13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2019-03-31, filed 2019-05-08, with 3,182 holding rows worth $44,016,312,000.
- Accession
- 0001403438-19-000004
- Filer
- CIK 1403438
- Filed
- 2019-05-08
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2019
A holdings report, 3,182 entries on the cover page, a total value of $44,016,312,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $44,016,312,000 with VALUE read as thousands by filing date, 13F file number 028-12526. 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 |
|---|---|---|---|---|---|---|
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 12,527 | $163,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 12,552 | $161,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 16,981 | $159,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 14,765 | $159,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 16,725 | $157,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 11,060 | $156,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 18,434 | $155,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 14,901 | $154,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 76,305 | $154,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 14,574 | $154,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 11,426 | $154,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 17,872 | $153,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 11,337 | $152,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 22,903 | $151,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 29,400 | $149,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 20,350 | $147,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 13,664 | $147,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 13,665 | $147,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 12,013 | $146,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 10,307 | $146,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 53,061 | $146,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 11,734 | $145,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 12,519 | $144,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 26,344 | $143,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 10,000 | $142,000 | thousands by filing date | call |
| First Foundation Inc | 32026V104 | Common Stock | 10,483 | $142,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 202,831 | $142,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 12,900 | $140,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 12,959 | $140,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 10,762 | $139,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E776 | FRONTIER MKTS | 10,152 | $139,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 19,414 | $137,000 | thousands by filing date | |
| World Gold TR | 98149E204 | SPRD GLD Minis | 10,625 | $137,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 10,590 | $133,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 22,089 | $133,000 | thousands by filing date | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 10,661 | $130,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 10,058 | $129,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 10,009 | $129,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 18,782 | $127,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 31,000 | $127,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 13,125 | $125,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 10,058 | $125,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 11,381 | $125,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 11,826 | $124,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 17,883 | $123,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 24,375 | $121,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 22,358 | $121,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 46,228 | $121,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 80,410 | $121,000 | thousands by filing date | |
| BANCO SANTANDER MEXICO SA | 05969B103 | SPONSORED ADS B | 17,554 | $119,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 11,255 | $119,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 14,766 | $119,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 11,810 | $119,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 25,897 | $118,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 24,524 | $118,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 10,450 | $116,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 18,199 | $115,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 114,976 | $114,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 16,965 | $112,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 25,876 | $110,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 15,804 | $109,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 10,306 | $108,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 11,900 | $108,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 14,221 | $107,000 | thousands by filing date | |
| SPIRIT MTA REIT | 84861U105 | COM SHS BEN IN | 16,413 | $107,000 | thousands by filing date | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 11,171 | $106,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 19,122 | $106,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 13,761 | $104,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 17,327 | $102,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 15,305 | $101,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 14,238 | $99,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 12,001 | $98,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 11,022 | $96,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 10,297 | $94,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 11,629 | $93,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 26,088 | $93,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 18,137 | $93,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 18,353 | $92,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 13,350 | $92,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 11,700 | $92,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 33,636 | $91,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 16,835 | $89,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 139,014 | $88,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 29,357 | $87,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 16,313 | $84,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 25,302 | $83,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 11,095 | $82,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 27,867 | $80,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 13,891 | $76,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 56,243 | $74,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 49,682 | $74,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 115,000 | $73,000 | thousands by filing date | principal |
| CORREVIO PHARMA CORP | 22026V105 | COM | 23,040 | $73,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 35,000 | $72,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 50,000 | $72,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 71,000 | $70,000 | thousands by filing date | principal |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 41,261 | $70,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 107,150 | $70,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 10,640 | $68,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 22,267 | $68,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 10,176 | $66,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 24,721 | $65,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 33,063 | $64,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 48,087 | $63,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 15,161 | $62,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 63,000 | $62,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 10,016 | $60,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 15,431 | $60,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 60,000 | $60,000 | thousands by filing date | principal |
| COEUR MNG INC COM NEW | 192108504 | Stock | 14,541 | $59,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 12,300 | $59,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 16,053 | $58,000 | thousands by filing date | |
| COOL HLDGS INC | 21640C105 | COM | 16,700 | $58,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 12,100 | $56,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 16,076 | $55,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 11,280 | $54,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 10,181 | $54,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 77,462 | $52,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 55,000 | $52,000 | thousands by filing date | principal |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 25,695 | $51,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 29,495 | $50,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 50,000 | $50,000 | thousands by filing date | principal |
| GROUPON INC | 399473107 | COMMON STOCK | 13,683 | $49,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 15,025 | $46,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 22,478 | $45,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 16,680 | $42,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 53,888 | $41,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 18,212 | $41,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 10,035 | $40,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 15,964 | $39,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 11,266 | $37,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 18,162 | $36,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 11,800 | $36,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 40,697 | $35,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 13,500 | $35,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 35,000 | $35,000 | thousands by filing date | principal |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 11,250 | $34,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 27,328 | $34,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 10,300 | $33,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 10,000 | $33,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 11,658 | $33,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 114,883 | $32,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 18,667 | $31,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 11,621 | $31,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 19,835 | $31,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 14,000 | $30,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 11,950 | $29,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 10,100 | $29,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 12,500 | $25,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 45,100 | $21,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 11,400 | $21,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 14,500 | $20,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 12,197 | $20,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 20,000 | $20,000 | thousands by filing date | principal |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 26,241 | $19,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 12,467 | $18,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 14,565 | $18,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 26,330 | $15,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 10,431 | $15,000 | thousands by filing date | principal |
| DENISON MINES CORP | 248356107 | COM | 26,787 | $14,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 27,900 | $14,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 31,780 | $14,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 17,762 | $14,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 12,625 | $12,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 20,441 | $12,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 22,000 | $12,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 10,400 | $11,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 10,950 | $11,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 17,000 | $10,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 10,950 | $10,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 10,500 | $10,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 10,000 | $10,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 16,677 | $8,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 10,610 | $8,000 | thousands by filing date | |
| MY SIZE INC | 62844N109 | COM | 10,072 | $8,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 12,010 | $7,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 17,000 | $6,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 13,000 | $6,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 25,000 | $5,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 40,000 | $4,000 | thousands by filing date | |
| WESTWATER RES INC | 961684107 | COM | 20,055 | $3,000 | thousands by filing date | |
| MYND ANALYTICS INC | 62857N111 | *W EXP 06/29/202 | 15,600 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-19-000004 | this filing | 2019-05-08 | acceptance time not in the bulk data set |