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Livermore
Livermore
ZHEN

Cetera Advisor Networks LLC

SEC CIK
0001534468
Latest filing
May 24, 2024

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Nov 16, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
1,945
+61 vs. Q2 2021
Portfolio value
$7.39B
+$299.1M (+4.2%) vs. Q2 2021
Filed
Nov 16, 2021
SEC
Holdings of Cetera Advisor Networks LLC in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
Angel Oak Finl Strategies IN03464A118RIGHT 10/14/202111,108$2.00K<0.1%+11,108New–
CARMCarisma Therapeutics Inc.COM14,800$12.0K<0.1%+14,800NewHistory
MUXMcEwen Inc.COM13,545$14.0K<0.1%+1,750+14.8%AddedHistory
TYMETyme Technologies, Inc.COM17,200$18.0K<0.1%00.0%UnchangedHistory
CNVSCineverse Corp.COM NEW10,000$25.0K<0.1%00.0%UnchangedHistory
PETVPetVivo Holdings, Inc.COM10,000$27.0K<0.1%+10,000NewHistory
ABEVAmbev S.A.SPONSORED ADR10,508$29.0K<0.1%+10,508NewHistory
CTXRCitius Pharmaceuticals, Inc.COM NEW15,000$30.0K<0.1%+1,000+7.1%AddedHistory
DHFBNY Mellon High Yield Strategies FundSH BEN INT10,300$33.0K<0.1%+10,300NewHistory
AMPEAmpio Pharmaceuticals, Inc.COM20,000$33.0K<0.1%+10,000+100.0%AddedHistory
OPKOpko Health, Inc.COM11,336$41.0K<0.1%−2,201−16.3%ReducedHistory
RENORenovare Environmental, Inc.COM32,300$45.0K<0.1%00.0%UnchangedHistory
BTGB2GOLD CorpCOM14,000$48.0K<0.1%00.0%UnchangedHistory
ZOMDFZomedica Corp.COM94,000$49.0K<0.1%+94,000NewHistory
ENDPEndo International plcSHS16,000$52.0K<0.1%+4,000+33.3%AddedHistory
VBIVVBI Vaccines Inc/BCCOM NEW17,315$54.0K<0.1%−500−2.8%ReducedHistory
SQFTPresidio Property Trust, Inc.COM CL A14,470$55.0K<0.1%+14,470NewHistory
TESSTessco Technologies IncCOM10,074$56.0K<0.1%+10,074NewHistory
RIGTransocean Ltd.REGISTERED SHS15,043$57.0K<0.1%+15,043NewHistory
AAICArlington Asset Investment Corp.CL A NEW15,300$57.0K<0.1%00.0%UnchangedHistory
CRONCronos Group Inc.COM10,171$58.0K<0.1%+100+1.0%AddedHistory
ROOTRoot, Inc.COM CL A11,500$61.0K<0.1%−10,532−47.8%ReducedHistory
SENSSenseonics Holdings, Inc.COM18,800$64.0K<0.1%+18,800NewHistory
MACKMerrimack Pharmaceuticals IncCOM NEW13,400$65.0K<0.1%00.0%UnchangedHistory
IVRInvesco Mortgage Capital Inc.COM21,010$66.0K<0.1%+45+0.2%AddedHistory
HLHecla Mining CoCOM12,313$68.0K<0.1%+1,600+14.9%AddedHistory
BGYBlackRock Enhanced International Dividend TrustCOM BENE INTER11,045$68.0K<0.1%+11,045NewHistory
New York Mtg Tr Inc649604AD7NOTE 6.250% 1/168,750$69.0K<0.1%00.0%Unchanged–
Camber Energy Inc13200M508COM18,946$72.0K<0.1%+18,946New–
NRONeuberger Real Estate Securities Income Fund IncCOM15,875$76.0K<0.1%+15,875NewHistory
SBSCompanhia de Saneamento Basico Do Estado de Sao Paulo-SabespSPONSORED ADR11,200$79.0K<0.1%+11,200NewHistory
APTAlpha Pro Tech LtdCOM11,700$79.0K<0.1%+11,700NewHistory
SPRUSpruce Power Holding CorpCOM CL A12,900$79.0K<0.1%−10,900−45.8%ReducedHistory
VRAYViewRay, Inc.COM11,100$80.0K<0.1%00.0%UnchangedHistory
Beachbody Company, Inc.073463101COM CL A14,386$80.0K<0.1%00.0%Unchanged–
Prospect Cap Corp74348TAT9NOTE 6.375% 3/075,000$81.0K<0.1%00.0%Unchanged–
PPTAPerpetua Resources Corp.COM17,108$85.0K<0.1%+17,108NewHistory
HIOWestern Asset High Income Opportunity Fund Inc.COM16,580$86.0K<0.1%−6,064−26.8%ReducedHistory
First Tr MLP & Energy Incom33739B104COM12,282$88.0K<0.1%+60+0.5%Added–
HYREHC Liquidating, Inc.COM10,350$88.0K<0.1%+10,350NewHistory
VLDRVelodyne Lidar, Inc.COM14,865$88.0K<0.1%−5,748−27.9%ReducedHistory
AQMSAqua Metals, Inc.COM43,000$89.0K<0.1%00.0%UnchangedHistory
EXKEndeavour Silver CorpCOM21,708$89.0K<0.1%+250+1.2%AddedHistory
EODAllspring Global Dividend Opportunity FundCOM16,219$90.0K<0.1%+67+0.4%AddedHistory
FCELFuelcell Energy IncCOM13,438$90.0K<0.1%+3,867+40.4%AddedHistory
OXSQOxford Square Capital Corp.COM22,119$90.0K<0.1%+1,401+6.8%AddedHistory
BBIGVinco Ventures, Inc.COM14,000$90.0K<0.1%+14,000NewHistory
IAGIamgold CorpCOM41,000$93.0K<0.1%+28,500+228.0%AddedHistory
SANBanco Santander, S.A.ADR25,858$94.0K<0.1%+1,515+6.2%AddedHistory
GUTGabelli Utility TrustCOM12,437$98.0K<0.1%+550+4.6%AddedHistory
TRVGtrivago N.V.SPON ADS A SHS40,000$99.0K<0.1%+20,000+100.0%AddedHistory
Global X FDS37954Y426CANNABIS ETF11,316$101.0K<0.1%+650+6.1%Added–
PCGPG&E CorpStock10,655$102.0K<0.1%+10,655NewHistory
MVSTMicrovast Holdings, Inc.COM12,450$102.0K<0.1%+12,450NewHistory
SBIWestern Asset Intermediate Muni Fund Inc.COM10,580$103.0K<0.1%−6,666−38.7%ReducedHistory
AVDLAvadel Pharmaceuticals PLCSPONSORED ADR10,526$103.0K<0.1%+10,526NewHistory
PTRAQProterra IncCOM10,150$103.0K<0.1%+10,150NewHistory
PBIPitney Bowes IncCOM14,550$105.0K<0.1%−200−1.4%ReducedHistory
MFMAberdeen Municipal Income FundSH BEN INT15,715$110.0K<0.1%+638+4.2%AddedHistory
Atech (Parent) Resolution Corp.00973N102COM11,387$110.0K<0.1%+825+7.8%Added–
Prospect Cap Corp74348TAR3NOTE 4.950% 7/1107,000$110.0K<0.1%00.0%Unchanged–
MVFBlackRock Munivest Fund, Inc.COM11,803$112.0K<0.1%+30.0%AddedHistory
CNSLConsolidated Communications Holdings, Inc.COM12,339$113.0K<0.1%−1,600−11.5%ReducedHistory
LSEALandsea Homes CorpCOM13,000$113.0K<0.1%−37,900−74.5%ReducedHistory
PRTYParty City Holdco Inc.COM16,000$114.0K<0.1%+16,000NewHistory
PCKPIMCO California Municipal Income Fund IICOM11,850$114.0K<0.1%00.0%UnchangedHistory
SABASaba Capital Income & Opportunities Fund IICOM21,276$114.0K<0.1%+2,469+13.1%AddedHistory
CGENCompugen LtdORD19,400$116.0K<0.1%+3,000+18.3%AddedHistory
SELFGlobal Self Storage, Inc.COM22,709$117.0K<0.1%00.0%UnchangedHistory
ZVRAZevra Therapeutics, Inc.COM NEW12,500$117.0K<0.1%−400−3.1%ReducedHistory
PAAPlains All American Pipeline LPUNIT LTD PARTN11,697$119.0K<0.1%+925+8.6%AddedHistory
BOEBlackRock Enhanced Global Dividend TrustCOM10,258$120.0K<0.1%+10,258NewHistory
HTYJohn Hancock Tax-Advantaged Global Shareholder Yield FundTAX ADV GLB SH18,450$121.0K<0.1%−800−4.2%ReducedHistory
WKHSWorkhorse Group Inc.COM NEW16,045$123.0K<0.1%+16,045NewHistory
UUUUEnergy Fuels IncCOM NEW17,785$124.0K<0.1%−5,150−22.5%ReducedHistory
MVISMicrovision, Inc.COM NEW11,263$124.0K<0.1%+11,263NewHistory
Trident Acquisitions Corp89615T106COM10,700$124.0K<0.1%+10,700New–
Pretium Res Inc74139C102COM13,000$125.0K<0.1%+500+4.0%Added–
EGOEldorado Gold CorpCOM16,280$126.0K<0.1%+1,680+11.5%AddedHistory
NEXTNextDecade CorpCOM46,575$129.0K<0.1%−100−0.2%ReducedHistory
BFLYButterfly Network, Inc.COM CL A12,350$129.0K<0.1%+1,856+17.7%AddedHistory
Adamas Trust, Inc.649604501COM PAR $.0230,268$129.0K<0.1%−5,939−16.4%Reduced–
VXRTVaxart, Inc.COM NEW16,200$129.0K<0.1%+900+5.9%AddedHistory
IQIInvesco Quality Municipal Income TrustCOM10,252$135.0K<0.1%+10,252NewHistory
Arrow Invts Tr042765792DWA TACTICAL ETF10,388$137.0K<0.1%+10,388New–
Takung Art Ltd87407Q207COM NEW18,550$141.0K<0.1%+18,550New–
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT14,620$142.0K<0.1%+3,681+33.7%AddedHistory
Two Harbors Investment Corp.90187B408COM NEW22,533$143.0K<0.1%+574+2.6%Added–
IDEVoya Infrastructure, Industrials & Materials FundCOM11,400$143.0K<0.1%+11,400NewHistory
Golden Ocean Group LtdG39637205SHS NEW13,546$146.0K<0.1%+13,546New–
HEQJohn Hancock Diversified Income FundCOM11,915$150.0K<0.1%−15,585−56.7%ReducedHistory
COTYCoty Inc.COM CL A19,097$150.0K<0.1%−1,851−8.8%ReducedHistory
TLRYTilray Brands, Inc.COM CL 213,309$150.0K<0.1%+13,309NewHistory
EFTEaton Vance Floating-Rate Income TrustCOM10,350$151.0K<0.1%−3,040−22.7%ReducedHistory
ATERAterian, Inc.Equity14,100$153.0K<0.1%+14,100NewHistory
BTZBlackRock Credit Allocation Income TrustCOM10,198$154.0K<0.1%+10,198NewHistory
DNUTKrispy Kreme, Inc.COM11,000$154.0K<0.1%+11,000NewHistory
First Tr Energy Infrastrctr33738C103COM12,209$156.0K<0.1%+12,209New–
ESPREsperion Therapeutics, Inc.COM13,025$157.0K<0.1%+2,975+29.6%AddedHistory
PMXPIMCO Municipal Income Fund IIICOM12,509$157.0K<0.1%+7+0.1%AddedHistory

Options (7)

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 Q3 2021
SecurityClassPutsCalls
SPYSPDR S&P 500 ETF TrustETF$12.0K–
CCLCarnival Corp Ltd.UNIT 99/99/9999–$6.00K
Yamana Gold Inc98462Y100COM–$3.00K
AALAmerican Airlines Group Inc.Stock–$2.00K
iShares U.S. Medical Devices ETF464288810ETF–$1.00K
AAPLApple Inc.Stock–$1.00K
AGFirst Majestic Silver CorpCOM–$1.00K

Sold out since Q2 2021 (137)

Positions held at the end of Q2 2021 that are gone from this filing.

The largest 100 of 137 by value last quarter.

Positions of Cetera Advisor Networks LLC sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
Invesco Exchange Traded FD T46137V878DORSEY WRGT ENRG99,848$3.06M<0.1%–
Franklin ETF Tr353506108SHRT DUR US GOVT16,860$1.60M<0.1%–
ALXNAlexion Pharmaceuticals, Inc.COM7,761$1.43M<0.1%History
Innovator ETFs Tr45782C243INVTOR 2 PLS 546,579$1.09M<0.1%–
Churchill Capital Corp IV171439102CL A35,525$1.02M<0.1%–
Invesco Exchange Traded FD T46137V779BLDG CONSTR ETF17,682$876.0K<0.1%–
Northern LTS FD Tr IV66538H591MAIN SECTR ROTN20,757$855.0K<0.1%–
MAAMid America Apartment Communities Inc.COM4,976$838.0K<0.1%History
First Tr Exchange-Traded FD33736Q104UT COM SHS ETF13,157$727.0K<0.1%–
Pershing Square Tontine Hldg71531R109COM CL A31,260$711.0K<0.1%–
Invesco Exch Traded FD Tr II46138G201S&P SMLCP MATL10,953$706.0K<0.1%–
FIVEFive Below, IncCOM3,491$675.0K<0.1%History
Invesco Exchange Traded FD T46137V803DWA CYCLICALS7,090$662.0K<0.1%–
LKQLKQ CorpCOM13,395$659.0K<0.1%History
SUMSummit Materials, Inc.CL A17,520$611.0K<0.1%History
KNSAKiniksa Pharmaceuticals International, plcCOM CL A43,632$608.0K<0.1%History
SPRSpirit AeroSystems Holdings, Inc.COM CL A12,268$579.0K<0.1%History
SPDR Series Trust78464A540ST STR SP TELCO5,457$558.0K<0.1%–
Invesco Exchange Traded FD T46137V167S&P SML600 VAL5,688$540.0K<0.1%–
APPNAppian CorpCL A3,836$528.0K<0.1%History
MDXGMimedx Group, Inc.COM37,598$470.0K<0.1%History
IRBTiRobot CorpCOM4,828$451.0K<0.1%History
CM Life Sciences Inc18978W208UNIT 09/01/202528,100$443.0K<0.1%–
PRVBProvention Bio, Inc.COM51,451$434.0K<0.1%History
SFStifel Financial CorpCOM6,675$433.0K<0.1%History
GLPIGaming & Leisure Properties, Inc.COM9,208$427.0K<0.1%History
SPDR Series Trust78468R101ST SHO TREAS ETF13,916$426.0K<0.1%–
TPICQTpi Composites, IncCOM8,332$403.0K<0.1%History
MGIMoneygram International IncCOM NEW39,501$398.0K<0.1%History
MTNVail Resorts IncCOM1,248$395.0K<0.1%History
WORKSlack Technologies, Inc.COM CL A8,462$375.0K<0.1%History
LOGILogitech International S.A.SHS3,091$374.0K<0.1%History
Innovator ETFs Trust45782C326US EQTY BUFR MAY12,015$374.0K<0.1%–
DACDanaos CorpSHS4,850$372.0K<0.1%History
USCRU.S. Concrete, Inc.COM5,026$371.0K<0.1%History
HSKAHeska CorpCOM RESTRC NEW1,580$363.0K<0.1%History
SBSWSibanye Stillwater LtdSPONSORED ADR21,451$359.0K<0.1%History
TDGTransDigm Group INCCOM539$349.0K<0.1%History
DBAInvesco DB Agriculture FundAGRICULTURE FD18,505$344.0K<0.1%History
MNDTMandiant, Inc.COM16,995$344.0K<0.1%History
ProShares Tr74347B169ONLINE RTL ETF4,165$337.0K<0.1%–
USFDUS Foods Holding Corp.COM8,739$335.0K<0.1%History
MXIMMaxim Integrated Products IncCOM3,145$331.0K<0.1%History
TIGRUP Fintech Holding LtdSPONSORED ADS11,350$329.0K<0.1%History
CM Life Sciences Inc18978W109COM CL A23,500$329.0K<0.1%–
Goldman Sachs ETF Tr381430545HEDGE IND ETF3,145$320.0K<0.1%–
PACKRanpak Holdings Corp.COM CL A12,755$319.0K<0.1%History
RLIRli CorpCOM2,890$302.0K<0.1%History
Tuscan Hldgs Corp90069K104COM22,050$301.0K<0.1%–
Global X FDS37954Y830GLOBAL X COPPER8,060$299.0K<0.1%–
EHEHang Holdings LtdADS6,800$292.0K<0.1%History
iShares U S ETF Tr46431W838SHOR MAT MUN ETF5,774$290.0K<0.1%–
iShares Inc46434G822MSCI JAPAN ETF4,275$289.0K<0.1%–
SPDR Series Trust78464A789ST STR SP INS7,391$285.0K<0.1%–
INDIindie Semiconductor, Inc.CLASS A COM28,460$281.0K<0.1%History
Direxion Shares ETF Trust25459Y207NASDAQ 100 EQ WT3,290$275.0K<0.1%–
Clover Health Investments, Corp.18914F111*W EXP 04/21/20254,000$275.0K<0.1%–
YETIYETI Holdings, Inc.COM2,965$272.0K<0.1%History
ELANElanco Animal Health IncCOM7,846$272.0K<0.1%History
CLRContinental Resources, IncCOM7,115$271.0K<0.1%History
NVCRNovoCure LtdORD SHS1,210$268.0K<0.1%History
PFPTProofpoint IncCOM1,524$265.0K<0.1%History
BFZBlackRock California Municipal Income TrustSH BEN INT17,177$257.0K<0.1%History
STNEStoneCo Ltd.COM3,814$256.0K<0.1%History
EVMEaton Vance California Municipal Bond FundCOM21,160$253.0K<0.1%History
PZZAPapa Johns International IncStock2,413$252.0K<0.1%History
Fidelity Merrimack STR Tr316188309TOTAL BD ETF4,725$252.0K<0.1%–
Collaborative Investmnt Ser19423L672THE SPAC AND NEW8,625$251.0K<0.1%–
iShares Inc464286426MSCI EM ASIA ETF2,703$250.0K<0.1%–
SRPTSarepta Therapeutics, Inc.COM3,220$250.0K<0.1%History
CORECore-Mark Holding Company, LLCCOM5,539$249.0K<0.1%History
BKNBlackRock Investment Quality Municipal Trust, Inc.COM13,403$247.0K<0.1%History
CRSRCorsair Gaming, Inc.COM7,364$245.0K<0.1%History
SPDR Ser Tr78468R697S&P KENSHO INTLG5,120$245.0K<0.1%–
SIXSix Flags Entertainment CorpCOM5,628$244.0K<0.1%History
CTLTCatalent, Inc.COM2,251$243.0K<0.1%History
CPRICapri Holdings LtdSHS4,213$241.0K<0.1%History
Invesco Exch Traded FD Tr II46138E180S&P SMLCP DISC2,052$241.0K<0.1%–
LINDLindblad Expeditions Holdings, Inc.Stock15,000$240.0K<0.1%History
Kraneshares Tr500767827ELEC VEH FUTUR5,125$239.0K<0.1%–
TRTNTriton International LtdCL A4,567$239.0K<0.1%History
BROBrown & Brown, Inc.Stock4,439$236.0K<0.1%History
MTDMettler Toledo International IncCOM170$236.0K<0.1%History
SPDR Series Trust78464A383ST STR BACKE ETF9,119$236.0K<0.1%–
First Tr Exchng Traded FD VI33740F409INCOME OPPRTNTES9,198$234.0K<0.1%–
Health Assurn Acquisition Co42226W208UNIT 99/99/999922,500$234.0K<0.1%–
LTCLTC Properties IncREIT6,079$233.0K<0.1%History
IDCCInterDigital, Inc.COM3,167$231.0K<0.1%History
GPNGlobal Payments IncStock1,227$230.0K<0.1%History
Listed FD Tr53656F466MORGAN CREEK11,000$230.0K<0.1%–
NTESNetEase, Inc.SPONSORED ADS1,975$228.0K<0.1%History
SSDSimpson Manufacturing Co., Inc.COM2,055$227.0K<0.1%History
SIVRabrdn Silver ETF TrustPHYSCL SILVR SHS9,012$227.0K<0.1%History
CVACovanta Holding CorpCOM12,605$222.0K<0.1%History
EMEEMCOR Group, Inc.Stock1,783$220.0K<0.1%History
iShares Tr464287184CHINA LG-CAP ETF4,675$217.0K<0.1%–
Invesco Exchange Traded FD T46137V639AI AND NEXT GEN1,312$216.0K<0.1%–
MANManpowerGroup Inc.COM1,810$215.0K<0.1%History
UHTUniversal Health Realty Income TrustSH BEN INT3,483$214.0K<0.1%History
AGRAvangrid, Inc.COM4,164$214.0K<0.1%History