13F-HR filed by Cetera Advisors LLC
Cetera Advisors LLC filed this 13F-HR for the quarter ended 2023-09-30, filed 2023-11-14, with 1,700 holding rows worth $6,400,822,813.
- Accession
- 0001085146-23-004412
- Filer
- CIK 1534400
- Filed
- 2023-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2023
A holdings report, 1,700 entries on the cover page, a total value of $6,400,822,813 stated on the cover page (in dollars after the unit check, H1), rows summing to $6,400,822,813 with VALUE read as dollars as filed, 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 |
|---|---|---|---|---|---|---|
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 14,805 | $216,072 | dollars as filed | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 3,550 | $216,053 | dollars as filed | |
| PLUG PWR INC | 72919P202 | COM NEW | 28,413 | $215,939 | dollars as filed | |
| HOWMET AEROSPACE INC COM | 443201108 | Stock | 4,649 | $215,022 | dollars as filed | |
| APOLLO GLOBAL MGMT INC COM | 03769M106 | Stock | 2,390 | $214,552 | dollars as filed | |
| CROCS INC COM | 227046109 | Stock | 2,428 | $214,222 | dollars as filed | |
| PINNACLE FINANCIAL PARTNERS IN | 72346Q104 | COM | 3,181 | $213,278 | dollars as filed | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 7,098 | $213,153 | dollars as filed | |
| FRANKLIN TEMPLETON ETF TR | 35473P801 | US LRG CP MLTFCT | 4,941 | $212,795 | dollars as filed | |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 16,446 | $212,156 | dollars as filed | |
| ISHARES TR ETF GENOMICS IMMUNOLOGY & HEALTHCARE | 46435U192 | ETF | 10,425 | $212,145 | dollars as filed | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 2,145 | $212,141 | dollars as filed | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 694 | $211,892 | dollars as filed | |
| ROBERT HALF INC. COM | 770323103 | Stock | 2,884 | $211,370 | dollars as filed | |
| FIRST TR EXCHNG TRADED FD VI | 33740F680 | FT VEST US EQT | 6,204 | $211,246 | dollars as filed | |
| CNH INDL N V SHS | N20944109 | Stock | 17,272 | $210,995 | dollars as filed | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 6,534 | $210,721 | dollars as filed | |
| FIRST TR EXCH TRADED FD III | 33739P301 | MUNI HI INCM ETF | 4,664 | $210,214 | dollars as filed | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 8,495 | $209,404 | dollars as filed | |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 4,771 | $209,366 | dollars as filed | |
| ZOOM COMMUNICATIONS INC CL A | 98980L101 | Stock | 2,989 | $209,051 | dollars as filed | |
| ISHARES TR | 464288372 | COM | 4,820 | $208,647 | dollars as filed | |
| HILTON WORLDWIDE HLDGS INC COM | 43300A203 | Stock | 1,386 | $208,112 | dollars as filed | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 5,264 | $207,717 | dollars as filed | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 10,465 | $207,514 | dollars as filed | |
| AMPLIFY ETF TR | 032108888 | BLACKSWAN GRWT | 8,687 | $207,446 | dollars as filed | |
| TAPESTRY INC COM | 876030107 | Stock | 7,204 | $207,113 | dollars as filed | |
| SCORPIO TANKERS INC | Y7542C130 | SHS | 3,825 | $207,002 | dollars as filed | |
| VANECK ETF TRUST | 92189H201 | INTRMDT MUNI ETF | 4,690 | $206,829 | dollars as filed | |
| AUTOLIV INC | 052800109 | COM | 2,137 | $206,178 | dollars as filed | |
| NASDAQ INC COM | 631103108 | Stock | 4,233 | $205,702 | dollars as filed | |
| iShares ESG Aware MSCI USA Small-Cap ETF | 46435U663 | SHS | 6,109 | $205,568 | dollars as filed | |
| APPLIED INDL TECHNOLOGIES INC COM | 03820C105 | Stock | 1,329 | $205,528 | dollars as filed | |
| CHORD ENERGY CORPORATION | 674215207 | COM NEW | 1,267 | $205,343 | dollars as filed | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 39,708 | $204,496 | dollars as filed | |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 17,061 | $204,390 | dollars as filed | |
| DIMENSIONAL ETF TRUST | 25434V864 | SHOR DUR FIX ETF | 4,394 | $203,794 | dollars as filed | |
| WISDOMTREE TR | 97717X214 | EMERG MKTS ESG | 7,531 | $203,474 | dollars as filed | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 9,535 | $202,518 | dollars as filed | |
| WATERS CORP COM | 941848103 | Stock | 738 | $202,367 | dollars as filed | |
| HASBRO INC COM | 418056107 | Stock | 3,055 | $202,058 | dollars as filed | |
| BLACKSTONE SECD LENDING FD | 09261X102 | COMMON STOCK | 7,376 | $201,806 | dollars as filed | |
| NIO INC SPON ADS | 62914V106 | ADR | 22,246 | $201,104 | dollars as filed | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 10,237 | $195,535 | dollars as filed | |
| INVESCO LTD SHS | G491BT108 | Stock | 13,350 | $193,843 | dollars as filed | |
| AMCOR PLC | G0250X107 | ORD | 21,085 | $193,140 | dollars as filed | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 11,331 | $192,740 | dollars as filed | |
| INTEST CORP | 461147100 | COMMON STOCK | 12,674 | $192,265 | dollars as filed | |
| RPC INC | 749660106 | COMMON STOCK | 21,413 | $191,432 | dollars as filed | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 29,660 | $188,044 | dollars as filed | |
| INVESCO DB MULTI-SECTOR COMM | 46140H403 | OIL FD | 10,571 | $186,585 | dollars as filed | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 12,343 | $185,017 | dollars as filed | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 22,296 | $184,161 | dollars as filed | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 15,287 | $182,980 | dollars as filed | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 15,000 | $182,550 | dollars as filed | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 17,982 | $182,337 | dollars as filed | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 14,401 | $182,319 | dollars as filed | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 12,293 | $178,986 | dollars as filed | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 62,107 | $173,278 | dollars as filed | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 16,914 | $173,026 | dollars as filed | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 46,817 | $171,350 | dollars as filed | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 13,597 | $166,158 | dollars as filed | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 50,300 | $162,972 | dollars as filed | |
| YEXT INC | 98585N106 | COM | 25,742 | $162,947 | dollars as filed | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 51,462 | $161,590 | dollars as filed | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 23,150 | $159,967 | dollars as filed | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 13,779 | $159,281 | dollars as filed | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 18,819 | $150,552 | dollars as filed | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 14,451 | $148,985 | dollars as filed | |
| NLIGHT INC | 65487K100 | COM | 13,925 | $144,820 | dollars as filed | |
| HALEON PLC SPON ADS | 405552100 | ADR | 17,328 | $144,342 | dollars as filed | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 11,020 | $142,929 | dollars as filed | |
| SABRA HEALTH CARE REIT INC COM | 78573L106 | REIT | 10,251 | $142,904 | dollars as filed | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 11,064 | $134,542 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 11,947 | $130,815 | dollars as filed | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 11,852 | $130,610 | dollars as filed | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 14,204 | $129,825 | dollars as filed | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 14,899 | $129,025 | dollars as filed | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 34,489 | $128,987 | dollars as filed | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 38,184 | $128,680 | dollars as filed | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 10,423 | $128,301 | dollars as filed | |
| RIOT PLATFORMS INC | 767292105 | COM | 13,710 | $127,914 | dollars as filed | |
| AH RLTY TR INC | 04208T108 | COM | 12,449 | $127,476 | dollars as filed | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 11,460 | $125,940 | dollars as filed | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 16,298 | $124,026 | dollars as filed | |
| SPY | 78462F103 | SHS | 20,600 | $121,128 | dollars as filed | put |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 14,160 | $119,935 | dollars as filed | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 21,400 | $119,198 | dollars as filed | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 32,436 | $118,392 | dollars as filed | |
| APOLLO COML REAL ESTATE FIN | 03762U105 | COM | 11,667 | $118,187 | dollars as filed | |
| SKYWATER TECHNOLOGY INC COM | 83089J108 | Stock | 19,257 | $115,927 | dollars as filed | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 14,623 | $115,669 | dollars as filed | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 15,007 | $115,406 | dollars as filed | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 24,750 | $114,098 | dollars as filed | |
| BOGOTA FINL CORP | 097235105 | COM | 15,000 | $110,850 | dollars as filed | |
| SNAP INC | 83304A106 | CL A | 12,248 | $109,130 | dollars as filed | |
| EVOLUS INC | 30052C107 | COM | 11,477 | $104,900 | dollars as filed | |
| GREENBRIER COS INC | 393657AM3 | NOTE 2.875% 4/1 | 108,000 | $101,736 | dollars as filed | |
| AKAMAI TECHNOLOGIES INC | 00971TAL5 | NOTE 0.375% 9/0 | 97,000 | $101,026 | dollars as filed | |
| STRIDE INC | 86333MAA6 | NOTE 1.125% 9/0 | 96,000 | $100,848 | dollars as filed | |
| SEANERGY MARITIME HOLD F | Y73760400 | FOREIGN ORDINARIES | 18,201 | $100,470 | dollars as filed | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 13,083 | $100,347 | dollars as filed | |
| FORD MTR CO | 345370CZ1 | NOTE 3/1 | 100,000 | $98,250 | dollars as filed | |
| ABCELLERA BIOLOGICS INC COM | 00288U106 | Stock | 20,966 | $96,444 | dollars as filed | |
| KINROSS GOLD CORP | 496902404 | COM | 21,132 | $96,363 | dollars as filed | |
| UNDER ARMOUR INC | 904311206 | CL C | 14,634 | $93,365 | dollars as filed | |
| NEXTDOOR HOLDINGS INC | 65345M108 | COM CL A | 51,223 | $93,226 | dollars as filed | |
| AXOGEN INC | 05463X106 | COM | 18,399 | $91,995 | dollars as filed | |
| JOBY AVIATION INC | g65163100 | COMMON STOCK | 14,154 | $91,293 | dollars as filed | |
| INVESCO SR INCOME TR | 46131H107 | COM | 23,116 | $90,615 | dollars as filed | |
| TILRAY INC | 88688T100 | COM CL 2 | 37,143 | $88,772 | dollars as filed | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 11,523 | $88,036 | dollars as filed | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 14,700 | $86,730 | dollars as filed | |
| JETBLUE AIRWAYS CORP | 477143AP6 | NOTE 0.500% 4/0 | 112,000 | $86,587 | dollars as filed | |
| INVESCO QQQ TR | 46090E103 | COM | 21,200 | $86,284 | dollars as filed | put |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 10,380 | $86,154 | dollars as filed | |
| HALOZYME THERAPEUTICS INC | 40637HAD1 | NOTE 0.250% 3/0 | 101,000 | $85,224 | dollars as filed | |
| VIRTUS ALLIANZGI CONVERTIBLE & | 92838X102 | COM | 27,169 | $84,496 | dollars as filed | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 13,317 | $84,296 | dollars as filed | |
| ORION PROPERTIES INC COM | 68629Y103 | REIT | 16,081 | $83,784 | dollars as filed | |
| REDWOOD TRUST INC | 758075402 | COM | 11,422 | $81,439 | dollars as filed | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 12,307 | $81,102 | dollars as filed | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 17,845 | $80,658 | dollars as filed | |
| LUCID GROUP INC | 549498103 | COM | 14,355 | $80,244 | dollars as filed | |
| LCI INDS | 501812AB7 | NOTE 1.125% 5/1 | 86,000 | $79,894 | dollars as filed | |
| CHARGEPOINT HLDGS INC | 15961R105 | COM CL A | 15,722 | $78,136 | dollars as filed | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 10,578 | $77,963 | dollars as filed | |
| PACIRA BIOSCIENCES INC | 695127AF7 | NOTE 0.750% 8/0 | 86,000 | $77,347 | dollars as filed | |
| ITRON INC | 465741AN6 | NOTE 3/1 | 88,000 | $75,680 | dollars as filed | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 19,560 | $74,915 | dollars as filed | |
| HECLA MNG CO | 422704106 | COM | 18,428 | $72,053 | dollars as filed | |
| OUTDOOR HOLDING CO | 00175J107 | COMMON STOCK | 34,852 | $70,401 | dollars as filed | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 70,000 | $69,410 | dollars as filed | |
| FIRST TR EXCHNG TRADED FD VI | 33740F540 | SKYB CRY IND ETF | 13,847 | $68,404 | dollars as filed | |
| SOLAREDGE TECHNOLOGIES INC | 83417MAD6 | NOTE 9/1 | 75,000 | $68,363 | dollars as filed | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 17,410 | $65,460 | dollars as filed | |
| GABELLI UTIL TR | 36240A101 | COM | 12,239 | $64,868 | dollars as filed | |
| FIGS INC CLASS A | 30260D103 | COMMON STOCK | 10,749 | $63,419 | dollars as filed | |
| IMAX CORP | 45245EAJ8 | NOTE 0.500% 4/0 | 68,000 | $63,410 | dollars as filed | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAK7 | NOTE 1.250% 5/1 | 61,000 | $60,427 | dollars as filed | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 14,974 | $60,345 | dollars as filed | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 12,410 | $58,451 | dollars as filed | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 18,758 | $57,773 | dollars as filed | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 11,502 | $57,395 | dollars as filed | |
| KAMAN CORP | 483548AF0 | BOND | 59,000 | $57,271 | dollars as filed | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 11,716 | $56,940 | dollars as filed | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 18,042 | $56,292 | dollars as filed | |
| FUBOTV INC | 35953D104 | COM | 20,838 | $55,637 | dollars as filed | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 8,500 | $54,400 | dollars as filed | put |
| CAMECO CORP COM | 13321L108 | Stock | 17,200 | $53,664 | dollars as filed | put |
| AMERICAN LITHIUM CORP COM | 027259209 | COM | 36,289 | $53,127 | dollars as filed | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 10,424 | $51,078 | dollars as filed | |
| PETIQ INC | 71639TAB2 | NOTE 4.000% 6/0 | 48,000 | $46,470 | dollars as filed | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 17,827 | $43,676 | dollars as filed | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 10,488 | $43,315 | dollars as filed | |
| APTOSE BIOSCIENCES INC | 03835T309 | COM | 14,996 | $41,989 | dollars as filed | |
| HANESBRANDS INC | 410345102 | COM | 10,171 | $40,277 | dollars as filed | |
| UBER TECHNOLOGIES INC | 90353TAJ9 | NOTE 12/1 | 43,000 | $40,116 | dollars as filed | |
| LUMENTUM HLDGS INC | 55024UAD1 | NOTE 0.500%12/1 | 47,000 | $39,386 | dollars as filed | |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 42,000 | $38,588 | dollars as filed | |
| GUESS INC | 401617AD7 | BOND | 37,000 | $37,578 | dollars as filed | |
| ENPHASE ENERGY INC | 29355AAH0 | NOTE 3/0 | 42,000 | $36,855 | dollars as filed | |
| AIRBNB INC CLASS A | 009066AB7 | CLASS A | 41,000 | $36,080 | dollars as filed | |
| INDUSTRIAL LOGISTICS PPTYS T | 456237106 | COM SHS BEN INT | 12,356 | $35,709 | dollars as filed | |
| INSIGHT ENTERPRISES INC | 45765UAB9 | NOTE 0.750% 2/1 | 16,000 | $34,048 | dollars as filed | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 10,930 | $32,898 | dollars as filed | |
| AURORA CANNABIS INC-NEW | 05156X884 | COM | 55,050 | $32,171 | dollars as filed | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAH1 | NOTE 1.500% 6/1 | 32,000 | $31,101 | dollars as filed | |
| Apple Inc | 037833100 | COM | 3,400 | $30,940 | dollars as filed | put |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 11,172 | $29,941 | dollars as filed | |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 29,000 | $29,128 | dollars as filed | |
| CRACKER BARREL OLD CTRY STOR | 22410JAB2 | cv | 35,000 | $28,897 | dollars as filed | |
| FLEXSHOPPER INC | 33939J303 | COM | 27,400 | $28,633 | dollars as filed | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 28,000 | $27,524 | dollars as filed | |
| CRONOS GROUP INC | 22717L101 | COM | 13,082 | $26,164 | dollars as filed | |
| CHEESECAKE FACTORY INC | 163072AA9 | NOTE 0.375% 6/1 | 31,000 | $25,614 | dollars as filed | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 22,100 | $25,415 | dollars as filed | put |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 12,270 | $23,927 | dollars as filed | |
| LUMEN TECHNOLOGIES INC | 550241103 | COM | 16,503 | $23,434 | dollars as filed | |
| LUMENT FINANCE TRUST INC | 55025L108 | COM | 10,695 | $22,246 | dollars as filed | |
| OPKO HEALTH INC | 68375N103 | COM | 13,707 | $21,931 | dollars as filed | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAF5 | BOND | 21,000 | $20,645 | dollars as filed | |
| PRAXIS PRECISION MEDICINES I | 74006W108 | COM | 11,194 | $19,142 | dollars as filed | |
| KOPIN CORP | 500600101 | COMMON STOCK | 15,027 | $18,333 | dollars as filed | |
| HOPE BANCORP INC | 43940TAB5 | NOTE 2.000% 5/1 | 18,000 | $17,802 | dollars as filed | |
| AMERICAN RES CORP | 02927U208 | CL A | 10,500 | $17,535 | dollars as filed | |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 16,000 | $15,250 | dollars as filed | |
| VAXART INC NEW | 92243A200 | COM | 18,500 | $13,949 | dollars as filed | |
| VIRIOS THERAPEUTICS INC | 92829J104 | COM | 13,560 | $12,540 | dollars as filed | |
| GEVO INC | 374396406 | COM PAR | 10,001 | $11,901 | dollars as filed | |
| INTERDIGITAL INC | 45867GAB7 | BOND | 10,000 | $10,619 | dollars as filed | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 12,700 | $7,564 | dollars as filed | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 11,900 | $7,186 | dollars as filed | |
| INVITAE CORP | 46185L103 | COM | 11,377 | $6,885 | dollars as filed | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 15,000 | $2,520 | dollars as filed | |
| INPIXON | 45790J867 | COMMON | 10,067 | $1,126 | dollars as filed | |
| FIGS INC CLASS A | 30260D103 | COMMON STOCK | 900 | $108 | dollars as filed | call |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 800 | $54 | dollars as filed | call |
| SPY | 78462F103 | SHS | 500 | $20 | dollars as filed | call |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 100 | $1 | dollars as filed | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-23-004412 | this filing | 2023-11-14 | acceptance time not in the bulk data set |