13F-HR filed by First Allied Advisory Services, Inc.
First Allied Advisory Services, Inc. filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-06, with 1,634 holding rows worth $2,810,418,000.
- Accession
- 0001085146-19-002756
- Filer
- CIK 1512647
- Filed
- 2019-11-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 1,634 entries on the cover page, a total value of $2,810,418,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,810,418,000 with VALUE read as thousands by filing date, 13F file number 028-14139. 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 |
|---|---|---|---|---|---|---|
| PENNEY J C INC | 708160106 | COM | 18,500 | $15,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061805 | GBL TAIL RISK ET | 612 | $15,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X214 | EMERG MKTS ESG | 500 | $15,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 15,000 | $15,000 | thousands by filing date | principal |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 375 | $14,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q761 | US QUALTY FCTR | 492 | $14,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 292 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y806 | ALTERNATIVE INCM | 884 | $14,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 125 | $14,000 | thousands by filing date | |
| INVESCO | 46138J841 | EXCHANGE TRADED | 621 | $14,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P806 | RIVRFRNT DYN EUR | 235 | $14,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 808 | $13,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 571 | $13,000 | thousands by filing date | |
| PACER DATA & ETF INFRASTRUCTURE REAL ESTATE | 69374H741 | ETF | 389 | $13,000 | thousands by filing date | |
| INVESCO S&P 500 EQUAL WEIGHT ENERGY ETF | 46137V365 | ETF | 277 | $13,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 201 | $13,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 168 | $13,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L696 | CMN | 190 | $13,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 36,000 | $13,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E834 | DWA TACTCL MLT | 500 | $13,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 320 | $12,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V381 | S&P500 EQL DIS | 120 | $12,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 404 | $12,000 | thousands by filing date | |
| ISHARES TR | 46435G243 | COM | 403 | $11,000 | thousands by filing date | |
| PACER FDS TR | 69374H204 | TRENDP US MID CP | 373 | $11,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 274 | $11,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 392 | $11,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 258 | $11,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 300 | $10,000 | thousands by filing date | |
| ISHARES INC | 46434G780 | MSCI SINGPOR ETF | 450 | $10,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 405 | $10,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 230 | $10,000 | thousands by filing date | |
| JP Morgan Exchange Traded Fund | 46641Q712 | Betbuld Japan | 424 | $10,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E848 | INSIGHTSHARES | 400 | $10,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 91 | $9,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 218 | $9,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 824 | $9,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 670 | $9,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 379 | $9,000 | thousands by filing date | principal |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 273 | $8,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 89 | $8,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 260 | $8,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 247 | $8,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G847 | GBL CLEAN ENRG | 670 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 201 | $8,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 323 | $8,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 200 | $8,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P509 | RIVRFRNT DY ASIA | 150 | $8,000 | thousands by filing date | |
| PROSHARES TR ULTSHRT QQQ | 74347B243 | CEF | 267 | $8,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 120 | $7,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 155 | $7,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 143 | $7,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 164 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 110 | $7,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G862 | FLOAT RATE ETF | 300 | $7,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 800 | $7,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 280 | $7,000 | thousands by filing date | principal |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 397 | $6,000 | thousands by filing date | |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 267 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 67 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 160 | $6,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 500 | $6,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 200 | $6,000 | thousands by filing date | |
| ISHARES TR | 46435G805 | MSCI MEXICO | 369 | $6,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 3,300 | $5,000 | thousands by filing date | put |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 54 | $5,000 | thousands by filing date | |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 83 | $5,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E743 | RAFI DVLPD MRKTS | 122 | $5,000 | thousands by filing date | |
| ISHARES TR | 464287861 | EUROPE ETF | 126 | $5,000 | thousands by filing date | |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 197 | $5,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 117 | $5,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E800 | CHINA TECHNLGY | 100 | $5,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E669 | GLOBAL EX US HGH | 226 | $5,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 62 | $5,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V290 | S&P500 EQL REL | 169 | $5,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 104 | $5,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 99 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X156 | US SHT TRM CORP | 110 | $5,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J305 | MULTIFACTOR CO | 143 | $5,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J404 | CMN | 125 | $5,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J867 | MLTFACTR UTILS | 147 | $5,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J875 | MLTFCTR CONSMR | 166 | $5,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J602 | mc | 97 | $5,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 198 | $5,000 | thousands by filing date | principal |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 60 | $4,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 2,000 | $4,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 269 | $4,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 145 | $4,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V522 | BLOO AN RATI ETF | 87 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 306 | $4,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E388 | S&P 500 EX RAT | 101 | $4,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 139 | $4,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V555 | INSIDER SENMNT | 59 | $4,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 15 | $3,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 114 | $3,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 2,400 | $3,000 | thousands by filing date | put |
| AMPLIFY ETF TR | 032108409 | CWP ENHANCED DIV | 100 | $3,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G706 | SOLAR ETF | 90 | $3,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCH TRD FD TR GLOBAL WATER PORT | 46138E651 | ETF | 125 | $3,000 | thousands by filing date | |
| VANECK RUSSIA ETF | 92189F403 | ETF | 175 | $3,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 100 | $3,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V159 | CMN | 65 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 228 | $3,000 | thousands by filing date | |
| SHIFTPIXY INC | 82452L104 | COM | 10,180 | $3,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 142 | $2,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 29 | $2,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 120 | $2,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 49 | $2,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 41 | $2,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 187 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 82 | $2,000 | thousands by filing date | |
| DBX ETF TR | 233051473 | XTRCK BRCLY TRSY | 38 | $2,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 38 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R407 | NASDAQ BUYWRITE | 55 | $1,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H102 | DURABLE HGH DIV | 47 | $1,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 19 | $1,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 9 | $1,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 35 | $1,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 16 | $1,000 | thousands by filing date | |
| INVESCO INTERNATIONAL CORPORAT | 46138E636 | INTL CORP BD | 38 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 122 | $1,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 18 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 14 | $1,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 43 | $1,000 | thousands by filing date | |
| iShares MSCI Russia ETF Special | 46434G798 | Exchange Traded Fund | 31 | $1,000 | thousands by filing date | |
| VISTRA CORP | 92840M128 | COM | 426 | $1,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 43 | $1,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 210 | $1,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F668 | UNCVTL OIL GAS | 130 | $1,000 | thousands by filing date | |
| DBX ETF TR | 233051465 | XTRCK BRCLY INTL | 19 | $1,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| LENNAR CORP CL B | 526057302 | Stock | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SANOFI | 80105N113 | COMMON STOCK-FO | 358 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-19-002756 | this filing | 2019-11-06 | acceptance time not in the bulk data set |