13F-HR filed by Cetera Advisors LLC
Cetera Advisors LLC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-15, with 772 holding rows worth $1,304,474,000.
- Accession
- 0001085146-16-004886
- Filer
- CIK 1534400
- Filed
- 2016-11-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 772 entries on the cover page, a total value of $1,304,474,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,304,474,000 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 | 464288109 | MORNINGSTAR VALU | 4,315 | $379,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 3,054 | $379,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 7,013 | $378,000 | thousands by filing date | |
| KNIGHT TRANSN INC | 499064103 | COM | 13,011 | $375,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 20,090 | $374,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 515 | $373,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 6,334 | $372,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 7,579 | $370,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 7,440 | $370,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 17,050 | $366,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 15,233 | $365,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 8,743 | $365,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 13,466 | $364,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 1,563 | $363,000 | thousands by filing date | |
| DAVE & BUSTERS ENTMT INC | 238337109 | COM | 9,200 | $360,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 15,740 | $358,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 3,076 | $357,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 11,586 | $357,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 4,894 | $354,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 29,807 | $354,000 | thousands by filing date | |
| COLONY CAP INC | 19624R403 | CONV PFD-C | 14,300 | $354,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 5,465 | $352,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 8,602 | $352,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 4,851 | $351,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR GBL HIGH | 00400R882 | CEF | 14,987 | $351,000 | thousands by filing date | |
| COMMERCE BANCSHARES INC | 200525103 | COM | 7,077 | $349,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 20,972 | $349,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 6,448 | $347,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 6,564 | $347,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 3,988 | $346,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 2,733 | $345,000 | thousands by filing date | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 12,300 | $345,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 7,798 | $345,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 42,707 | $345,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 2,626 | $344,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 14,907 | $343,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 3,385 | $342,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 4,778 | $342,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 13,822 | $340,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 13,910 | $338,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 1,581 | $337,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 10,857 | $332,000 | thousands by filing date | |
| SCHULMAN (A.) INC | 808194104 | COM | 11,400 | $332,000 | thousands by filing date | |
| DUPONT FABROS TECHNOLOGY INC | 26613Q106 | COM | 7,994 | $330,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 9,539 | $329,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 11,023 | $325,000 | thousands by filing date | |
| MONOGRAM RESIDENTIAL TR INC | 60979P105 | COM | 30,279 | $325,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 6,444 | $322,000 | thousands by filing date | |
| MKS INC. COM | 55306N104 | Stock | 6,440 | $320,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 13,210 | $317,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 4,084 | $316,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 3,284 | $316,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 2,753 | $313,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 19,588 | $313,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 27,524 | $313,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 1,685 | $312,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 4,921 | $308,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 2,117 | $305,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 3,689 | $302,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 12,151 | $300,000 | thousands by filing date | |
| MICROSEMI CORP | 595137100 | COM | 7,200 | $300,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 11,375 | $298,000 | thousands by filing date | |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 3,818 | $297,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 12,517 | $297,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 4,475 | $295,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 4,914 | $293,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 6,750 | $291,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 6,485 | $290,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 2,855 | $289,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 15,792 | $282,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 2,921 | $282,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 8,108 | $281,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 12,115 | $281,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 30,166 | $281,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 5,284 | $280,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 3,289 | $278,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 8,772 | $277,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 28,293 | $277,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 5,869 | $276,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 5,987 | $275,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 2,935 | $275,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 8,642 | $273,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 5,731 | $273,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 1,570 | $272,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 6,868 | $272,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 9,518 | $263,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 1,442 | $262,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 24,450 | $262,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 23,749 | $262,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 9,311 | $259,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 3,159 | $258,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 18,766 | $257,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 6,383 | $256,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 14,406 | $254,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 17,246 | $253,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 72,800 | $252,000 | thousands by filing date | |
| ZIFF DAVIS INC | 48123V102 | COM | 3,764 | $252,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 4,887 | $252,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 2,092 | $251,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 16,700 | $250,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 12,586 | $250,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 2,750 | $249,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 15,300 | $247,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,457 | $245,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 3,152 | $245,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 9,255 | $245,000 | thousands by filing date | |
| JABIL INC COM | 466313103 | Stock | 11,158 | $244,000 | thousands by filing date | |
| CAL MAINE FOODS INC COM NEW | 128030202 | Stock | 6,264 | $243,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DWA TECH | 73935X153 | COM | 5,739 | $243,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 4,172 | $242,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 4,975 | $241,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H230 | ETN DJUBSSOFT 38 | 5,500 | $241,000 | thousands by filing date | |
| EVEREST GROUP LTD COM | G3223R108 | Stock | 1,266 | $240,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 3,106 | $240,000 | thousands by filing date | |
| NORTHWEST NATURAL GAS CO | 667655104 | COM | 3,951 | $238,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 2,093 | $237,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 34,750 | $237,000 | thousands by filing date | |
| Vaneck Vectors AMT-Free Inter | 92189F544 | ETF | 9,622 | $237,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 16,576 | $236,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 5,107 | $235,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 4,330 | $234,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 8,777 | $233,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 4,300 | $232,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 3,785 | $232,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 5,011 | $230,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 5,179 | $230,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 3,786 | $229,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 16,585 | $229,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 17,200 | $229,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 3,297 | $228,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 1,453 | $226,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 2,836 | $226,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 9,922 | $226,000 | thousands by filing date | |
| EPR PPTYS COM SH BEN INT | 26884U109 | REIT | 2,850 | $225,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 8,653 | $225,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 5,613 | $223,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 2,069 | $223,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 12,629 | $223,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 5,423 | $222,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 5,475 | $222,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 5,027 | $222,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 6,869 | $221,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 5,494 | $220,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 15,900 | $220,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 17,562 | $218,000 | thousands by filing date | |
| POWERSHARES | 73935X286 | COMMON STOCK | 4,613 | $218,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 16,416 | $217,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 7,056 | $216,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 5,613 | $216,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 3,424 | $215,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 18,175 | $215,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 2,852 | $214,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 3,128 | $214,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 21,250 | $214,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 11,724 | $213,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 2,815 | $212,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 3,705 | $212,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 13,608 | $212,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 4,300 | $211,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 4,444 | $211,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 10,700 | $211,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 14,550 | $210,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 1,894 | $209,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 12,450 | $209,000 | thousands by filing date | |
| OWENS CORNING NEW | 690742101 | COM | 3,907 | $209,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 2,298 | $209,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 5,526 | $208,000 | thousands by filing date | |
| HYD | 92189F361 | ETF | 6,473 | $208,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 2,593 | $207,000 | thousands by filing date | |
| AVERY DENNISON CORP COM | 053611109 | Stock | 2,685 | $207,000 | thousands by filing date | |
| TOTAL SYS SVCS INC | 891906109 | COM | 4,421 | $207,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 8,455 | $206,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 13,239 | $205,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 4,443 | $204,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 22,171 | $204,000 | thousands by filing date | |
| GUGGENHEIM RUSSELL MCAP | 78355W577 | ETF | 3,850 | $204,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 3,629 | $203,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 2,170 | $203,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 643 | $201,000 | thousands by filing date | |
| LIFE STORAGE INC | 53223X107 | COM | 2,268 | $201,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 20,845 | $199,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 11,641 | $199,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 12,209 | $195,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 22,135 | $192,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 12,795 | $191,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 20,101 | $190,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 18,480 | $189,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 31,447 | $189,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 14,438 | $188,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 15,711 | $187,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 34,264 | $187,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 11,237 | $184,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 46,124 | $183,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 15,000 | $182,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 16,527 | $178,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 16,543 | $176,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 15,500 | $174,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 15,550 | $173,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 12,000 | $172,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 11,640 | $170,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 10,174 | $169,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 11,961 | $164,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 11,630 | $164,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 11,137 | $161,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 22,900 | $159,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 14,030 | $157,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 18,209 | $152,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 11,410 | $152,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 35,149 | $151,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 21,741 | $147,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 12,585 | $147,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 11,422 | $146,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 31,063 | $143,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 22,159 | $140,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 10,980 | $139,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 12,459 | $132,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 15,472 | $132,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 10,451 | $131,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 13,591 | $130,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 11,284 | $125,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 10,536 | $124,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 12,021 | $121,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 11,066 | $120,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 10,235 | $119,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 10,000 | $116,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 10,012 | $100,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 10,293 | $96,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 10,906 | $95,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 14,500 | $93,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 15,440 | $93,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 15,100 | $92,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 20,941 | $92,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 12,182 | $88,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 21,000 | $88,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 14,500 | $84,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 11,000 | $84,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 82,000 | $84,000 | thousands by filing date | principal |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 21,952 | $78,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 14,620 | $73,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 16,202 | $63,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 12,500 | $61,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 11,250 | $60,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 11,186 | $56,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 14,035 | $56,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 50,000 | $51,000 | thousands by filing date | principal |
| PDL BIOPHARMA INC | 69329Y104 | COM | 15,000 | $50,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 23,937 | $47,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 15,298 | $44,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 19,000 | $42,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 13,200 | $41,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 10,000 | $39,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 15,000 | $31,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 94,020 | $26,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 10,117 | $23,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 22,000 | $23,000 | thousands by filing date | principal |
| GLOBALSTAR INC | 378973408 | COM | 16,930 | $21,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 18,100 | $14,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 13,000 | $14,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 15,000 | $14,000 | thousands by filing date | principal |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 13,075 | $12,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 16,155 | $10,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 15,000 | $9,000 | thousands by filing date | principal |
| MANNKIND CORP | 56400P201 | COM | 14,750 | $9,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 1,000 | $7,000 | thousands by filing date | call |
| Apple Inc | 037833100 | COM | 1,000 | $6,000 | thousands by filing date | call |
| DRYSHIPS INC COM NEW | Y2109Q200 | Stock | 14,109 | $6,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 1,000 | $5,000 | thousands by filing date | call |
| Bristol-Myers Squibb Company | 110122108 | COM | 600 | $2,000 | thousands by filing date | put |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 14,122 | $2,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 1,000 | $1,000 | thousands by filing date | call |
| AT&T Inc | 00206R102 | COM | 2,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| MANNKIND CORP | 56400P201 | COM | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-16-004886 | this filing | 2016-11-15 | acceptance time not in the bulk data set |