13F-HR filed by Cetera Advisors LLC
Cetera Advisors LLC filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-16, with 676 holding rows worth $1,050,147,000.
- Accession
- 0001085146-15-002387
- Filer
- CIK 1534400
- Filed
- 2015-11-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 676 entries on the cover page, a total value of $1,050,147,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,050,147,000 with VALUE read as thousands by filing date, 13F file number 028-14617. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 7,740 | $293,000 | thousands by filing date | |
| HORIZON PHARMA PLC | G4617B105 | SHS | 14,653 | $291,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 630 | $290,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 4,175 | $290,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 40,903 | $290,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 2,575 | $287,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 4,844 | $287,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 986 | $287,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 11,375 | $287,000 | thousands by filing date | |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 5,506 | $286,000 | thousands by filing date | |
| GRAHAM HLDGS CO COM CL B | 384637104 | Stock | 493 | $285,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 2,856 | $284,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 21,079 | $282,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 8,087 | $279,000 | thousands by filing date | |
| RYDER SYS INC COM | 783549108 | Stock | 3,702 | $276,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 5,755 | $276,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 4,914 | $275,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 14,667 | $275,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 9,347 | $275,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 15,750 | $273,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 2,422 | $273,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 6,862 | $272,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y776 | ADVISR GLBECHO | 4,550 | $270,000 | thousands by filing date | |
| POLARIS INC COM | 731068102 | Stock | 2,232 | $268,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 10,739 | $268,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 7,225 | $266,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 16,170 | $265,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 9,791 | $264,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 6,613 | $264,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 5,477 | $262,000 | thousands by filing date | |
| CARPENTER TECHNOLOGY CORP | 144285103 | COM | 8,770 | $262,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 6,302 | $260,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 13,371 | $260,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 7,307 | $259,000 | thousands by filing date | |
| Chubb Corporation | 171232101 | Equity | 2,092 | $258,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 22,520 | $258,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 20,965 | $254,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 4,336 | $254,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 8,771 | $253,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 2,060 | $253,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 32,854 | $253,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 6,642 | $251,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 7,964 | $251,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 8,725 | $250,000 | thousands by filing date | |
| AGL RES INC | 001204106 | COM | 4,093 | $249,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 2,218 | $248,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 2,698 | $247,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 2,276 | $246,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 2,908 | $246,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 1,759 | $245,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 2,230 | $244,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 10,555 | $244,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 2,901 | $243,000 | thousands by filing date | |
| WILLIAMS PARTNERS L P NEW | 96949L105 | COM UNIT LTD PAR | 7,568 | $243,000 | thousands by filing date | |
| CAL MAINE FOODS INC COM NEW | 128030202 | Stock | 4,402 | $242,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 2,188 | $241,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 22,521 | $241,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 8,571 | $241,000 | thousands by filing date | |
| CORECIVIC INC | 22025Y407 | COM | 8,151 | $241,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 5,396 | $240,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 2,737 | $239,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 7,033 | $238,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 4,646 | $237,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 5,367 | $237,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 25,277 | $236,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 1,608 | $231,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 27,963 | $231,000 | thousands by filing date | |
| HOLOGIC INC | 436440101 | COM | 5,860 | $230,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 2,465 | $230,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 15,100 | $229,000 | thousands by filing date | |
| PROSHARES TR | 74347R727 | PSHS ULTRA INDL | 2,545 | $229,000 | thousands by filing date | |
| PROSHARES TR | 74347R263 | ULTRA COMMUNICTN | 3,170 | $229,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 12,897 | $229,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 15,136 | $227,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 1,921 | $227,000 | thousands by filing date | |
| WABTEC COM | 929740108 | Stock | 2,589 | $227,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 9,931 | $226,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 22,900 | $224,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 28,779 | $223,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 14,305 | $222,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 22,572 | $222,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 2,046 | $219,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 2,490 | $218,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 16,366 | $218,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 2,584 | $217,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 1,962 | $217,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 5,046 | $217,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 8,708 | $216,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 1,554 | $215,000 | thousands by filing date | |
| ISHARES TR | 46432F834 | COM | 4,421 | $214,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 5,330 | $213,000 | thousands by filing date | |
| MOHAWK INDS INC | 608190104 | COM | 1,170 | $213,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 4,600 | $212,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 32,876 | $210,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 1,732 | $209,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 5,011 | $208,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 39,746 | $207,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 21,909 | $207,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 7,352 | $202,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 2,929 | $201,000 | thousands by filing date | |
| BUFFALO WILD WINGS INC | 119848109 | COMMON STOCK | 1,038 | $200,000 | thousands by filing date | |
| NORTHWEST NATURAL GAS CO | 667655104 | COM | 4,422 | $200,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 40,690 | $199,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 10,275 | $199,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 18,617 | $199,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 10,882 | $198,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 22,400 | $197,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 15,744 | $195,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 13,728 | $194,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 11,636 | $191,000 | thousands by filing date | |
| PIEDMONT REALTY TRUST INC | 720190206 | COM CL A | 10,431 | $185,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 11,612 | $183,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 10,510 | $181,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 12,852 | $175,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 13,704 | $175,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 10,030 | $174,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 12,094 | $173,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 16,758 | $158,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 17,150 | $154,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 13,118 | $154,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 16,413 | $148,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 13,116 | $148,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 23,136 | $144,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 25,986 | $142,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 23,722 | $141,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 19,459 | $131,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 10,080 | $126,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 11,762 | $124,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 23,500 | $124,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 10,696 | $121,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 19,768 | $119,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 28,941 | $116,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 12,158 | $112,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 11,284 | $112,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 11,763 | $110,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 12,079 | $109,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 12,900 | $105,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 24,025 | $100,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 10,293 | $99,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 15,239 | $98,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 16,300 | $96,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 90,000 | $93,000 | thousands by filing date | principal |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 65,132 | $92,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 11,130 | $91,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 10,291 | $91,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 11,400 | $91,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 10,825 | $90,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 14,500 | $85,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 10,450 | $83,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 10,909 | $81,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 13,858 | $81,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 107,375 | $76,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 10,401 | $74,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 25,892 | $71,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 12,486 | $69,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 25,650 | $68,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 10,705 | $64,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 10,000 | $60,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 15,985 | $59,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 10,771 | $57,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 94,020 | $54,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 11,272 | $53,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 11,186 | $50,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 50,000 | $50,000 | thousands by filing date | principal |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 12,225 | $49,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 11,050 | $37,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 18,468 | $30,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 13,950 | $27,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 15,600 | $23,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 22,000 | $22,000 | thousands by filing date | principal |
| PENN WEST PETE LTD NEW | 707887105 | COM | 32,262 | $10,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 11,500 | $7,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 10,000 | $6,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 16,730 | $5,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 14,400 | $4,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 11,075 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-15-002387 | this filing | 2015-11-16 | acceptance time not in the bulk data set |