13F-HR filed by Advisor Group, Inc.
Advisor Group, Inc. filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-09, with 4,620 holding rows worth $4,062,014,000.
- Accession
- 0001681115-16-000009
- Filer
- CIK 1681115
- Filed
- 2016-11-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 12,739 entries on the cover page, a total value of $4,062,014,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $4,062,014,000 with VALUE read as thousands by filing date, 13F file number 028-17493. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- included managerROYAL ALLIANCE ASSOCIATES INC
- included managerSAGEPOINT FINANCIAL, INC.
- included managerFSC Securities CORP
- included managerWOODBURY FINANCIAL SERVICES, INC.
- included managerVision2020 Wealth Management Copr.
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 |
|---|---|---|---|---|---|---|
| INFOSONICS CORP | 456784107 | COM | 900 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 9,445 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 98 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOAMBER INC | 09072Q106 | COM | 112 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 15,187 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QAD INC-B | 74727D207 | Common | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 94 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 136 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 180 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERNET GOLD-GOLDEN LINES | M56595107 | COM | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 35 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 4,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 22 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 43 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| OSIRIS THERAPEUTICS COMMON STOCK | 68827R908 | Cmn | 10 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ESCALON MED CORP CMN STK | 296074305 | Cmn | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIENTRA INC | 82621J105 | COM | 3,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AETERNA ZENTARIS INC | 007975402 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 42 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 85 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASHFORD INC | 044104107 | COM | 103 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 9,258 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MARA HLDGS INC | 56585W203 | COM | 5,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 2,179 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 275 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QUORUM HEALTH CORP | 74909E106 | COM | 93 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 2,179 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 109 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COVISINT CORP | 22357R103 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 63 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYREN LTD | M26895108 | SHS | 33 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EUROSEAS LTD | Y23592309 | SHS NEW | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WINDTREE THERAPEUTICS INC | 97382D105 | COM | 130 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 68 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 24 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 69 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 26 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 67 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 37 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FCB Financial Holdings Inc Cla | 30255G103 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RXI PHARMACEUTICALS CORP NEW | 74979C501 | COM | 163 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUPERCONDUCTOR TECHNOLOGIES | 867931503 | COM PAR NEW | 42 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARRACUDA NETWORKS INC | 068323104 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 130 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 29 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 55 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 60 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 80 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 70 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 54 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 1,101 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 49 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIFFERENTIAL BRANDS GROUP IN | 25374L108 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACTUA CORPORATION | 005094107 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 7,046 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REPLIGEN CORP | 759916AA7 | NOTE 2.125% 6/0 | 6 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| CIVEO CORP CDA | 17878Y108 | COM | 471 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 62 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| WOORI BK | 98105T104 | ADR | 78 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| StemCells, Inc. | 85857R303 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JRJR33 INCORPORATED | 46645Q106 | Common Stock | 290 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Asterias Biothera 16 Wts | 04624N115 | Warrants | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COGENTIX MED INC COM | 19243A104 | Stock | 260 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COUNTERPATH CORP | 22228P302 | COM | 190 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 23 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 7 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 51 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| WHEELER REAL ESTATE INVT TR | 963025119 | *W EXP 04/29/201 | 960 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 40 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| PHOTRONICS INC | 719405AK8 | NOTE 3.250 4/0 | 29 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 27 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 3 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 59 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 58 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| VIRGIN AMER INC | 92765X208 | COM VTG | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares MSCI Russia | 46434G806 | ISHARES MSCI RUSSIA ETF | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DASAN ZHONE SOLUTIONS INC COM NEW | 23305L107 | Stock | 425 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YIELD10 BIOSCIENCE INC COM | 591018882 | Stock | 166 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GEVO INC COM PAR | 374396208 | Stock | 1,300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DRYSHIPS INC COM NEW | Y2109Q200 | Stock | 365 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BROCADE COMMUNICATIONS SYS I | 111621AQ1 | NOTE 1.375% 1/0 | 18 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 510 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 283 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 90 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UBS AG | 90270KAW9 | NOTE 2/1 | 21 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 43 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| MAXPOINT INTERACTIVE INC | 57777M201 | COM NEW | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEUROMETRIX INC | 641255500 | COM PAR NEW | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CONTRAFECT CORP | 212326110 | *W EXP 01/31/201 | 1,200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENTEROMEDICS INC | 29365M307 | COM PAR 0.01 | 132 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GREAT BASIN SCIENTIFIC INC | 39013L601 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HONGLI CLEAN ENERGY TECHNOLO | 438586109 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 1,340 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001681115-16-000009 | this filing | 2016-11-09 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001681115-17-000010 | base | 2017-11-02 | acceptance time not in the bulk data set |