13F-HR filed by Cetera Investment Advisers
Cetera Investment Advisers filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-17, with 1,568 holding rows worth $5,052,857,000.
- Accession
- 0001085146-21-001015
- Filer
- CIK 1666741
- Filed
- 2021-02-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A holdings report, 1,568 entries on the cover page, a total value of $5,052,857,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $5,052,857,000 with VALUE read as thousands by filing date, 13F file number 028-17296. 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 |
|---|---|---|---|---|---|---|
| TANGER INC | 875465106 | COM | 13,878 | $138,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 17,467 | $138,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 10,787 | $134,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 13,050 | $131,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 18,966 | $131,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 10,080 | $130,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 13,629 | $129,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 10,051 | $127,000 | thousands by filing date | |
| QUALIGEN THERAPEUTICS INC | 74754R103 | COM | 40,275 | $121,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 22,173 | $115,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 10,584 | $115,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 13,100 | $113,000 | thousands by filing date | |
| Up Fintech Holding Ltd | 91531W106 | COM | 14,242 | $113,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 22,456 | $111,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 11,611 | $110,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 11,365 | $105,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 25,648 | $102,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 14,811 | $101,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 13,459 | $100,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 25,051 | $97,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 21,872 | $97,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 11,095 | $96,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 30,032 | $95,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 92,000 | $94,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 20,078 | $93,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 11,758 | $88,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 24,000 | $86,000 | thousands by filing date | |
| EQUITRANS MIDSTREAM CORP NPV | 294600101 | COM | 10,439 | $84,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 16,264 | $84,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 12,819 | $84,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 12,355 | $82,000 | thousands by filing date | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 18,181 | $75,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 20,369 | $75,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO CL A | 03748R747 | REIT | 13,156 | $69,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 21,409 | $68,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 14,218 | $66,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 32,410 | $64,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 15,960 | $63,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 17,000 | $57,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 10,000 | $56,000 | thousands by filing date | |
| DPW HLDGS INC COM | 26140E600 | Stock | 10,000 | $44,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 53,082 | $37,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 11,477 | $36,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 11,540 | $33,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 10,986 | $31,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 31,000 | $31,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 10,000 | $22,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 21,000 | $22,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 1,800 | $20,000 | thousands by filing date | put |
| ENERGOUS CORP | 29272C103 | COM | 11,000 | $20,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 25,000 | $19,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 15,000 | $15,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 10,000 | $13,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 1,100 | $6,000 | thousands by filing date | put |
| ZOMEDICA CORP COM | 98980M109 | Stock | 20,900 | $5,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 15,000 | $5,000 | thousands by filing date | |
| GUARDION HEALTH SCIENCES INC COM | 40145Q203 | Stock | 10,000 | $4,000 | thousands by filing date | |
| LYFT INC | 55087P104 | CL A COM | 100 | $1,000 | thousands by filing date | call |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 100 | $1,000 | thousands by filing date | call |
| Coca-Cola Company | 191216100 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Johnson & Johnson | 478160104 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Microsoft Corp | 594918104 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| FORD MTR CO COM | 345370860 | Stock | 700 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ZOOM COMMUNICATIONS INC CL A | 98980L101 | Stock | 400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| MARATHON PETE CORP COM | 56585A102 | Stock | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-21-001015 | this filing | 2021-02-17 | acceptance time not in the bulk data set |