Mtg Tr Inc649604AD7NOTE 6.250% 1/168,750$70.0K<0.1%00.0%Unchanged–
VRAYViewRay, Inc.COM11,100$73.0K<0.1%+1,100+11.0%AddedHistory
Sandstorm Gold Ltd Com New80013R206Stock10,141$80.0K<0.1%+10,141New–
HLHecla Mining CoCOM10,713$80.0K<0.1%00.0%UnchangedHistory
Prospect Cap Corp74348TAT9NOTE 6.375% 3/075,000$81.0K<0.1%+75,000New–
IVRInvesco Mortgage Capital Inc.COM20,965$82.0K<0.1%+42+0.2%AddedHistory
FCELFuelcell Energy IncCOM9,571$85.0K<0.1%−7,780−44.8%ReducedHistory
MACKMerrimack Pharmaceuticals IncCOM NEW13,400$86.0K<0.1%+13,400NewHistory
CRONCronos Group Inc.COM10,071$87.0K<0.1%+10,071NewHistory
PETZTDH Holdings, Inc.SHS33,817$89.0K<0.1%−30,473−47.4%ReducedHistory
AHTAshford Hospitality Trust IncCOM SHS20,100$92.0K<0.1%+20,100NewHistory
EODAllspring Global Dividend Opportunity FundCOM16,152$93.0K<0.1%+67+0.4%AddedHistory
GUTGabelli Utility TrustCOM11,887$95.0K<0.1%+1,837+18.3%AddedHistory
SANBanco Santander, S.A.ADR24,343$95.0K<0.1%+12,755+110.1%AddedHistory
First Tr MLP & Energy Incom33739B104COM12,222$97.0K<0.1%+12,222New–
OXSQOxford Square Capital Corp.COM20,718$102.0K<0.1%00.0%UnchangedHistory
SABASaba Capital Income & Opportunities Fund IICOM18,807$105.0K<0.1%+5,206+38.3%AddedHistory
MFMAberdeen Municipal Income FundSH BEN INT15,077$108.0K<0.1%00.0%UnchangedHistory
Prospect Cap Corp74348TAR3NOTE 4.950% 7/1107,000$110.0K<0.1%+107,000New–
TEVATeva Pharmaceutical Industries LtdSPONSORED ADS11,191$111.0K<0.1%−163−1.4%ReducedHistory
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT10,939$111.0K<0.1%+10,939NewHistory
Atech (Parent) Resolution Corp.00973N102COM10,562$113.0K<0.1%+10,562New–
MVFBlackRock Munivest Fund, Inc.COM11,800$114.0K<0.1%00.0%UnchangedHistory
PCKPIMCO California Municipal Income Fund IICOM11,850$114.0K<0.1%00.0%UnchangedHistory
VXRTVaxart, Inc.COM NEW15,300$115.0K<0.1%−300−1.9%ReducedHistory
JRONuveen Floating Rate Income Opportunity FundCOM SHS12,000$117.0K<0.1%+1,500+14.3%AddedHistory
SELFGlobal Self Storage, Inc.COM22,709$118.0K<0.1%00.0%UnchangedHistory
PCFHigh Income Securities FundSHS BEN INT12,100$118.0K<0.1%+12,100NewHistory
JFRNuveen Floating Rate Income FundCOM11,900$119.0K<0.1%+11,900NewHistory
HIOWestern Asset High Income Opportunity Fund Inc.COM22,644$120.0K<0.1%+5,249+30.2%AddedHistory
PAVMPAVmed Inc.COM18,694$120.0K<0.1%00.0%UnchangedHistory
Portman Ridge Fin Corp73688F102COM50,212$120.0K<0.1%+50,212New–
Pretium Res Inc74139C102COM12,500$120.0K<0.1%+12,500New–
ACBAurora Cannabis IncCOM13,337$121.0K<0.1%+3,038+29.5%AddedHistory
PAAPlains All American Pipeline LPUNIT LTD PARTN10,772$122.0K<0.1%+649+6.4%AddedHistory
UWMCUWM Holdings CorpCOM CL A14,537$123.0K<0.1%−35,183−70.8%ReducedHistory
CNSLConsolidated Communications Holdings, Inc.COM13,939$123.0K<0.1%00.0%UnchangedHistory
CLNEClean Energy Fuels Corp.COM12,353$125.0K<0.1%+12,353NewHistory
ZNGAZynga IncCL A11,782$125.0K<0.1%+1,412+13.6%AddedHistory
TMPOTempo Automation Holdings, Inc.CL A12,700$126.0K<0.1%−6,800−34.9%ReducedHistory
PBIPitney Bowes IncCOM14,750$129.0K<0.1%00.0%UnchangedHistory
BKDBrookdale Senior Living Inc.COM16,350$129.0K<0.1%00.0%UnchangedHistory
RSIRush Street Interactive, Inc.COM10,535$129.0K<0.1%+10,535NewHistory
AQMSAqua Metals, Inc.COM43,000$129.0K<0.1%+10,000+30.3%AddedHistory
EXKEndeavour Silver CorpCOM21,458$131.0K<0.1%+21,458NewHistory
HTYJohn Hancock Tax-Advantaged Global Shareholder Yield FundTAX ADV GLB SH19,250$135.0K<0.1%00.0%UnchangedHistory
CGENCompugen LtdORD16,400$136.0K<0.1%+5,200+46.4%AddedHistory
UUUUEnergy Fuels IncCOM NEW22,935$139.0K<0.1%+22,935NewHistory
Global X FDS37950E549GLB X SUPERDIV10,122$143.0K<0.1%−145−1.4%Reduced–
ZEVLightning eMotors, Inc.COM17,200$143.0K<0.1%+17,200NewHistory
FTFFranklin Ltd Duration Income TrustCOM15,681$144.0K<0.1%+15,681NewHistory
AGIAlamos Gold IncStock19,003$145.0K<0.1%+19,003NewHistory
EGOEldorado Gold CorpCOM14,600$145.0K<0.1%+14,600NewHistory
PFNPIMCO Income Strategy Fund IICOM13,402$147.0K<0.1%+1,447+12.1%AddedHistory
Global X FDS37954Y426CANNABIS ETF10,666$147.0K<0.1%+10,666New–
Beachbody Company, Inc.073463101COM CL A14,386$150.0K<0.1%+14,386New–
BFLYButterfly Network, Inc.COM CL A10,494$152.0K<0.1%+10,494NewHistory
Invesco Exch Traded FD Tr II46138E164S&P SMLCP ENGY18,963$152.0K<0.1%+3,800+25.1%Added–
AMAntero Midstream CorpStock15,000$156.0K<0.1%+15,000NewHistory
FMYFirst Trust Mortgage Income FundCOM SHS11,366$157.0K<0.1%+18+0.2%AddedHistory
EFREaton Vance Senior Floating-Rate TrustCOM11,186$158.0K<0.1%−884−7.3%ReducedHistory
ENLCEnLink Midstream, LLCCOM UNIT REP LTD24,655$158.0K<0.1%+24,655NewHistory
JMPJMP Group LLCCOM26,203$161.0K<0.1%00.0%UnchangedHistory
Adamas Trust, Inc.649604501COM PAR $.0236,207$162.0K<0.1%+25+0.1%Added–
PMXPIMCO Municipal Income Fund IIICOM12,502$163.0K<0.1%+12,502NewHistory
SWNSouthwestern Energy CoCOM28,745$163.0K<0.1%+28,745NewHistory
PAYOPayoneer Global Inc.COM15,800$164.0K<0.1%+15,800NewHistory
ZVRAZevra Therapeutics, Inc.COM NEW12,900$165.0K<0.1%00.0%UnchangedHistory
VKQInvesco Municipal TrustCOM12,071$166.0K<0.1%+12,071NewHistory
Two Harbors Investment Corp.90187B408COM NEW21,959$166.0K<0.1%+4,322+24.5%Added–
RFICohen & Steers Total Return Realty Fund IncCOM10,222$167.0K<0.1%+10,222NewHistory
First Tr High Income L/S FD33738E109COM10,601$167.0K<0.1%00.0%Unchanged–
SBIWestern Asset Intermediate Muni Fund Inc.COM17,246$168.0K<0.1%+6,735+64.1%AddedHistory
NANNuveen New York Quality Municipal Income FundCOM11,186$168.0K<0.1%+1,100+10.9%AddedHistory
HIXWestern Asset High Income Fund II Inc.COM23,716$170.0K<0.1%+900+3.9%AddedHistory
Genius Sports LtdG3934V117COM21,500$171.0K<0.1%+21,500New–
CXCemex SAB de CVSPON ADR NEW20,691$174.0K<0.1%+20,691NewHistory
LACLithium Americas Corp.COM NEW11,915$177.0K<0.1%+11,915NewHistory
FLRFluor CorpStock10,125$179.0K<0.1%+1,208+13.5%AddedHistory

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 Advisor Networks LLC in Q2 2021
SecurityClassPutsCalls
SPYSPDR S&P 500 ETF TrustETF$26.0K–
USOUnited States Oil Fund, LPUNITS–$13.0K
AGFirst Majestic Silver CorpCOM–$9.00K
Yamana Gold Inc98462Y100COM–$8.00K
Invesco QQQ Trust Series I46090E103ETF$2.00K–
State Street Technology Select Sector SPDR ETF81369Y803ETF–$2.00K
AALAmerican Airlines Group Inc.Stock–$2.00K
AMDAdvanced Micro Devices IncStock–$2.00K
BALLBALL CorpCOM$2.00K–
CHPTChargePoint Holdings, Inc.COM CL A–$2.00K
MOAltria Group, Inc.Stock–$1.00K
USBUS Bancorp DECOM NEW$0$1.00K

Sold out since Q1 2021 (65)

Positions held at the end of Q1 2021 that are gone from this filing.

Positions of Cetera Advisor Networks LLC sold out since Q1 2021
SecurityClassShares in Q1 2021Value in Q1 2021% of portfolio in Q1 2021History
FS KKR Cap Corp II35952V303COM153,193$2.99M0.1%–
Western Asset Mun Def Opp Tr95768A109COM63,677$1.35M<0.1%–
HPSJohn Hancock Preferred Income Fund IIICOM68,315$1.24M<0.1%History
Standard Avb Finl Corp85303B100COM32,010$1.04M<0.1%–
Varian Med Sys Inc92220P105COM4,469$789.0K<0.1%–
Colony CR Real Estate Inc19625T101COM CL A91,652$781.0K<0.1%–
Alps ETF Tr00162Q478DISRUPTIVE TECH16,129$725.0K<0.1%–
Trident Acquisitions Corp89615T106COM49,000$585.0K<0.1%–
Innovator ETFs Trust45782C672US EQT ULTRA BF20,083$567.0K<0.1%–
Innovator ETFs Trust45782C573US EQTY PWR BUF16,300$484.0K<0.1%–
Innovator ETFs Trust45782C284US SML CP PWR B17,716$468.0K<0.1%–
VVVValvoline IncCOM17,715$462.0K<0.1%History
TLRYTilray Brands, Inc.COM CL 219,741$449.0K<0.1%History
WKHSWorkhorse Group Inc.COM NEW30,603$421.0K<0.1%History
Innovator ETFs Trust45782C565US EQTY ULTRA BU13,777$396.0K<0.1%–
TCPCBlackRock TCP Capital Corp.COM27,089$375.0K<0.1%History
BLDRBuilders FirstSource, Inc.Stock7,969$370.0K<0.1%History
Thunder BRDG Acquistion II LG8857S116CL A SHS35,550$370.0K<0.1%–
NKLANikola CorpCOM26,349$366.0K<0.1%History
GS Acquisition Hldgs Corp II36258Q105COM CL A33,897$354.0K<0.1%–
First Tr Sr Floating Rate 2033740K101COM SHS37,482$353.0K<0.1%–
HONEHarborOne Bancorp, Inc.COM NEW24,797$334.0K<0.1%History
PLNTPlanet Fitness, Inc.CL A4,248$328.0K<0.1%History
Forest Road Acquisition Corp34619R102COM29,700$301.0K<0.1%–
Innovator ETFs Trust45782C839US EQT ULTRA BF11,135$298.0K<0.1%–
iShares Tr464288117INTL TREA BD ETF5,739$298.0K<0.1%–
LPROOpen Lending CorpCOM8,250$292.0K<0.1%History
Hudson Executive Invt Corp443761101COM CL A29,000$288.0K<0.1%–
CGNXCognex CorpCOM3,279$272.0K<0.1%History
CARAvis Budget Group, Inc.COM3,731$271.0K<0.1%History
VIEWView, Inc.COM CL A36,100$267.0K<0.1%History
FLEXFlex Ltd.Stock14,485$265.0K<0.1%History
JACKJack in the Box IncCOM2,221$244.0K<0.1%History
GANGAN LtdORD SHS13,300$242.0K<0.1%History
CWHCamping World Holdings, Inc.CL A6,469$235.0K<0.1%History
Nuveen Corporate Incm Noveme67077N106COM24,600$231.0K<0.1%–
Ftac Olympus Acquisition CorG37288100CL A SHS20,700$219.0K<0.1%–
WDFCWD 40 CoCOM698$214.0K<0.1%History
MSTRStrategy IncStock312$212.0K<0.1%History
JWNNordstrom IncStock5,578$211.0K<0.1%History
SPDR Ser Tr78468R655S&P KENSHO CLEAN1,838$210.0K<0.1%–
TMBRTrex Wind-Down, Inc.COM102,128$207.0K<0.1%History
RNGRingCentral, Inc.CL A681$203.0K<0.1%History
Nushares ETF Tr67092P607NUVEEN ESG SMLCP4,700$202.0K<0.1%–
Nuveen CR Opportunities 202267075U102COM23,775$199.0K<0.1%–
DPCM Cap Inc23344P101COM CL A20,000$197.0K<0.1%–
APTXAptinyx Inc.COM60,000$180.0K<0.1%History
ZOMDFZomedica Corp.COM109,500$173.0K<0.1%History
OUSTOuster, Inc.COM17,200$146.0K<0.1%History
ALDXAldeyra Therapeutics, Inc.COM11,188$133.0K<0.1%History
Forum Merger III Corp349885103COM CL A13,100$131.0K<0.1%–
Soaring Eagle Acquisition CoG8354H100UNIT 02/23/202611,400$115.0K<0.1%–
China Jo-Jo Drugstores Inc16949A206COM NEW100,000$112.0K<0.1%–
Nextgen Acquisition CorpG65305107CL A11,300$112.0K<0.1%–
HYLNHyliion Holdings Corp.COMMON STOCK10,250$109.0K<0.1%History
Thoma Bravo AdvantageG88272102COM CL A10,000$105.0K<0.1%–
EMBJEmbraer S.A.ADR10,120$101.0K<0.1%History
FTITechnipFMC plcCOM11,011$85.0K<0.1%History
WWRWestwater Resources, Inc.COM NEW13,000$70.0K<0.1%History
NTBLNotable Labs, Ltd.COM32,800$66.0K<0.1%History
Hyperscale Data, Inc.05150X104COM12,600$41.0K<0.1%–
GALTGalectin Therapeutics IncCOM NEW16,006$35.0K<0.1%History
VCNXVaccinex, Inc.COM10,500$31.0K<0.1%History
Onconova Therapeutics Inc68232V405COM PAR13,000$13.0K<0.1%–
Gabelli Util Tr36240A168RIGHT 04/14/202110,066$1.00K<0.1%–