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Livermore
Livermore
ZHEN

Cetera Advisor Networks LLC

SEC CIK
0001534468
Latest filing
May 24, 2024

Holdings in Q4 2021

Holdings as of Dec 31, 2021, filed Feb 14, 2022. Long positions only; changes compare share counts with Q3 2021.

Institution overview
Positions
2,024
+79 vs. Q3 2021
Portfolio value
$8.17B
+$776.6M (+10.5%) vs. Q3 2021
Filed
Feb 14, 2022
SEC
Holdings of Cetera Advisor Networks LLC in Q4 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
CWBRCohBar, Inc.COM14,020$5.00K<0.1%+14,020NewHistory
TYMETyme Technologies, Inc.COM16,600$10.0K<0.1%−600−3.5%ReducedHistory
AMPEAmpio Pharmaceuticals, Inc.COM20,000$11.0K<0.1%00.0%UnchangedHistory
RENORenovare Environmental, Inc.COM17,300$12.0K<0.1%−15,000−46.4%ReducedHistory
Hyperscale Data, Inc.09175M101COM10,800$13.0K<0.1%+10,800New–
NBEVNewAge, Inc.COM13,580$14.0K<0.1%+13,580NewHistory
MUXMcEwen Inc.COM16,545$15.0K<0.1%+3,000+22.1%AddedHistory
SRGASurgalign Holdings, Inc.COM29,400$21.0K<0.1%+29,400NewHistory
Polymet MNG Corp731916409COM NEW11,001$28.0K<0.1%+11,001New–
ZOMDFZomedica Corp.COM94,000$29.0K<0.1%00.0%UnchangedHistory
DHFBNY Mellon High Yield Strategies FundSH BEN INT10,300$32.0K<0.1%00.0%UnchangedHistory
AGENAgenus IncCOM NEW10,000$32.0K<0.1%+10,000NewHistory
AKTXAkari Therapeutics PlcSPONSORED ADR21,000$32.0K<0.1%+21,000NewHistory
Beachbody Company, Inc.073463101COM CL A13,555$32.0K<0.1%−831−5.8%Reduced–
PETVPetVivo Holdings, Inc.COM10,000$38.0K<0.1%00.0%UnchangedHistory
SQFTPresidio Property Trust, Inc.COM CL A10,103$39.0K<0.1%−4,367−30.2%ReducedHistory
VBIVVBI Vaccines Inc/BCCOM NEW18,315$43.0K<0.1%+1,000+5.8%AddedHistory
TRVGtrivago N.V.SPON ADS A SHS20,181$44.0K<0.1%−19,819−49.5%ReducedHistory
SENSSenseonics Holdings, Inc.COM19,300$52.0K<0.1%+500+2.7%AddedHistory
TELLTellurian Inc.COM16,804$52.0K<0.1%+16,804NewHistory
AQMSAqua Metals, Inc.COM43,000$53.0K<0.1%00.0%UnchangedHistory
HYREHC Liquidating, Inc.COM11,350$53.0K<0.1%+1,000+9.7%AddedHistory
BBIGVinco Ventures, Inc.COM22,200$53.0K<0.1%+8,200+58.6%AddedHistory
CLOVClover Health Investments, Corp.COM CL A14,522$54.0K<0.1%−19,928−57.8%ReducedHistory
OPKOpko Health, Inc.COM11,336$55.0K<0.1%00.0%UnchangedHistory
SABASaba Capital Income & Opportunities Fund IICOM11,018$57.0K<0.1%−10,258−48.2%ReducedHistory
VLDRVelodyne Lidar, Inc.COM12,198$57.0K<0.1%−2,667−17.9%ReducedHistory
Affimed N VN01045108COM10,300$57.0K<0.1%+10,300New–
IVRInvesco Mortgage Capital Inc.COM22,060$61.0K<0.1%+1,050+5.0%AddedHistory
VRAYViewRay, Inc.COM11,100$61.0K<0.1%00.0%UnchangedHistory
HIOWestern Asset High Income Opportunity Fund Inc.COM12,173$63.0K<0.1%−4,407−26.6%ReducedHistory
SANBanco Santander, S.A.ADR19,314$64.0K<0.1%−6,544−25.3%ReducedHistory
ESPREsperion Therapeutics, Inc.COM12,925$65.0K<0.1%−100−0.8%ReducedHistory
HLHecla Mining CoCOM12,813$67.0K<0.1%+500+4.1%AddedHistory
MVSTMicrovast Holdings, Inc.COM12,060$68.0K<0.1%−390−3.1%ReducedHistory
Prospect Cap Corp74348TAR3NOTE 4.950% 7/167,000$68.0K<0.1%−40,000−37.4%Reduced–
BTGB2GOLD CorpCOM17,500$69.0K<0.1%+3,500+25.0%AddedHistory
New York Mtg Tr Inc649604AD7NOTE 6.250% 1/168,750$69.0K<0.1%00.0%Unchanged–
RIGTransocean Ltd.REGISTERED SHS25,820$71.0K<0.1%+10,777+71.6%AddedHistory
POWWOutdoor Holding CoCOM13,240$72.0K<0.1%+13,240NewHistory
MESOMesoblast LtdSPONS ADR15,000$72.0K<0.1%−21,500−58.9%ReducedHistory
OCSLOaktree Specialty Lending CorpCOM10,155$76.0K<0.1%+10,155NewHistory
UUUUEnergy Fuels IncCOM NEW10,135$78.0K<0.1%−7,650−43.0%ReducedHistory
MVISMicrovision, Inc.COM NEW15,763$79.0K<0.1%+4,500+40.0%AddedHistory
Prospect Cap Corp74348TAT9NOTE 6.375% 3/075,000$82.0K<0.1%00.0%Unchanged–
SRNESorrento Therapeutics, Inc.COM NEW17,655$82.0K<0.1%+17,655NewHistory
BGYBlackRock Enhanced International Dividend TrustCOM BENE INTER13,445$84.0K<0.1%+2,400+21.7%AddedHistory
EXKEndeavour Silver CorpCOM19,968$84.0K<0.1%−1,740−8.0%ReducedHistory
ALTOAlto Ingredients, Inc.COM17,629$85.0K<0.1%+17,629NewHistory
ALDXAldeyra Therapeutics, Inc.COM21,426$86.0K<0.1%+21,426NewHistory
KULRKULR Technology Group, Inc.Common Stock31,000$86.0K<0.1%+31,000NewHistory
Atech (Parent) Resolution Corp.00973N102COM13,325$89.0K<0.1%+1,938+17.0%Added–
CNSLConsolidated Communications Holdings, Inc.COM11,939$89.0K<0.1%−400−3.2%ReducedHistory
First Tr MLP & Energy Incom33739B104COM12,343$89.0K<0.1%+61+0.5%Added–
Adamas Trust, Inc.649604501COM PAR $.0223,811$89.0K<0.1%−6,457−21.3%Reduced–
OXSQOxford Square Capital Corp.COM22,119$90.0K<0.1%00.0%UnchangedHistory
RDWRedwire CorpStock13,641$92.0K<0.1%+13,641NewHistory
NRONeuberger Real Estate Securities Income Fund IncCOM17,496$92.0K<0.1%+1,621+10.2%AddedHistory
ACBAurora Cannabis IncCOM16,962$92.0K<0.1%−13,227−43.8%ReducedHistory
VXRTVaxart, Inc.COM NEW14,900$93.0K<0.1%−1,300−8.0%ReducedHistory
EODAllspring Global Dividend Opportunity FundCOM16,286$96.0K<0.1%+67+0.4%AddedHistory
Golden Ocean Group LtdG39637205SHS NEW10,278$96.0K<0.1%−3,268−24.1%Reduced–
MOMOHello Group Inc.ADS10,794$97.0K<0.1%−5,935−35.5%ReducedHistory
AVDLAvadel Pharmaceuticals PLCSPONSORED ADR11,970$97.0K<0.1%+1,444+13.7%AddedHistory
CXWCoreCivic, Inc.COM10,048$100.0K<0.1%+10,048NewHistory
GUTGabelli Utility TrustCOM12,267$101.0K<0.1%−170−1.4%ReducedHistory
SBIWestern Asset Intermediate Muni Fund Inc.COM10,615$102.0K<0.1%+35+0.3%AddedHistory
PTRAQProterra IncCOM11,838$105.0K<0.1%+1,688+16.6%AddedHistory
FCELFuelcell Energy IncCOM20,646$107.0K<0.1%+7,208+53.6%AddedHistory
PAAPlains All American Pipeline LPUNIT LTD PARTN11,647$109.0K<0.1%−50−0.4%ReducedHistory
MFMAberdeen Municipal Income FundSH BEN INT15,715$110.0K<0.1%00.0%UnchangedHistory
MVFBlackRock Munivest Fund, Inc.COM11,803$113.0K<0.1%00.0%UnchangedHistory
IQiQIYI, Inc.SPONSORED ADS25,037$114.0K<0.1%+25,037NewHistory
IRWDIronwood Pharmaceuticals IncCOM CL A10,128$118.0K<0.1%+10,128NewHistory
AXGNAxogen, Inc.COM12,685$119.0K<0.1%00.0%UnchangedHistory
NNYNuveen New York Municipal Value FundCOM12,103$119.0K<0.1%−5,397−30.8%ReducedHistory
BCXBlackRock Resources & Commodities Strategy TrustSHS12,821$120.0K<0.1%+12,821NewHistory
HTYJohn Hancock Tax-Advantaged Global Shareholder Yield FundTAX ADV GLB SH18,450$120.0K<0.1%00.0%UnchangedHistory
ETJEaton Vance Risk-Managed Diversified Equity Income FundCOM11,324$121.0K<0.1%+11,324NewHistory
SDCSmileDirectClub, Inc.CL A COM53,022$125.0K<0.1%+9,033+20.5%AddedHistory
IAGIamgold CorpCOM41,000$128.0K<0.1%00.0%UnchangedHistory
SELFGlobal Self Storage, Inc.COM22,709$129.0K<0.1%00.0%UnchangedHistory
SLIStandard Lithium Ltd.COM14,891$130.0K<0.1%+14,891NewHistory
LOGCContextLogic Inc.COM CL A41,825$130.0K<0.1%−17,625−29.6%ReducedHistory
INSGInseego Corp.COM22,338$130.0K<0.1%−3,152−12.4%ReducedHistory
Ironsource LtdM5R75Y101CL A ORD SHS17,100$132.0K<0.1%00.0%Unchanged–
SHLXShell Midstream Partners, L.P.UNIT LTD INT11,611$134.0K<0.1%−8,539−42.4%ReducedHistory
DMDesktop Metal, Inc.COM CL A27,269$135.0K<0.1%−15,452−36.2%ReducedHistory
CPRXCatalyst Pharmaceuticals, Inc.COM20,046$136.0K<0.1%+20,046NewHistory
AAOIApplied Optoelectronics, Inc.COM26,835$138.0K<0.1%−10,394−27.9%ReducedHistory
IQIInvesco Quality Municipal Income TrustCOM10,252$139.0K<0.1%00.0%UnchangedHistory
IDEVoya Infrastructure, Industrials & Materials FundCOM11,477$139.0K<0.1%+77+0.7%AddedHistory
FMYFirst Trust Mortgage Income FundCOM SHS10,338$141.0K<0.1%+10,338NewHistory
MHIPioneer Municipal High Income Fund, Inc.COM SHS11,502$141.0K<0.1%+11,502NewHistory
RITMRithm Capital Corp.REIT13,419$144.0K<0.1%−5,015−27.2%ReducedHistory
ICLICL Group Ltd.SHS15,168$147.0K<0.1%+15,168NewHistory
NANNuveen New York Quality Municipal Income FundCOM10,086$149.0K<0.1%−1,100−9.8%ReducedHistory
BKTBlackRock Income Trust, Inc.COM26,346$149.0K<0.1%00.0%UnchangedHistory
AMAntero Midstream CorpStock15,689$152.0K<0.1%+320+2.1%AddedHistory
VALEVale S.A.SPONSORED ADS10,817$152.0K<0.1%−4,588−29.8%ReducedHistory

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 Advisor Networks LLC in Q4 2021
SecurityClassPutsCalls
TTDTrade Desk, Inc.Stock–$42.0K
SPYSPDR S&P 500 ETF TrustETF$26.0K$6.00K
XYZBlock, Inc.CL A–$8.00K
AAPLApple Inc.Stock–$4.00K
LUVSouthwest Airlines CoCOM–$3.00K
Yamana Gold Inc98462Y100COM–$3.00K
AGFirst Majestic Silver CorpCOM–$2.00K
AALAmerican Airlines Group Inc.Stock–$1.00K

Sold out since Q3 2021 (145)

Positions held at the end of Q3 2021 that are gone from this filing.

The largest 100 of 145 by value last quarter.

Positions of Cetera Advisor Networks LLC sold out since Q3 2021
SecurityClassShares in Q3 2021Value in Q3 2021% of portfolio in Q3 2021History
Global X FDS37954Y574ADAPTIVE US544,495$16.2M0.2%–
Managed Portfolio Series46143U849KNWLDL LD ETF287,006$13.4M0.2%–
JQCNuveen Credit Strategies Income FundCOM SHS481,015$3.15M<0.1%History
MCFContango Oil & Gas CoCOM NEW658,013$3.01M<0.1%History
SPDR Series Trust78468R747ST STR MSCI GEN28,205$2.85M<0.1%–
Invesco Actively Managed Exc46090A804TOTAL RETURN27,734$1.57M<0.1%–
iShares Inc464286608MSCI EURZONE ETF30,928$1.49M<0.1%–
Simplify Exchange Traded Fun82889N202US EQT PLS DWNSD43,627$1.33M<0.1%–
ProShares Tr74347B508DJ BRKFLD GLB29,097$1.31M<0.1%–
UNGUnited States Natural Gas Fund, LPUNIT PAR64,571$1.30M<0.1%History
BOCHBank of Commerce HoldingsCOM75,264$1.14M<0.1%History
BKRBaker Hughes CoCL A42,460$1.05M<0.1%History
Invesco Exch Traded FD Tr II46138E412RUSEL 1000 LOW25,484$991.0K<0.1%–
APOApollo Global Management, Inc.COM CL A15,961$983.0K<0.1%History
Goldman Sachs ETF Tr381430230ULTR SHOR BD ETF18,906$958.0K<0.1%–
SPDR Series Trust78464A714ST STR SP RETAIL10,201$921.0K<0.1%–
TXTernium S.A.SPONSORED ADS20,351$861.0K<0.1%History
Innovator ETFs Tr II45783G102LADRD FD S&P 50024,305$848.0K<0.1%–
PCIPIMCO Dynamic Credit & Mortgage Income FundCOM SHS40,026$846.0K<0.1%History
DLOdLocal LtdCLASS A COM13,950$761.0K<0.1%History
AAWWAtlas Air Worldwide Holdings IncCOM NEW8,677$709.0K<0.1%History
Invesco Exch TRD SLF Idx FD46138J619RUSL 1000 DYNM15,134$701.0K<0.1%–
Victory Portfolios II92647N873VCSHS US SMCP HG11,941$686.0K<0.1%–
Vanguard Wellington FD921935607US MULTIFACTOR6,708$668.0K<0.1%–
Invesco Exchange Traded FD T46137V183S&P SML 600 EQ7,009$567.0K<0.1%–
Nuveen Diversified Divid & I6706EP105COM54,697$567.0K<0.1%–
JMIAJumia Technologies AGSPONSORED ADS28,220$525.0K<0.1%History
Goldman Sachs ETF Tr381430438EQUAL WEIGHT US7,716$516.0K<0.1%–
Invesco Exch Traded FD Tr II46138E495PURBTA 0 5 YR18,927$502.0K<0.1%–
CTXSCitrix Systems IncCOM4,636$498.0K<0.1%History
FRTFederal Realty Investment TrustSH BEN INT NEW4,090$483.0K<0.1%History
BSCLBILI Social International, Inc.BULSHS 2021 CB21,733$458.0K<0.1%History
Triterras IncG9103H102SHS CL A76,550$448.0K<0.1%–
MTZMastec IncCOM4,875$421.0K<0.1%History
Invesco Exchange Traded FD T46137V548INTL DIVI ACHI23,402$411.0K<0.1%–
PLBCPlumas BancorpCOM12,150$384.0K<0.1%History
SPDR Index Shs FDS78463X848ST STR ACWI ETF12,708$368.0K<0.1%–
EDITEditas Medicine, Inc.COM8,667$356.0K<0.1%History
MAINMain Street Capital CORPCEF8,625$354.0K<0.1%History
GEOGeo Group IncCOM46,833$350.0K<0.1%History
First Tr Exchange-Traded FD33735T109COMMON SHS24,900$346.0K<0.1%–
DISHDISH Network CORPCL A7,941$345.0K<0.1%History
Janus Detroit STR Tr47103U100HENDERSN CAP ETF5,192$337.0K<0.1%–
FVRRFiverr International Ltd.ORD SHS1,838$336.0K<0.1%History
WisdomTree Tr97717W869EUROPE SMCP DV4,619$332.0K<0.1%–
Invesco Exchange Traded FD T46137V845DORSEY WRGT INDS3,313$329.0K<0.1%–
ProShares Tr74347G804K1 FRE CRD OIL5,540$327.0K<0.1%–
LMNDLemonade, Inc.Stock4,800$322.0K<0.1%History
MCYMercury General CorpCOM5,749$320.0K<0.1%History
PAGSPagSeguro Digital Ltd.COM CL A6,110$316.0K<0.1%History
iShares Tr46435U135CYBERSECURITY7,044$306.0K<0.1%–
Invesco Actively Managed ETF46090C305EMGRING MKTS506,281$304.0K<0.1%–
SPHRSphere Entertainment Co.CL A4,149$302.0K<0.1%History
RCKTRocket Pharmaceuticals, Inc.COM10,095$302.0K<0.1%History
FLYYSpirit Aviation Holdings, Inc.COM11,504$298.0K<0.1%History
SANMSanmina CorpCOM7,647$295.0K<0.1%History
iShares Inc464286145MSCI FRONTIER8,667$294.0K<0.1%–
iShares Tr46434VBK5IBONDS DEC21 ETF11,857$293.0K<0.1%–
HAEHaemonetics CorpCOM3,997$282.0K<0.1%History
Innovator ETFs Tr II45783G201S&P INVSTMNT GRD11,649$281.0K<0.1%–
THFFFirst Financial CorpStock6,668$280.0K<0.1%History
CoreSite Realty Corp21870Q105COM2,022$280.0K<0.1%–
VERVEREIT, Inc.COM6,060$274.0K<0.1%History
Innovator ETFs Tr45783Y608GROWTH ACCELERAT9,585$272.0K<0.1%–
Invesco Exchange Traded FD T46137V449S&P 100 EQL WIGH3,390$271.0K<0.1%–
BBBY20230930-DK-Butterfly-1, Inc.COM15,550$269.0K<0.1%History
NNOXNano-X Imaging Ltd.ORD SHS11,600$261.0K<0.1%History
PFDFlaherty & Crumrine Preferred & Income Fund IncCOM16,549$261.0K<0.1%History
GRWGGrowGeneration Corp.COM10,559$260.0K<0.1%History
CXPColumbia Property Trust, Inc.COM NEW13,624$259.0K<0.1%History
Ssga Active ETF Tr78467V400GLOBL ALLO ETF5,692$259.0K<0.1%–
FSLYFastly, Inc.CL A6,384$258.0K<0.1%History
MTCHMatch Group, Inc.COM1,616$254.0K<0.1%History
VSTOVista Outdoor Inc.COM6,252$252.0K<0.1%History
iShares Tr46435G789IBONDS DEC20219,795$251.0K<0.1%–
KSUKansas City SouthernCOM NEW928$251.0K<0.1%History
BMBLBumble Inc.COM CL A4,916$246.0K<0.1%History
CMOCapstead Mortgage CorpCOM NO PAR36,761$246.0K<0.1%History
NSANational Storage Affiliates TrustCOM SHS BEN IN4,550$240.0K<0.1%History
BYNDBeyond Meat, Inc.COM2,247$237.0K<0.1%History
Genius Sports LtdG3934V117COM33,000$236.0K<0.1%–
NHINational Health Investors IncCOM4,331$232.0K<0.1%History
Innovator ETFs Trust45782C755US EQTY BUFR JUN7,074$232.0K<0.1%–
ERICEricsson LM Telephone CoADR B SEK 1020,652$231.0K<0.1%History
NYTNew York Times CoCL A4,630$228.0K<0.1%History
RHPRyman Hospitality Properties, Inc.COM2,716$227.0K<0.1%History
First Tr Exchng Traded FD VI33740F656FT VEST INTE10,607$226.0K<0.1%–
UAAUnder Armour, Inc.Stock11,164$225.0K<0.1%History
RNGRingCentral, Inc.CL A1,022$222.0K<0.1%History
FOXAFox CorpCL A COM5,520$221.0K<0.1%History
Guggenheim Enhanced Equity I40167B100COM23,525$218.0K<0.1%–
GRMNGarmin LtdSHS1,381$215.0K<0.1%History
TDCTeradata CorpStock3,702$212.0K<0.1%History
SVF Investment Corp.G8601L102CL A SHS21,750$212.0K<0.1%–
Victory Portfolios II92647N691VICTORYSHS US5,519$211.0K<0.1%–
AIC3.ai, Inc.Stock4,531$210.0K<0.1%History
OLEDUniversal Display CorpCOM1,221$209.0K<0.1%History
HPSJohn Hancock Preferred Income Fund IIICOM11,105$208.0K<0.1%History
TCMDTactile Systems Technology IncCOM4,666$207.0K<0.1%History
ADER26 Capital Acquisition Corp.COM CL A21,200$206.0K<0.1%History