13F-HR filed by Cetera Investment Advisers
Cetera Investment Advisers filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-16, with 1,794 holding rows worth $6,289,006,000.
- Accession
- 0001085146-21-003412
- Filer
- CIK 1666741
- Filed
- 2021-11-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, 1,794 entries on the cover page, a total value of $6,289,006,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $6,289,006,000 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 |
|---|---|---|---|---|---|---|
| NVENT ELEC PLC SHS | G6700G107 | Stock | 8,488 | $274,000 | thousands by filing date | |
| TEXAS ROADHOUSE INC COM | 882681109 | Stock | 3,001 | $274,000 | thousands by filing date | |
| FREYR BATTERY | L4135L100 | SHS | 27,600 | $272,000 | thousands by filing date | |
| INNOVATOR U.S. SMALL CAP POWER BUFFER ETF - JULY | 45782C284 | ETF | 10,426 | $272,000 | thousands by filing date | |
| INNOVATOR ETFS TR ETF S&P 500 ULTRA BUFFER ETF FEBRUARY | 45782C425 | ETF | 9,869 | $272,000 | thousands by filing date | |
| SPDR SER TR | 78468R101 | PORTFOLIO SH TSR | 8,859 | $271,000 | thousands by filing date | |
| CIRRUS LOGIC INC COM | 172755100 | Stock | 3,281 | $270,000 | thousands by filing date | |
| CABLE ONE INC | 12685J105 | COM | 149 | $270,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R811 | NASDQ SEMCNDTR | 3,964 | $269,000 | thousands by filing date | |
| iShares ESG Aware US Aggregate Bond ETF | 46435U549 | SHS | 4,817 | $266,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 3,365 | $266,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F623 | FT VEST US EQT | 8,046 | $266,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 20,852 | $266,000 | thousands by filing date | |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 8,708 | $265,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 19,471 | $265,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 2,996 | $265,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 19,323 | $265,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 1,442 | $264,000 | thousands by filing date | |
| GLACIER BANCORP INC NEW | 37637Q105 | COM | 4,763 | $264,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 30,657 | $264,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 27,755 | $264,000 | thousands by filing date | |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 2,944 | $263,000 | thousands by filing date | |
| INNOVATOR ETFS TR | 45782C136 | DOUBLE STACKR 9 | 9,483 | $263,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 4,925 | $262,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 4,150 | $262,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N824 | VCSHS US EQ INCM | 4,077 | $262,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 24,118 | $261,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 762 | $260,000 | thousands by filing date | |
| ICON PUB LTD CO SHS | G4705A100 | Stock | 993 | $260,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 15,914 | $259,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505715 | NORTH SHOR GBL | 3,366 | $259,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 15,029 | $258,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 2,930 | $257,000 | thousands by filing date | |
| SYNOPSYS INC COM | 871607107 | Stock | 857 | $257,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 2,557 | $257,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 2,551 | $257,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 6,102 | $257,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45783Y871 | GRWT ACLRTD PLUS | 9,869 | $257,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 4,938 | $257,000 | thousands by filing date | |
| UDR INC COM | 902653104 | REIT | 4,827 | $256,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 3,544 | $256,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 22,283 | $254,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 4,282 | $254,000 | thousands by filing date | |
| CARMAX INC COM | 143130102 | Stock | 1,978 | $253,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 5,590 | $253,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 41,295 | $252,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 2,385 | $251,000 | thousands by filing date | |
| DUCK CREEK TECHNOLOGIES INC | 264120106 | SHS | 5,663 | $251,000 | thousands by filing date | |
| GOOSEHEAD INS INC | 38267D109 | COM CL A | 1,642 | $250,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 13,694 | $249,000 | thousands by filing date | |
| UPSTARTHLDGSINC | 91680M107 | STOK | 784 | $248,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW COM | 33767E202 | Stock | 1,374 | $248,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 2,296 | $248,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 5,929 | $248,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 4,889 | $247,000 | thousands by filing date | |
| SEI INVTS CO COM | 784117103 | Stock | 4,174 | $247,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 4,454 | $246,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 2,875 | $246,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 8,745 | $246,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 14,930 | $245,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 4,753 | $244,000 | thousands by filing date | |
| ISHARES INC MSCI TAIWAN ETF | 46434G772 | MSCI TAIWAN ETF | 3,935 | $244,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 41,337 | $244,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 10,028 | $244,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 11,172 | $243,000 | thousands by filing date | |
| HORIZON THERAPEUTICS PLC | G46188101 | SHS | 2,215 | $243,000 | thousands by filing date | |
| BENTLEY SYS INC COM CL B | 08265T208 | Stock | 3,984 | $242,000 | thousands by filing date | |
| PRECIGEN INC | 74017N105 | COM | 48,404 | $242,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 4,508 | $242,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H534 | INSPIRE 100 ETF | 5,690 | $242,000 | thousands by filing date | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 3,324 | $241,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 558 | $240,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 20,102 | $239,000 | thousands by filing date | |
| DORMAN PRODS INC | 258278100 | COM | 2,510 | $238,000 | thousands by filing date | |
| ALLETE INC | 018522300 | COM NEW | 3,996 | $238,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 37,567 | $238,000 | thousands by filing date | |
| APPLE HOSPITALITY REIT INC COM NEW | 03784Y200 | REIT | 15,016 | $236,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 39,998 | $236,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 1,965 | $235,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 2,083 | $235,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G664 | S&P SMALLCAP 600 | 2,003 | $234,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 16,867 | $234,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 10,732 | $233,000 | thousands by filing date | |
| BEAM GLOBAL | 07373B109 | COM | 8,524 | $233,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E764 | ARMOR US EQT IDX | 9,500 | $232,000 | thousands by filing date | |
| EVERGY INC COM | 30034W106 | Stock | 3,707 | $231,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C649 | US EQTY ULTRA B | 8,314 | $231,000 | thousands by filing date | |
| JANUS HENDERSON SMALL/MID CAP GROWTH ALPHA ETF | 47103U209 | ETF | 3,560 | $231,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 10,100 | $229,000 | thousands by filing date | |
| RYDER SYS INC COM | 783549108 | Stock | 2,769 | $229,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 4,067 | $229,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L662 | HIG YLD VL ETF | 4,596 | $229,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 5,004 | $227,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 4,783 | $227,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 4,371 | $227,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 28,140 | $225,000 | thousands by filing date | |
| FUBOTV INC | 35953D104 | COM | 9,410 | $225,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E800 | CHINA TECHNLGY | 3,423 | $225,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 1,289 | $225,000 | thousands by filing date | |
| FORTIVE CORP COM | 34959J108 | Stock | 3,172 | $224,000 | thousands by filing date | |
| ISHARES TR | 46436E551 | ESG SELECT SCRE | 6,184 | $224,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 3,008 | $223,000 | thousands by filing date | |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 2,322 | $223,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E586 | KBW PPTY CASUT | 2,931 | $223,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 1,110 | $222,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C722 | INTRNL DEV JULY | 9,158 | $222,000 | thousands by filing date | |
| NVR INC COM | 62944T105 | Stock | 46 | $221,000 | thousands by filing date | |
| GUARDANT HEALTH INC COM | 40131M109 | Stock | 1,768 | $221,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 19,850 | $221,000 | thousands by filing date | |
| CDK GLOBAL INC | 12508E101 | COM | 5,178 | $220,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F528 | VANECK SHRT MUNI | 12,166 | $219,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 9,805 | $218,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 15,714 | $218,000 | thousands by filing date | |
| ROLLINS INC COM | 775711104 | Stock | 6,146 | $217,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 3,772 | $216,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 4,108 | $216,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 12,139 | $215,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 6,441 | $215,000 | thousands by filing date | |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 4,429 | $215,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 4,314 | $215,000 | thousands by filing date | |
| iShares High Yield Systematic Bond ETF | 46435G250 | SHS | 4,145 | $214,000 | thousands by filing date | |
| TOPBUILD COR COM | 89055F103 | Stock | 1,045 | $214,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 2,050 | $214,000 | thousands by filing date | |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 1,966 | $214,000 | thousands by filing date | |
| HEALTHPEAK PROPERTIES INC COM | 42250P103 | REIT | 6,407 | $214,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | 500688106 | COM | 72,176 | $214,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 6,873 | $214,000 | thousands by filing date | |
| RELIANCE INC | 759509102 | COM | 1,502 | $214,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 15,507 | $214,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 4,214 | $214,000 | thousands by filing date | |
| SABRA HEALTH CARE REIT INC COM | 78573L106 | REIT | 14,468 | $213,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 4,333 | $213,000 | thousands by filing date | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 3,801 | $212,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 744 | $211,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 2,968 | $211,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 12,071 | $211,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 4,512 | $211,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 2,201 | $211,000 | thousands by filing date | |
| PROSHARES TR | 74347B540 | MSCI EUR DIV | 4,069 | $211,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P209 | COM | 15,427 | $211,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 2,606 | $210,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 29,839 | $210,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 1,721 | $210,000 | thousands by filing date | |
| FIVERR INTL LTD ORD SHS | M4R82T106 | Stock | 1,142 | $209,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 11,791 | $209,000 | thousands by filing date | |
| DIMENSIONAL ETF TRUST | 25434V302 | EMGR CRE EQT MNG | 7,673 | $209,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 16,672 | $209,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 2,308 | $208,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 6,667 | $208,000 | thousands by filing date | |
| IDACORP INC | 451107106 | COM | 1,999 | $207,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 3,156 | $207,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 2,565 | $206,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C276 | GRWT100 PWR BUF | 4,444 | $206,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 1,929 | $205,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 3,061 | $205,000 | thousands by filing date | |
| CONSTRUCTION PARTNERS INC | 21044C107 | COM CL A | 6,132 | $205,000 | thousands by filing date | |
| APPIAN CORP | 03782L101 | CL A | 2,218 | $205,000 | thousands by filing date | |
| INNOVATOR ETFS TR ETF S&P 500 BUFFER SEPTEMBER | 45782C664 | ETF | 6,565 | $205,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 1,673 | $204,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 26,587 | $204,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 3,258 | $204,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C557 | US EQTY BUF DEC | 6,081 | $204,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 10,777 | $203,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 7,700 | $203,000 | thousands by filing date | |
| COMFORT SYS USA INC COM | 199908104 | Stock | 2,853 | $203,000 | thousands by filing date | |
| DUTCH BROS INC | 26701L100 | CL A | 4,681 | $203,000 | thousands by filing date | |
| HYLIION HOLDINGS CORP | 449109107 | COMMON STOCK | 24,143 | $203,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 10,854 | $203,000 | thousands by filing date | |
| INVESCO S&P SMALLCAP 600PURE VALUE ETF | 46137V167 | ETF | 2,176 | $202,000 | thousands by filing date | |
| FOX FACTORY HLDG CORP | 35138V102 | COM | 1,382 | $200,000 | thousands by filing date | |
| AGCO CORP | 001084102 | COM | 1,630 | $200,000 | thousands by filing date | |
| DBX ETF TR | 233051481 | XTRA RU 1000 ETF | 4,531 | $200,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E420 | CMN | 4,484 | $200,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 14,255 | $195,000 | thousands by filing date | |
| CINEMARK HLDGS INC COM | 17243V102 | Stock | 10,000 | $192,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 26,942 | $190,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 18,727 | $190,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 15,865 | $188,000 | thousands by filing date | |
| Alight Inc | 01626W119 | Warrant / Rights | 61,500 | $188,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 11,574 | $185,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 21,500 | $184,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 17,205 | $182,000 | thousands by filing date | |
| UWM HOLDINGS CORPORATION COM CL A | 91823B109 | Stock | 26,050 | $181,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 18,952 | $181,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 11,386 | $179,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 11,695 | $177,000 | thousands by filing date | |
| PAYSAFE LIMITED | G6964L115 | *W EXP 03/30/202 | 95,600 | $177,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 18,375 | $176,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 11,795 | $175,000 | thousands by filing date | |
| TELEFONICA BRASIL SA | 87936R205 | SPONSORED ADS | 22,409 | $174,000 | thousands by filing date | |
| Global X Cannabis ETF | 37954Y426 | EX TRD EQ FD | 19,437 | $174,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 11,826 | $173,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 16,059 | $173,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 16,806 | $172,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 17,537 | $171,000 | thousands by filing date | |
| FISKER INC | 33813J106 | CL A COM STK | 11,424 | $167,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 11,118 | $165,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 12,167 | $161,000 | thousands by filing date | |
| VILLAGE FARMS INTL INC | 92707Y108 | COM | 19,138 | $160,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 20,468 | $158,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 17,692 | $158,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 10,578 | $155,000 | thousands by filing date | |
| AVEANNA HEALTHCARE HLDGS INC | 05356F105 | COM | 18,778 | $151,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 11,255 | $151,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 20,650 | $146,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 10,594 | $144,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 20,011 | $143,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 14,924 | $141,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 12,214 | $140,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 13,764 | $140,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 10,043 | $139,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 57,328 | $138,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 28,016 | $138,000 | thousands by filing date | |
| PRECISION BIOSCIENCES INC | 74019P108 | COM | 11,786 | $136,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 29,217 | $134,000 | thousands by filing date | |
| SHELL MIDSTREAM PARTNERS L P | 822634101 | UNIT LTD INT | 11,312 | $133,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 12,244 | $132,000 | thousands by filing date | |
| DIGITALBRIDGE GROUP INC | 25401T108 | CL A COM | 21,819 | $132,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 10,755 | $127,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 10,989 | $126,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 27,648 | $123,000 | thousands by filing date | |
| EVGO INC | 30052F100 | CL A COM | 15,000 | $122,000 | thousands by filing date | |
| GRANITESHARES PLATINUM TR | 38748T103 | SHS BEN INT | 12,843 | $122,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 12,075 | $121,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 11,450 | $118,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 56,860 | $118,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 21,579 | $116,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 21,000 | $113,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 15,974 | $112,000 | thousands by filing date | |
| VPC IMPACT ACQUISITION HLDNG | G9441E100 | SHS CL A | 11,100 | $112,000 | thousands by filing date | |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 10,360 | $108,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 10,548 | $106,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 12,880 | $104,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 102,000 | $104,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 11,333 | $100,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 26,241 | $99,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 16,846 | $99,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 10,224 | $96,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 17,652 | $94,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 10,823 | $93,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 21,470 | $91,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 21,635 | $90,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F107 | COM | 16,405 | $90,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 12,475 | $88,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 13,800 | $88,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 14,216 | $84,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 16,040 | $83,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 12,195 | $80,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 32,067 | $79,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 18,734 | $74,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 12,000 | $73,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G203 | SPONSORD ADS NEW | 12,680 | $72,000 | thousands by filing date | |
| PRESIDIO PPTY TR INC | 74102L303 | COM CL A | 18,557 | $70,000 | thousands by filing date | |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 14,195 | $66,000 | thousands by filing date | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 18,309 | $62,000 | thousands by filing date | |
| NEW FOUND GOLD CORP | 64440N103 | COM | 10,000 | $61,000 | thousands by filing date | |
| PHIO PHARMACEUTICALS CORP | 71880W303 | COM | 30,000 | $61,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 11,604 | $60,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 15,610 | $57,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 18,224 | $56,000 | thousands by filing date | |
| TMC THE METALS CO INC | 87261Y106 | COMMON STOCK | 12,000 | $55,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 50,000 | $54,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 10,000 | $48,000 | thousands by filing date | |
| TILRAY BRANDS INC | 88688TAB6 | NOTE 5.000%10/0 | 48,000 | $47,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 2,200 | $41,000 | thousands by filing date | put |
| B2GOLD CORP COM | 11777Q209 | Stock | 12,107 | $41,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 15,751 | $40,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 16,230 | $38,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 31,000 | $31,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 10,400 | $24,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 21,000 | $21,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 25,000 | $20,000 | thousands by filing date | |
| NEWAGE INC | 650194103 | COMMON STOCK | 11,675 | $16,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 10,000 | $11,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 15,300 | $8,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 600 | $7,000 | thousands by filing date | call |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 400 | $4,000 | thousands by filing date | put |
| SCOTTS MIRACLE-GRO CO | 810186106 | CL A | 400 | $4,000 | thousands by filing date | put |
| SMUCKER J M CO | 832696405 | COM NEW | 400 | $4,000 | thousands by filing date | put |
| Coca-Cola Company | 191216100 | COM | 200 | $1,000 | thousands by filing date | put |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 600 | $1,000 | thousands by filing date | put |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 300 | $1,000 | thousands by filing date | put |
| L3HARRIS TECHNOLOGIES INC COM | 502431109 | Stock | 100 | $1,000 | thousands by filing date | put |
| SIGNATURE BANK | 82669G104 | COM | 100 | $1,000 | thousands by filing date | call |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ISHARES TR | 464287168 | COM | 1,300 | $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. |
| Pfizer Inc. | 717081103 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| CONAGRA FOODS INC | 205887102 | COM | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | 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. |
| GENERAL MILLS INC COM | 370334104 | Stock | 400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| HORMEL FOODS CORP COM | 440452100 | Stock | 400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| TYSON FOODS INC CL A | 902494103 | Stock | 400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-21-003412 | this filing | 2021-11-16 | acceptance time not in the bulk data set |