13F-HR filed by Cetera Investment Advisers
Cetera Investment Advisers filed this 13F-HR for the quarter ended 2021-03-31, filed 2021-05-17, with 1,614 holding rows worth $5,081,224,000.
- Accession
- 0001085146-21-001717
- Filer
- CIK 1666741
- Filed
- 2021-05-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2021
A holdings report, 1,614 entries on the cover page, a total value of $5,081,224,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $5,081,224,000 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 |
|---|---|---|---|---|---|---|
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 23,360 | $178,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 12,811 | $178,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 12,933 | $178,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 13,357 | $177,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G8252P105 | SHS CL A | 10,320 | $177,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 17,205 | $176,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 12,762 | $176,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 12,977 | $174,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 11,131 | $173,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 11,510 | $173,000 | thousands by filing date | |
| HAYWARD HLDGS INC | 421298100 | COM | 10,178 | $172,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 16,742 | $171,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 12,406 | $171,000 | thousands by filing date | |
| ARRIVAL GROUP | L0423Q108 | SHS | 10,400 | $167,000 | thousands by filing date | |
| ZK INTL GROUP CO LTD SHS NEW | G9892K100 | Stock | 17,876 | $167,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 10,369 | $165,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | 500688106 | COM | 53,096 | $163,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 13,151 | $160,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 14,048 | $158,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 11,714 | $156,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 10,736 | $154,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 15,249 | $153,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 20,550 | $151,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 21,973 | $147,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 12,459 | $145,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 21,450 | $142,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 21,819 | $141,000 | thousands by filing date | |
| GRANITESHARES PLATINUM TR | 38748T103 | SHS BEN INT | 12,026 | $141,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 11,254 | $138,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 17,467 | $138,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 14,833 | $135,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 12,838 | $135,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 14,520 | $135,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 47,429 | $134,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 12,531 | $133,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 11,034 | $133,000 | thousands by filing date | |
| TELEFONICA BRASIL SA | 87936R205 | SPONSORED ADS | 16,232 | $128,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M100 | COM SER A | 10,811 | $127,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 21,929 | $124,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 13,854 | $123,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 20,689 | $121,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 24,300 | $117,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 39,585 | $117,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F107 | COM | 14,005 | $113,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 26,411 | $111,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 11,011 | $111,000 | thousands by filing date | |
| QUALIGEN THERAPEUTICS INC | 74754R103 | COM | 40,275 | $109,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 14,674 | $108,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 10,195 | $107,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 15,209 | $106,000 | thousands by filing date | |
| EQUITRANS MIDSTREAM CORP NPV | 294600101 | COM | 12,647 | $103,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 18,923 | $102,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 10,823 | $101,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 29,631 | $100,000 | thousands by filing date | |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 10,795 | $97,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 17,575 | $97,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 92,000 | $94,000 | thousands by filing date | |
| PRESIDIO PPTY TR INC | 74102L303 | COM CL A | 25,579 | $94,000 | thousands by filing date | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 19,531 | $93,000 | thousands by filing date | |
| HALL OF FAME RESORT & ENTMT | 40619L102 | COM | 18,326 | $92,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 17,745 | $90,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 13,813 | $90,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 20,970 | $86,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 14,604 | $82,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 17,109 | $79,000 | thousands by filing date | |
| MULTIPLAN CORPORATION | 62548M100 | COM | 13,884 | $77,000 | thousands by filing date | |
| SOS LIMITED | 83587W106 | SPNSORD ADS NEW | 15,000 | $75,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 18,560 | $73,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 13,764 | $73,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 14,871 | $72,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 17,954 | $72,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 11,477 | $70,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 15,110 | $65,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 27,037 | $63,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 35,535 | $63,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 10,046 | $62,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 15,266 | $58,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 25,000 | $57,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 50,000 | $54,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 16,375 | $53,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 11,084 | $48,000 | thousands by filing date | |
| PDS BIOTECHNOLOGY CORP | 70465T107 | COM | 10,500 | $48,000 | thousands by filing date | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 14,100 | $48,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 24,000 | $44,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 15,645 | $32,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 31,000 | $32,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 21,000 | $22,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 25,000 | $19,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 10,000 | $15,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 1,500 | $15,000 | thousands by filing date | put |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 1,500 | $15,000 | thousands by filing date | put |
| NIO INC SPON ADS | 62914V106 | ADR | 600 | $11,000 | thousands by filing date | put |
| IT TECH PACKAGING INC | 46527C100 | COM NEW | 13,000 | $9,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 700 | $5,000 | thousands by filing date | put |
| GABELLI UTIL TR | 36240A168 | RIGHT 04/14/2021 | 43,826 | $5,000 | thousands by filing date | |
| GENERAC HLDGS INC | 368736104 | COM | 400 | $4,000 | thousands by filing date | put |
| THOR INDS INC | 885160101 | COM | 300 | $3,000 | thousands by filing date | put |
| ISHARES TR | 464287168 | COM | 1,000 | $1,000 | thousands by filing date | put |
| META PLATFORMS INC CL A | 30303M102 | COM | 100 | $1,000 | thousands by filing date | call |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 300 | $1,000 | thousands by filing date | put |
| Advanced Micro Devices,Inc. | 007903107 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| 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. |
| Raytheon Technologies Corporation | 75513E101 | COM | 300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Walmart Inc. | 931142103 | COM | 300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| L3HARRIS TECHNOLOGIES INC COM | 502431109 | Stock | 300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ZOETIS INC CL A | 98978V103 | Stock | 200 | $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. |
| HORMEL FOODS CORP COM | 440452100 | Stock | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| 3M CO COM | 88579Y101 | Stock | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| TYSON FOODS INC CL A | 902494103 | Stock | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ARK ETF TR | 00214Q708 | BLOC FIN INN ETF | 1,400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SMUCKER J M CO | 832696405 | COM NEW | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-21-001717 | this filing | 2021-05-17 | acceptance time not in the bulk data set |