13F-HR filed by Cetera Investment Advisers
Cetera Investment Advisers filed this 13F-HR for the quarter ended 2017-06-30, filed 2017-08-14, with 827 holding rows worth $1,596,253,000.
- Accession
- 0001085146-17-001805
- Filer
- CIK 1666741
- Filed
- 2017-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2017
A holdings report, 827 entries on the cover page, a total value of $1,596,253,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,596,253,000 with VALUE read as thousands by filing date, 13F file number 028-17296. A later restatement replaced it, so the quarter does not use it. 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 |
|---|---|---|---|---|---|---|
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 23,029 | $442,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 19,550 | $441,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 19,443 | $438,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 12,277 | $437,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 12,900 | $436,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 9,126 | $436,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 8,379 | $434,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 11,711 | $434,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 6,268 | $428,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 5,417 | $425,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 18,103 | $425,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M266 | CLAYMORE EXCHANGE TRD FD TR | 19,875 | $422,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 25,199 | $419,000 | thousands by filing date | |
| IDACORP INC | 451107106 | COM | 4,891 | $419,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 8,201 | $418,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 25,367 | $417,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 3,678 | $416,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 4,666 | $414,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 14,439 | $414,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 7,243 | $414,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 37,504 | $413,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 7,738 | $411,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 14,980 | $409,000 | thousands by filing date | |
| UNITED BANKSHARES INC WEST VA COM | 909907107 | Stock | 10,250 | $408,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 5,090 | $407,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 31,191 | $407,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M522 | GUG BULL2019 E | 18,955 | $405,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 17,715 | $404,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 3,680 | $404,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 4,382 | $404,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 9,449 | $403,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 10,913 | $403,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 2,758 | $401,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 6,657 | $401,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 7,460 | $400,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 2,803 | $398,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 21,584 | $398,000 | thousands by filing date | |
| EVEREST GROUP LTD COM | G3223R108 | Stock | 1,561 | $397,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 8,401 | $395,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 7,794 | $394,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 13,010 | $392,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 11,715 | $389,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 24,200 | $387,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 3,556 | $383,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 3,407 | $382,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 50,599 | $376,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 6,023 | $373,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 20,505 | $369,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 20,636 | $368,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 3,565 | $367,000 | thousands by filing date | |
| SYNOPSYS INC COM | 871607107 | Stock | 5,012 | $366,000 | thousands by filing date | |
| SCHULMAN (A.) INC | 808194104 | COM | 11,400 | $365,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 5,397 | $362,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 40,490 | $361,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 10,383 | $356,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 2,193 | $353,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 2,499 | $351,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 9,222 | $350,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 11,615 | $350,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 3,859 | $349,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 19,080 | $348,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 6,418 | $345,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 812 | $345,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 7,412 | $345,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 8,856 | $344,000 | thousands by filing date | |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 4,649 | $342,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 2,798 | $340,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 25,018 | $339,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 6,505 | $338,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 4,988 | $335,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 19,125 | $333,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 5,372 | $331,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 6,467 | $330,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 1,261 | $325,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 2,422 | $319,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 6,251 | $319,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 6,020 | $319,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 3,946 | $318,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 2,273 | $318,000 | thousands by filing date | |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 5,276 | $315,000 | thousands by filing date | |
| PROSHARES TR | 74347B680 | S&P MDCP 400 DIV | 6,093 | $313,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 5,382 | $313,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M381 | GUG BLT2018 HY | 12,369 | $313,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 5,065 | $312,000 | thousands by filing date | |
| PROSHARES TR | 74347B698 | RUSS 2000 DIVD | 5,668 | $310,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 5,679 | $309,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 15,737 | $309,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 2,354 | $308,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 8,567 | $308,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 17,327 | $306,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 2,938 | $300,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 5,900 | $300,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 25,380 | $299,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 9,900 | $299,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 14,347 | $297,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 11,227 | $295,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 4,877 | $294,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X263 | CURRNCY INT EQ | 10,293 | $293,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 12,234 | $293,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 6,672 | $291,000 | thousands by filing date | |
| DOMINOS PIZZA INC COM | 25754A201 | Stock | 1,373 | $291,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 18,417 | $291,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 2,443 | $289,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 7,161 | $288,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 4,981 | $288,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 24,398 | $288,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 5,339 | $288,000 | thousands by filing date | |
| Invesco S&P 500 Pure Growth | 78355W403 | GUG S&P500 PU GR | 3,054 | $287,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 25,758 | $286,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,753 | $286,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 9,392 | $286,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 5,821 | $286,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 5,306 | $284,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 1,506 | $281,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 1,026 | $281,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 10,520 | $280,000 | thousands by filing date | |
| MICROSEMI CORP | 595137100 | COM | 6,000 | $280,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 8,280 | $280,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 3,333 | $279,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 28,432 | $279,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 6,713 | $278,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 5,048 | $278,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 15,149 | $276,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 1,934 | $275,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 3,040 | $274,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 6,863 | $274,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 2,612 | $273,000 | thousands by filing date | |
| DXC TECHNOLOGY CO COM | 23355L106 | Stock | 3,532 | $272,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 21,300 | $272,000 | thousands by filing date | |
| COMMERCE BANCSHARES INC | 200525103 | COM | 4,786 | $272,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 9,800 | $272,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 6,548 | $271,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 2,115 | $270,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 5,583 | $269,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 9,179 | $267,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 2,943 | $267,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 2,708 | $267,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 4,527 | $266,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 1,201 | $266,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 27,151 | $266,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 3,140 | $264,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 5,764 | $264,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP LOW | 73937B639 | EXCHANGE TRADED | 6,082 | $264,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 4,920 | $263,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 14,144 | $263,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 7,817 | $263,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 4,880 | $263,000 | thousands by filing date | |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 4,605 | $260,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 4,367 | $260,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 2,582 | $259,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 5,350 | $259,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 2,974 | $257,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 13,662 | $257,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 GROWTH ETF | 92206C623 | ETF | 2,109 | $257,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 5,373 | $257,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 5,636 | $257,000 | thousands by filing date | |
| CARLISLE COS INC COM | 142339100 | Stock | 2,686 | $256,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 4,767 | $254,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 2,393 | $254,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 5,823 | $254,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 2,088 | $250,000 | thousands by filing date | |
| POWERSHARES | 73935X286 | COMMON STOCK | 4,635 | $248,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 13,767 | $248,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 3,580 | $247,000 | thousands by filing date | |
| SCOTTS MIRACLE-GRO CO | 810186106 | CL A | 2,786 | $247,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 24,450 | $246,000 | thousands by filing date | |
| NORTHWEST NATURAL GAS CO | 667655104 | COM | 4,113 | $246,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 11,804 | $245,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 2,789 | $243,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 1,938 | $242,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 4,066 | $241,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 14,500 | $241,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 9,054 | $241,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 18,660 | $241,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DWA TECH | 73935X153 | COM | 5,146 | $241,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 2,670 | $240,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 10,285 | $240,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 1,922 | $239,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B597 | VAR RATE PFD POR | 9,174 | $239,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 9,825 | $239,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 1,899 | $236,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 2,152 | $234,000 | thousands by filing date | |
| MONOGRAM RESIDENTIAL TR INC | 60979P105 | COM | 24,073 | $234,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 2,219 | $233,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 2,593 | $232,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 4,783 | $231,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 3,319 | $231,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 3,616 | $230,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 5,551 | $230,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 7,637 | $230,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 22,747 | $230,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 15,708 | $226,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 23,141 | $224,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 21,681 | $223,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 4,836 | $221,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 6,784 | $221,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 3,665 | $220,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 8,102 | $220,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 3,312 | $219,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 4,239 | $219,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 12,000 | $219,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 3,000 | $218,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 1,253 | $218,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 16,680 | $218,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 754 | $217,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 1,827 | $217,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 23,807 | $216,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CLASS CLASS C | 24703L103 | CLASS C | 3,569 | $216,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 9,854 | $215,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 10,673 | $215,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 40,800 | $214,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 7,236 | $213,000 | thousands by filing date | |
| ISHARES TR | 46429B598 | MSCI INDIA ETF | 6,647 | $213,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 2,400 | $213,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 16,096 | $213,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 3,516 | $212,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 3,300 | $211,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 14,194 | $211,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 6,138 | $211,000 | thousands by filing date | |
| COLONY NORTHSTAR INC | 19625W104 | CL A COM | 14,916 | $211,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR GBL HIGH | 00400R882 | CEF | 8,593 | $211,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 14,355 | $210,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 9,310 | $210,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 8,875 | $210,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 4,875 | $209,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 6,538 | $208,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 1,881 | $207,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 3,422 | $207,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 5,411 | $207,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 4,701 | $207,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 30,710 | $206,000 | thousands by filing date | |
| PACER FDS TR | 69374H204 | TRENDP US MID CP | 7,220 | $206,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 156 | $206,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 1,290 | $206,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 8,938 | $206,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 2,120 | $205,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 10,750 | $205,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 5,892 | $205,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 9,977 | $205,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 3,079 | $204,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 3,705 | $204,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 10,711 | $204,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 2,309 | $203,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 8,200 | $203,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 12,455 | $202,000 | thousands by filing date | |
| Invesco Large-Cap Growth | 73935X609 | ETF | 5,600 | $202,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 1,521 | $201,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 14,000 | $200,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 16,972 | $194,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 38,408 | $194,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 20,109 | $188,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 11,825 | $185,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 14,618 | $179,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 10,707 | $174,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 17,315 | $172,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 13,335 | $171,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 11,181 | $171,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 11,807 | $166,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 11,410 | $165,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 10,564 | $161,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 12,328 | $160,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 25,897 | $160,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 12,585 | $160,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 10,840 | $156,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 10,441 | $153,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 11,993 | $153,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 21,249 | $151,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 11,176 | $145,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 38,087 | $143,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 10,291 | $138,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 13,610 | $136,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 11,284 | $133,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 13,365 | $123,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 11,268 | $122,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 12,399 | $108,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 65,606 | $104,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 62,000 | $103,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 14,500 | $96,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 17,855 | $96,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 14,400 | $92,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 14,620 | $89,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 17,675 | $85,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 82,000 | $84,000 | thousands by filing date | principal |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 10,906 | $83,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 11,050 | $81,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 16,000 | $81,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 19,000 | $71,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 15,066 | $69,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 15,000 | $68,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 13,270 | $66,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 10,477 | $65,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 13,163 | $62,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 13,802 | $54,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 10,421 | $52,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 13,808 | $51,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 27,800 | $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 |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 12,020 | $48,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 15,100 | $42,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 39,014 | $40,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 14,202 | $37,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 11,798 | $34,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 11,000 | $27,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 94,020 | $27,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 12,130 | $26,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 13,000 | $25,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 10,000 | $24,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 17,937 | $23,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 22,000 | $22,000 | thousands by filing date | principal |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 15,000 | $15,000 | thousands by filing date | principal |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 10,700 | $13,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 13,075 | $7,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 16,155 | $7,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 600 | $6,000 | thousands by filing date | put |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 100 | $2,000 | thousands by filing date | put |
| Amazon.com, Inc | 023135106 | COM | 200 | $2,000 | thousands by filing date | put |
| Coca-Cola Company | 191216100 | COM | 300 | $2,000 | thousands by filing date | call |
| FORD MTR CO COM | 345370860 | Stock | 2,000 | $2,000 | thousands by filing date | call |
| SEADRILL ORD | G7945E105 | COM | 11,100 | $2,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L100 | COM | 12,142 | $2,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 400 | $1,000 | thousands by filing date | call |
| Pfizer Inc. | 717081103 | COM | 400 | $1,000 | thousands by filing date | call |
| Verizon Communications Inc | 92343V104 | COM | 700 | $1,000 | thousands by filing date | put |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 400 | $1,000 | thousands by filing date | put |
| Bristol-Myers Squibb Company | 110122108 | COM | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Verizon Communications Inc | 92343V104 | COM | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| GENERAL ELEC CO | 369604103 | COM | 400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-17-001805 | this filing | 2017-08-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001085146-17-001955 | base | 2017-08-17 | acceptance time not in the bulk data set |