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Livermore
Livermore
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Cetera Advisors LLC

SEC CIK
0001534400
最新申報
2024/5/24

2021 年第 3 季持倉

持倉截至 2021/9/30，2021/11/16 申報。只含多頭部位，變化是跟 2021 年第 2 季比股數。

機構總覽
持股檔數
1,399
較 2021 年第 2 季 +87
總值
$51.4 億
較 2021 年第 2 季 +$9.15 億 (+21.7%)
申報日
2021/11/16
SEC
Cetera Advisors LLC 在 2021 年第 3 季的持倉
證券類別股數市值佔組合 %股數變化動作紀錄
Rivernorth Doubleline Strate76882G156RIGHT 10/01/2021129,132$1,000<0.1%+129,132新進–
LGL Group Inc50186A132*W EXP 11/16/20210,000$8,000<0.1%00.0%不變–
CARMCarisma Therapeutics Inc.COM11,000$9,000<0.1%+11,000新進歷史
MUXMcEwen Inc.COM12,423$1.30 萬<0.1%+20+0.2%加碼歷史
FRTXFresh Tracks Therapeutics, Inc.COM20,000$1.40 萬<0.1%+10,000+100.0%加碼歷史
eFFECTOR Therapeutics, Inc.28202V116*W EXP 12/31/20210,000$1.60 萬<0.1%+10,000新進–
GERNGeron CorpCOM12,230$1.70 萬<0.1%+12,230新進歷史
BIORBiora Therapeutics, Inc.COM12,000$1.80 萬<0.1%+12,000新進歷史
DRRXDurect CorpCOM15,000$1.90 萬<0.1%00.0%不變歷史
Supernus Pharmaceuticals, Inc.868459AD0NOTE 0.625% 4/020,000$2.00 萬<0.1%+20,000新進–
Cheesecake Factory Inc163072AA9NOTE 0.375% 6/126,000$2.50 萬<0.1%+26,000新進–
Hope Bancorp Inc43940TAB5NOTE 2.000% 5/126,000$2.60 萬<0.1%+26,000新進–
DFTXDefinium Therapeutics, Inc.COM11,300$2.60 萬<0.1%+11,300新進歷史
TCRTAlaunos Therapeutics, Inc.COM14,258$2.60 萬<0.1%+14,258新進歷史
APTOAptose Biosciences Inc.COM NEW12,368$2.70 萬<0.1%+2,027+19.6%加碼歷史
HIVEHIVE Digital Technologies Ltd.COM10,900$2.90 萬<0.1%+10,900新進歷史
Pacira BioSciences, Inc.695127AD2NOTE 2.375% 4/028,000$2.90 萬<0.1%+28,000新進–
REFRResearch Frontiers IncCOM13,820$3.50 萬<0.1%00.0%不變歷史
Vishay Intertechnology Inc928298AP3NOTE 2.250% 6/136,000$3.70 萬<0.1%+36,000新進–
WTERAlkaline Water Co IncCOM NEW23,826$3.80 萬<0.1%+23,826新進歷史
NPKINPK International Inc.COM SHS12,008$4.00 萬<0.1%+12,008新進歷史
LFTLument Finance Trust, Inc.COM10,695$4.20 萬<0.1%00.0%不變歷史
SANBanco Santander, S.A.ADR12,073$4.40 萬<0.1%−701−5.5%減碼歷史
Insight Enterprises Inc45765UAB9NOTE 0.750% 2/132,000$4.50 萬<0.1%+32,000新進–
SENSSenseonics Holdings, Inc.COM14,800$5.00 萬<0.1%+3,489+30.8%加碼歷史
KRMDKORU Medical Systems, Inc.COM17,919$5.10 萬<0.1%00.0%不變歷史
Pieris Pharmaceuticals Inc720795103COM10,100$5.20 萬<0.1%+10,100新進–
KOPNKopin CorpCOM10,254$5.30 萬<0.1%+10,254新進歷史
SMSISmith Micro Software, Inc.COM NEW11,100$5.40 萬<0.1%+11,100新進歷史
ASCArdmore Shipping CorpCOM13,305$5.50 萬<0.1%+1,250+10.4%加碼歷史
WPRTWestport Fuel Systems Inc.COM NEW17,059$5.60 萬<0.1%−1,528−8.2%減碼歷史
IOIon Geophysical CorpCOM NEW42,940$5.70 萬<0.1%+1,000+2.4%加碼歷史
Adamas Trust, Inc.649604501COM PAR $.0213,481$5.70 萬<0.1%00.0%不變–
HCI Group, Inc.40416EAD5NOTE 4.250% 3/032,000$5.80 萬<0.1%+32,000新進–
DHCDiversified Healthcare TrustCOM SH BEN INT17,404$5.90 萬<0.1%00.0%不變歷史
NCZVirtus Convertible & Income Fund IICOM11,704$6.10 萬<0.1%+11,704新進歷史
IAFAbrdn Australia Equity Fund, Inc.COM11,636$6.90 萬<0.1%+972+9.1%加碼歷史
TELLTellurian Inc.COM18,477$7.20 萬<0.1%+18,477新進歷史
NCVVirtus Convertible & Income FundCOM12,700$7.60 萬<0.1%−1,986−13.5%減碼歷史
INSGInseego Corp.COM12,701$8.50 萬<0.1%−644−4.8%減碼歷史
USALiberty All Star Equity FundSH BEN INT10,029$8.60 萬<0.1%+10,029新進歷史
TXMDTherapeuticsMD, Inc.COM116,300$8.60 萬<0.1%+38,450+49.4%加碼歷史
CXEMFS High Income Municipal TrustSH BEN INT17,350$9.10 萬<0.1%00.0%不變歷史
First Tr MLP & Energy Incom33739B104COM12,745$9.20 萬<0.1%+12,745新進–
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT24,924$9.30 萬<0.1%+5,793+30.3%加碼歷史
POWWOutdoor Holding CoCOM16,054$9.90 萬<0.1%+16,054新進歷史
EVFEaton Vance Senior Income TrustSH BEN INT14,500$10.2 萬<0.1%00.0%不變歷史
DHYUBS Asset Management High Yield Credit FundSH BEN INT41,928$10.4 萬<0.1%00.0%不變歷史
SOLEmeren Group LtdSPONSORED ADS15,773$10.4 萬<0.1%+1,310+9.1%加碼歷史
RESRPC IncCOM22,550$11.0 萬<0.1%00.0%不變歷史
ENLCEnLink Midstream, LLCCOM UNIT REP LTD16,440$11.2 萬<0.1%00.0%不變歷史
CRONCronos Group Inc.COM19,987$11.3 萬<0.1%+3,371+20.3%加碼歷史
FIRYFiry Inc.COM11,755$11.5 萬<0.1%+11,755新進歷史
PHKPIMCO High Income FundCOM SHS18,890$11.9 萬<0.1%00.0%不變歷史
APTSPreferred Apartment Communities IncCOM10,148$12.4 萬<0.1%+10,148新進歷史
IVRInvesco Mortgage Capital Inc.COM40,780$12.8 萬<0.1%+2,950+7.8%加碼歷史
CLNEClean Energy Fuels Corp.COM15,843$12.9 萬<0.1%+15,843新進歷史
BDJBlackRock Enhanced Equity Dividend TrustCOM13,844$13.6 萬<0.1%−657−4.5%減碼歷史
JPCNuveen Preferred & Income Opportunities FundCOM13,900$13.8 萬<0.1%+13,900新進歷史
LGLLGL Group IncCOM10,000$13.8 萬<0.1%00.0%不變歷史
MTUSMetallus Inc.COM10,695$14.0 萬<0.1%+10,695新進歷史
SIRISirius XM Holdings Inc.COM22,990$14.0 萬<0.1%+3,064+15.4%加碼歷史
EARNEllington Credit CoCOM SHS BEN INT12,765$14.2 萬<0.1%−275−2.1%減碼歷史
NRONeuberger Real Estate Securities Income Fund IncCOM29,570$14.2 萬<0.1%00.0%不變歷史
INDIindie Semiconductor, Inc.CLASS A COM11,700$14.4 萬<0.1%+1,200+11.4%加碼歷史
HNSTHonest Company, Inc.COM13,900$14.4 萬<0.1%+13,900新進歷史
DMFBNY Mellon Municipal Income, Inc.COM15,164$14.6 萬<0.1%00.0%不變歷史
JBLUJetBlue Airways CorpCOM10,128$15.5 萬<0.1%+10,128新進歷史
CCIFCarlyle Credit Income FundSHS BEN INT14,959$15.7 萬<0.1%−1,758−10.5%減碼歷史
BGXBlackstone Long-Short Credit Income FundCOM SHS BN INT10,498$15.9 萬<0.1%+107+1.0%加碼歷史
MQYBlackRock Muniyield Quality Fund, Inc.COM10,300$16.7 萬<0.1%+91+0.9%加碼歷史
TLRYTilray Brands, Inc.COM CL 214,762$16.7 萬<0.1%−1,571−9.6%減碼歷史
TOPSTop Ships Inc.COM113,057$16.7 萬<0.1%+13,627+13.7%加碼歷史
DPGDuff & Phelps Utility & Infrastructure Fund Inc.COM12,577$16.9 萬<0.1%+247+2.0%加碼歷史
BHKBlackRock Core Bond TrustSHS BEN INT10,252$17.0 萬<0.1%−1,598−13.5%減碼歷史
BXMXNuveen S&P 500 BuyWrite Income FundCOM11,970$17.0 萬<0.1%−240−2.0%減碼歷史
ISDPGIM High Yield Bond Fund, Inc.COM10,551$17.1 萬<0.1%+64+0.6%加碼歷史
XXII22nd Century Group, Inc.COM58,810$17.4 萬<0.1%+8,200+16.2%加碼歷史
AHRTAH Realty Trust, Inc.COM13,221$17.7 萬<0.1%+26+0.2%加碼歷史
KTFDWS Municipal Income TrustCOM14,965$17.8 萬<0.1%+10.0%加碼歷史
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM17,811$17.8 萬<0.1%+348+2.0%加碼歷史
FMNBFarmers National Banc CorpCOM11,410$17.9 萬<0.1%00.0%不變歷史
FGBFirst Trust Specialty Finance & Financial Opportunities FundCOM BEN INTR45,068$17.9 萬<0.1%−1,771−3.8%減碼歷史
UECUranium Energy CorpCOM59,476$18.1 萬<0.1%+21,060+54.8%加碼歷史
MUIBlackRock Municipal Credit Alpha Portfolio, Inc.COM12,037$18.3 萬<0.1%00.0%不變歷史
HBIHanesbrands Inc.COM10,777$18.5 萬<0.1%+10,777新進歷史
MROMarathon Oil CorpCOM13,694$18.7 萬<0.1%+13,694新進歷史
DHFBNY Mellon High Yield Strategies FundSH BEN INT58,200$18.8 萬<0.1%−9,090−13.5%減碼歷史
CLOVClover Health Investments, Corp.COM CL A25,755$19.0 萬<0.1%+1,158+4.7%加碼歷史
SGOLabrdn Gold ETF TrustETF11,538$19.4 萬<0.1%+530+4.8%加碼歷史
LUMNLumen Technologies, Inc.Stock15,714$19.5 萬<0.1%+2,749+21.2%加碼歷史
BMAMacro Bank Inc.SPON ADR B11,500$19.5 萬<0.1%+575+5.3%加碼歷史
AMEAmetek IncCOM1,613$20.0 萬<0.1%−127−7.3%減碼歷史
OKTAOkta, Inc.CL A843$20.0 萬<0.1%+843新進歷史
CPBCAMPBELL'S CoCOM4,810$20.1 萬<0.1%−123−2.5%減碼歷史
NRPNatural Resource Partners LPCOM UNIT LTD PAR8,485$20.1 萬<0.1%+8,485新進歷史
PDCOPatterson Companies, Inc.COM6,673$20.1 萬<0.1%+6,673新進歷史
APTVAptiv PLCSHS1,351$20.1 萬<0.1%+1,351新進歷史
PTYPIMCO Corporate & Income Opportunity FundCOM11,030$20.2 萬<0.1%+935+9.3%加碼歷史
WBDWarner Bros. Discovery, Inc.COM SER A7,949$20.2 萬<0.1%+7,949新進歷史

選擇權（9 檔）

同一份申報裡的賣權（put）與買權（call）。金額是標的股票的市值，也就是 13F 申報的數字。

Cetera Advisors LLC 在 2021 年第 3 季的選擇權部位
證券類別賣權買權
NVDANVIDIA CorpStock$4.30 萬–
LYVLive Nation Entertainment, Inc.COM$3.40 萬–
SESea LtdSPONSORD ADS$2.10 萬–
XPEVXpeng Inc.ADS$1.90 萬–
BACBank of America CorpStock$1.00 萬–
NOCNorthrop Grumman CorpStock$9,000–
DISWalt Disney CoStock$7,000–
MSFTMicrosoft CorpStock–$6,000
EIXEdison InternationalStock$1,000–

2021 年第 2 季之後清倉（80 檔）

2021 年第 2 季季末還持有、這份申報已經沒有的部位。

Cetera Advisors LLC 在 2021 年第 2 季之後清倉的部位
證券類別2021 年第 2 季股數2021 年第 2 季市值2021 年第 2 季佔組合 %紀錄
RNACCartesian Therapeutics, Inc.COM1,106,325$462.4 萬0.1%歷史
iShares U S ETF Tr46431W705INT RT HDG C B42,010$404.6 萬0.1%–
Advisorshares Tr00768Y453PURE US CANN ETF81,455$325.9 萬0.1%–
Invesco Exch Traded FD Tr II46138E164S&P SMLCP ENGY297,641$239.0 萬0.1%–
iShares Tr46434V787YLD OPTIM BD92,857$234.6 萬0.1%–
iShares Tr46428951110+ YR INVST GRD30,966$217.4 萬0.1%–
Invesco Exch Traded FD Tr II46138G870VAR RATE PFD58,504$153.9 萬<0.1%–
FXFInvesco CurrencyShares Swiss Franc TrustSWISS FRANC12,930$126.6 萬<0.1%歷史
WRIWeingarten Realty InvestorsSH BEN INT39,133$125.5 萬<0.1%歷史
iShares Tr46429B671MSCI CHINA ETF14,679$121.0 萬<0.1%–
iShares Tr46435U333FOCUSD VAL FAC20,121$110.4 萬<0.1%–
CPERUnited States Commodity Index Funds TrustCM REP COPP FD34,910$91.6 萬<0.1%歷史
iShares Tr46436E536US SML CP VALUE28,787$88.4 萬<0.1%–
iShares Tr464288430ASIA 50 ETF9,541$87.4 萬<0.1%–
OMFOneMain Holdings, Inc.COM13,600$81.5 萬<0.1%歷史
First Tr Exchng Traded FD VI33740F664FT VEST US EQT23,732$80.6 萬<0.1%–
iShares Tr46429B366CMBS ETF14,698$79.9 萬<0.1%–
AIGAmerican International Group, Inc.Stock16,772$79.8 萬<0.1%歷史
ODFLOld Dominion Freight Line, Inc.COM2,898$73.6 萬<0.1%歷史
TRIPTripAdvisor, Inc.COM16,809$67.7 萬<0.1%歷史
SPDR Series Trust78464A755ST STR SP METAL14,557$62.7 萬<0.1%–
NTESNetEase, Inc.SPONSORED ADS5,266$60.7 萬<0.1%歷史
RABrookfield Real Assets Income Fund Inc.SHS BEN INT26,201$57.4 萬<0.1%歷史
CACICACI International IncCL A2,226$56.8 萬<0.1%歷史
NEWTNewtekOne, Inc.COM NEW16,100$56.2 萬<0.1%歷史
CAFMorgan Stanley China A Share Fund, Inc.COM24,586$56.2 萬<0.1%歷史
Global X FDS37950E606MSCI CHINA FINCL34,494$53.1 萬<0.1%–
GRWGGrowGeneration Corp.COM10,841$52.1 萬<0.1%歷史
FRABlackRock Floating Rate Income Strategies Fund, Inc.COM38,426$50.9 萬<0.1%歷史
Procure ETF Trust II74280R205SPACE ETF15,610$48.5 萬<0.1%–
Northern LTS FD Tr IV66538H534INSPIRE 100 ETF11,200$47.8 萬<0.1%–
Global X FDS37950E408MSCI CHINA CNSMR13,332$47.2 萬<0.1%–
TERTeradyne, IncStock3,326$44.6 萬<0.1%歷史
NVCRNovoCure LtdORD SHS1,816$40.3 萬<0.1%歷史
VALEVale S.A.SPONSORED ADS16,684$38.1 萬<0.1%歷史
CORNTeucrium Commodity TrustCORN FD SHS16,940$36.2 萬<0.1%歷史
MORFMorphic Holding, Inc.COM6,210$35.6 萬<0.1%歷史
CFGCitizens Financial Group IncCOM7,750$35.5 萬<0.1%歷史
CCAPCrescent Capital BDC, Inc.COM18,800$35.3 萬<0.1%歷史
HPIJohn Hancock Preferred Income FundSH BEN INT16,000$34.6 萬<0.1%歷史
BCBrunswick CorpCOM3,466$34.5 萬<0.1%歷史
ASANAsana, Inc.CL A5,440$33.7 萬<0.1%歷史
MVISMicrovision, Inc.COM NEW19,430$32.5 萬<0.1%歷史
PFPTProofpoint IncCOM1,830$31.8 萬<0.1%歷史
Churchill Capital Corp IV171439102CL A10,191$29.4 萬<0.1%–
LFMDLifeMD, Inc.COM24,880$29.3 萬<0.1%歷史
JMIAJumia Technologies AGSPONSORED ADS9,615$29.2 萬<0.1%歷史
iShares Tr46434V290US SML CAP EQT4,901$26.9 萬<0.1%–
NSLRNeostellar Capital Corp.COM NEW19,917$26.9 萬<0.1%歷史
FMCFMC CorpCOM NEW2,465$26.7 萬<0.1%歷史
FSLYFastly, Inc.CL A4,395$26.2 萬<0.1%歷史
iShares Tr464288851US OIL GS EX ETF4,386$25.1 萬<0.1%–
Exchange Traded Concepts Tr301505723ROBO GBL HLTCR4,700$22.6 萬<0.1%–
iShares Tr464287184CHINA LG-CAP ETF4,750$22.0 萬<0.1%–
First Tr Exchange Traded FD33738R308BUYWRIT INCM ETF10,029$22.0 萬<0.1%–
Northern LTS FD Tr IV66538H641INSPIRE SML/ MID6,000$22.0 萬<0.1%–
Invesco Exchange Traded FD T46137V605DJ INDL AVG DV4,999$22.0 萬<0.1%–
CDMOAvid Bioservices, Inc.COM8,505$21.8 萬<0.1%歷史
EEFTEuronet Worldwide, Inc.COM1,590$21.5 萬<0.1%歷史
AMCAMC Entertainment Holdings, Inc.CL A COM3,800$21.5 萬<0.1%歷史
AVYAvery Dennison CorpCOM1,001$21.1 萬<0.1%歷史
POSHPoshmark, Inc.COM CL A4,405$21.0 萬<0.1%歷史
Global X FDS37954Y392VDEO GAM ESPRT6,479$20.9 萬<0.1%–
QQQXNuveen NASDAQ 100 Dynamic Overwrite FundCOM SHS6,999$20.6 萬<0.1%歷史
SPDR Series Trust78468R747ST STR MSCI GEN2,031$20.6 萬<0.1%–
WORKSlack Technologies, Inc.COM CL A4,639$20.6 萬<0.1%歷史
UGAUnited States Gasoline Fund, LPUNITS5,705$20.5 萬<0.1%歷史
SPDR Series Trust78464A490ST STR FTSE ETF3,606$20.3 萬<0.1%–
VanEck ETF Trust92189F452MORTGAGE REIT10,183$20.2 萬<0.1%–
FLYYSpirit Aviation Holdings, Inc.COM6,625$20.2 萬<0.1%歷史
Barclays Bank PLC06746P522ETN LKD 483,040$20.1 萬<0.1%–
FIXComfort Systems USA IncCOM2,543$20.0 萬<0.1%歷史
Vanguard Scottsdale FDS92206C813LG-TERM COR BD1,867$20.0 萬<0.1%–
CXCemex SAB de CVSPON ADR NEW23,592$19.8 萬<0.1%歷史
LMRKLandmark Infrastructure Partners LPCOM UNIT LTD14,000$17.9 萬<0.1%歷史
ALDXAldeyra Therapeutics, Inc.COM14,100$16.0 萬<0.1%歷史
BRGBluerock Residential Growth REIT, Inc.COM CL A14,648$14.9 萬<0.1%歷史
Prospect Cap Corp74348TAT9NOTE 6.375% 3/050,000$5.40 萬<0.1%–
AHTAshford Hospitality Trust IncCOM SHS11,517$5.30 萬<0.1%歷史
TBLTToughbuilt Industries, IncCOM NEW10,000$8,000<0.1%歷史