13F-HR filed by First Allied Advisory Services, Inc.
First Allied Advisory Services, Inc. filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-14, with 1,119 holding rows worth $2,321,615,000.
- Accession
- 0001512647-17-000004
- Filer
- CIK 1512647
- Filed
- 2017-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 1,119 entries on the cover page, a total value of $2,321,615,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,321,615,000 with VALUE read as thousands by filing date, 13F file number 028-14139. 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 |
|---|---|---|---|---|---|---|
| GENUINE PARTS CO COM | 372460105 | Stock | 2,178 | $208,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 8,011 | $207,000 | thousands by filing date | |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 2,009 | $206,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 6,479 | $206,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 7,384 | $206,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 13,237 | $206,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 15,290 | $206,000 | thousands by filing date | |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 3,675 | $205,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 15,146 | $205,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 16,313 | $205,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 7,790 | $204,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 5,024 | $204,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 13,474 | $203,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 5,257 | $203,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 6,550 | $203,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q585 | SPROTT JR GLD | 5,857 | $203,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 1,590 | $202,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 4,005 | $202,000 | thousands by filing date | |
| BERKLEY W R CORP COM | 084423102 | Stock | 3,061 | $202,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 3,959 | $202,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 5,690 | $202,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 3,664 | $201,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 1,090 | $200,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 4,500 | $200,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 9,769 | $200,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 28,335 | $198,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 11,854 | $195,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 10,253 | $194,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 54,200 | $193,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 11,896 | $191,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 15,670 | $190,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 35,912 | $190,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 28,469 | $187,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 13,601 | $186,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 16,050 | $185,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 16,282 | $183,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 26,378 | $180,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 16,671 | $180,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 13,147 | $179,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 13,647 | $175,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 18,050 | $174,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 11,344 | $173,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 30,619 | $170,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 11,665 | $168,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 11,510 | $167,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 12,655 | $166,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 11,406 | $164,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 18,150 | $164,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 19,398 | $161,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 21,197 | $161,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 15,600 | $161,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 10,914 | $161,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 11,368 | $160,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 12,168 | $159,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 10,262 | $158,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 10,401 | $158,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 13,096 | $157,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 14,472 | $156,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 15,717 | $152,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 10,778 | $150,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 10,619 | $149,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 21,549 | $149,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 26,980 | $142,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 21,083 | $141,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 10,000 | $140,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 17,738 | $140,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 35,074 | $136,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 133,000 | $136,000 | thousands by filing date | principal |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 12,268 | $135,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 16,008 | $134,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 18,650 | $132,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 11,066 | $132,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 11,555 | $131,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 125,000 | $129,000 | thousands by filing date | principal |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 22,508 | $126,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 12,374 | $125,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 19,065 | $125,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 14,705 | $122,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 10,000 | $119,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 12,775 | $118,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 13,000 | $116,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 18,855 | $113,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 12,610 | $113,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 19,082 | $109,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 10,034 | $107,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 17,350 | $107,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 33,000 | $94,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 12,250 | $88,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 10,000 | $85,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 10,864 | $80,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 13,821 | $78,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 19,936 | $72,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 18,051 | $72,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 12,247 | $70,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 17,083 | $70,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 12,715 | $69,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 60,000 | $68,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 15,566 | $67,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 26,000 | $66,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 10,998 | $66,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 10,517 | $65,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 11,409 | $63,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 22,715 | $56,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 14,589 | $48,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 38,212 | $45,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 10,470 | $38,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 10,000 | $37,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 35,550 | $35,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 17,648 | $33,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 31,000 | $23,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 10,000 | $23,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 34,500 | $16,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 10,000 | $13,000 | thousands by filing date | put |
| SPY | 78462F103 | SHS | 2,900 | $10,000 | thousands by filing date | put |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 3,000 | $9,000 | thousands by filing date | put |
| Intuit Inc. | 461202103 | COM | 700 | $7,000 | thousands by filing date | put |
| MACYS INC COM | 55616P104 | Stock | 2,000 | $4,000 | thousands by filing date | call |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 1,500 | $2,000 | thousands by filing date | call |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001512647-17-000004 | this filing | 2017-11-14 | acceptance time not in the bulk data set |