13F-HR filed by Cetera Advisors LLC
Cetera Advisors LLC filed this 13F-HR for the quarter ended 2017-12-31, filed 2018-02-08, with 781 holding rows worth $1,639,344,000.
- Accession
- 0001085146-18-000413
- Filer
- CIK 1534400
- Filed
- 2018-02-08
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2017
A holdings report, 781 entries on the cover page, a total value of $1,639,344,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,639,344,000 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 |
|---|---|---|---|---|---|---|
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 11,290 | $402,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 7,441 | $401,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 13,165 | $401,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 11,964 | $400,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 6,705 | $398,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 36,611 | $397,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 22,529 | $394,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 3,404 | $392,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 3,112 | $392,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 17,181 | $392,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 14,732 | $390,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 20,860 | $389,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 28,319 | $388,000 | thousands by filing date | |
| SYNOPSYS INC COM | 871607107 | Stock | 4,525 | $386,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 12,764 | $385,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 14,900 | $384,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 2,105 | $382,000 | thousands by filing date | |
| MKS INC. COM | 55306N104 | Stock | 4,029 | $381,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 6,004 | $379,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 9,365 | $379,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 18,675 | $377,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 2,188 | $376,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 25,679 | $374,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 12,363 | $373,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 6,807 | $371,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 4,698 | $368,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 20,332 | $368,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 20,472 | $367,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 2,370 | $366,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 1,712 | $366,000 | thousands by filing date | |
| PERRIGO CO PLC SHS | G97822103 | Stock | 4,237 | $366,000 | thousands by filing date | |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 4,394 | $366,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 2,334 | $365,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 5,746 | $362,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 2,508 | $358,000 | thousands by filing date | |
| iShares MSCI Japan ETF | 46434G822 | SHS | 6,025 | $358,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 2,327 | $355,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 21,547 | $354,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 10,620 | $353,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 3,344 | $351,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 2,224 | $349,000 | thousands by filing date | |
| ENERGY TRANSFER PARTNERS LP | 29278N103 | UNIT LTD PRT INT | 19,426 | $347,000 | thousands by filing date | |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 6,247 | $346,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 16,981 | $345,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 24,035 | $343,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 12,528 | $341,000 | thousands by filing date | |
| LCI INDS | 50189K103 | COM | 2,596 | $340,000 | thousands by filing date | |
| CORECIVIC INC | 21871N101 | COM | 14,989 | $340,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 1,843 | $340,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 39,190 | $339,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 2,478 | $336,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 1,052 | $336,000 | thousands by filing date | |
| DXC TECHNOLOGY CO COM | 23355L106 | Stock | 3,519 | $336,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 10,098 | $335,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 4,977 | $335,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M381 | GUG BLT2018 HY | 13,319 | $335,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 3,259 | $334,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 5,203 | $334,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 4,752 | $331,000 | thousands by filing date | |
| COGNEX CORP | 192422103 | COM | 5,443 | $331,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 9,601 | $331,000 | thousands by filing date | |
| EVEREST GROUP LTD COM | G3223R108 | Stock | 1,473 | $324,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 5,079 | $324,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 3,184 | $323,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 8,644 | $320,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 3,279 | $320,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP LOW | 73937B639 | EXCHANGE TRADED | 6,895 | $320,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 16,507 | $320,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 19,780 | $319,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 2,344 | $317,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 5,656 | $316,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 6,534 | $316,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 4,986 | $315,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 8,818 | $315,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 15,737 | $314,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 19,800 | $312,000 | thousands by filing date | |
| PACKAGING CORP AMER COM | 695156109 | Stock | 2,585 | $311,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 8,013 | $306,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 2,597 | $304,000 | thousands by filing date | |
| MAXIMUS INC | 577933104 | COM | 4,242 | $303,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 6,981 | $301,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 5,261 | $297,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 1,342 | $295,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 48,650 | $294,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 2,014 | $293,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 5,802 | $293,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 15,476 | $293,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 9,724 | $290,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 7,833 | $290,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 19,742 | $289,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 2,265 | $289,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 33,536 | $288,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 4,291 | $286,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 5,762 | $285,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 26,359 | $284,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 2,577 | $284,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 4,398 | $283,000 | thousands by filing date | |
| AMERICAN FINANCIAL GROUP INC COM | 025932104 | Stock | 2,633 | $283,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 1,578 | $283,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 5,387 | $282,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 6,940 | $280,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 12,028 | $280,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 5,842 | $280,000 | thousands by filing date | |
| COMMERCE BANCSHARES INC | 200525103 | COM | 5,027 | $280,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 24,810 | $280,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 1,616 | $278,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 14,693 | $278,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 14,406 | $276,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 1,174 | $275,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 27,711 | $275,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 3,155 | $274,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 2,493 | $273,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 5,152 | $272,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 18,559 | $272,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 2,094 | $272,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DWA TECH | 73935X153 | COM | 5,256 | $271,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 7,011 | $270,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 13,456 | $270,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 14,904 | $270,000 | thousands by filing date | |
| EVERCORE INC CLASS A | 29977A105 | Stock | 2,965 | $269,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 1,845 | $268,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 5,182 | $267,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 2,762 | $267,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CLASS CLASS C | 24703L103 | CLASS C | 3,259 | $265,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 2,205 | $264,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 20,347 | $263,000 | thousands by filing date | |
| UNITED BANKSHARES INC WEST VA COM | 909907107 | Stock | 7,650 | $262,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 5,145 | $261,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 15,700 | $261,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 2,342 | $259,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 49,503 | $259,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 14,500 | $259,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 23,091 | $258,000 | thousands by filing date | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 10,251 | $257,000 | thousands by filing date | principal |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 3,654 | $255,000 | thousands by filing date | |
| Invesco S&P 500 Pure Growth | 78355W403 | GUG S&P500 PU GR | 2,432 | $255,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 7,395 | $254,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 7,801 | $254,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 6,406 | $252,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 5,683 | $251,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 20,383 | $250,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 5,071 | $250,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 5,190 | $250,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G108 | HORIZONS NASDAQ | 10,199 | $250,000 | thousands by filing date | |
| MICROSEMI CORP | 595137100 | COM | 4,800 | $248,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 11,828 | $247,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 3,489 | $247,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 1,699 | $245,000 | thousands by filing date | |
| iShares U.S. Small Cap Equity Factor ETF | 46434V290 | SHS | 6,125 | $242,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 2,365 | $242,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 4,500 | $242,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 2,319 | $241,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 3,000 | $241,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 3,747 | $241,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 17,000 | $241,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 1,382 | $240,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 6,749 | $240,000 | thousands by filing date | |
| ISHARES TR | 46429B598 | MSCI INDIA ETF | 6,608 | $238,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 41,908 | $238,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 3,572 | $237,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 25,792 | $237,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 3,213 | $235,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 3,450 | $234,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,476 | $234,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 2,148 | $233,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 23,350 | $233,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 1,928 | $232,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 10,885 | $232,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 2,207 | $232,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 8,799 | $232,000 | thousands by filing date | |
| Invesco Large-Cap Growth | 73935X609 | ETF | 5,600 | $232,000 | thousands by filing date | |
| DOMINOS PIZZA INC COM | 25754A201 | Stock | 1,218 | $231,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 6,459 | $231,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 11,565 | $228,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 3,447 | $228,000 | thousands by filing date | |
| NORTHWEST NATURAL GAS CO | 667655104 | COM | 3,745 | $224,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 2,706 | $223,000 | thousands by filing date | |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 4,190 | $221,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 3,351 | $220,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 9,305 | $219,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 15,291 | $219,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 13,180 | $219,000 | thousands by filing date | |
| ANDEAVOR | 03349M105 | COM | 1,918 | $219,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 10,230 | $218,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 4,479 | $218,000 | thousands by filing date | |
| Rydex S&P 500 Pure Value Etf | 78355W304 | S&P PUR VAL | 3,240 | $218,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 9,145 | $218,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 2,746 | $216,000 | thousands by filing date | |
| SPDR SER TR | 78468R101 | PORTFOLIO SH TSR | 7,276 | $216,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 4,895 | $216,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 15,570 | $215,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 4,480 | $215,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 1,244 | $215,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 5,275 | $212,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 2,891 | $211,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 9,542 | $211,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 16,068 | $211,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 23,670 | $211,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 6,789 | $210,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 5,027 | $209,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C401 | ULTRA DIVID REV | 5,648 | $207,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 3,870 | $206,000 | thousands by filing date | |
| PACER FDS TR | 69374H204 | TRENDP US MID CP | 6,720 | $206,000 | thousands by filing date | |
| MOELIS & CO | 60786M105 | CL A | 4,209 | $204,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 14,708 | $204,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 3,671 | $203,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 1,322 | $202,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 2,756 | $201,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 8,800 | $201,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 13,130 | $200,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 50,088 | $196,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 29,104 | $191,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 10,590 | $191,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 32,839 | $191,000 | thousands by filing date | |
| COLONY NORTHSTAR INC | 19625W104 | CL A COM | 16,953 | $190,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 26,184 | $187,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 11,101 | $185,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 563,924 | $185,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 11,825 | $180,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 13,418 | $180,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 28,147 | $173,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 17,764 | $170,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 11,543 | $170,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 13,011 | $167,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 12,446 | $163,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 10,564 | $162,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 10,500 | $162,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 12,328 | $158,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 12,585 | $151,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 23,025 | $143,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 10,441 | $141,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 11,176 | $139,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 10,753 | $136,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 20,675 | $136,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 18,525 | $122,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 13,021 | $121,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 35,270 | $108,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 14,402 | $107,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 20,155 | $107,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 34,382 | $105,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 11,268 | $103,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 11,691 | $100,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 14,500 | $95,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 34,600 | $94,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 30,115 | $85,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 82,000 | $84,000 | thousands by filing date | principal |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 13,820 | $76,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 16,000 | $75,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 65,606 | $72,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 10,420 | $66,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 15,100 | $64,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 10,872 | $62,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 15,000 | $62,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 10,447 | $60,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 13,550 | $59,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 12,540 | $52,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 10,000 | $50,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 11,566 | $50,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 12,420 | $49,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 14,000 | $45,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 10,846 | $35,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 94,020 | $34,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 17,000 | $32,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 11,000 | $30,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 10,050 | $21,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 15,202 | $20,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 10,000 | $19,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 16,412 | $18,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 1,300 | $16,000 | thousands by filing date | put |
| GLOBALSTAR INC | 378973408 | COM | 12,130 | $16,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 13,000 | $13,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 1,100 | $11,000 | thousands by filing date | put |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 10,700 | $11,000 | thousands by filing date | |
| BIOCEPT INC | 09072V204 | COM NEW | 10,750 | $8,000 | thousands by filing date | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 7,000 | $6,000 | thousands by filing date | put |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 13,075 | $5,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 2,000 | $2,000 | thousands by filing date | call |
| AT&T Inc | 00206R102 | COM | 3,200 | $1,000 | thousands by filing date | put |
| Bristol-Myers Squibb Company | 110122108 | COM | 2,000 | $1,000 | thousands by filing date | put |
| Chubb Limited | H1467J104 | COM | 200 | $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. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-18-000413 | this filing | 2018-02-08 | acceptance time not in the bulk data set |