13F-HR/A filed by Advisor Group, Inc.
Advisor Group, Inc. filed this 13F-HR/A for the quarter ended 2016-09-30, filed 2017-11-02, with 4,620 holding rows worth $4,158,311,000.
- Accession
- 0001681115-17-000010
- Filer
- CIK 1681115
- Filed
- 2017-11-02
- 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, amendment of type restatement, 12,739 entries on the cover page, a total value of $4,158,311,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $4,158,311,000 with VALUE read as thousands by filing date, 13F file number 028-17493. The quarter's positions are built on this report. 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 |
|---|---|---|---|---|---|---|
| NW Biotherapeutics | 66737P600 | USD | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AGENUS INC | 00847G705 | COM NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CARA THERAPEUTICS INC | 140755109 | COM | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 33 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RETROPHIN INC | 761299106 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PHARMERICA CORP | 71714F104 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY TRIPADVISOR HLDGS IN | 531465201 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EMAGIN CORP | 29076N206 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIGITALGLOBE INC | 25389M877 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CUMULUS MEDIA INC | 231082108 | CL A | 408 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 467 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PHH CORP | 693320202 | COM NEW | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 375 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 267 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OVASCIENCE INC | 69014Q101 | COM | 52 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PARKWAY PPTYS INC | 70159Q104 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 4,629 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QUANTUM CORP | 747906204 | COM DSSG | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMYRIS INC | 03236M101 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERMOLECULAR INC | 45882D109 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Tremor Video | 89484Q100 | Common Stock | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| S&W SEED COMPANY COM | 785135104 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEURALSTEM INC | 64127R302 | COM | 1,715 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATHERSYS INC | 04744L106 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 127 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 287 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNI-PIXEL INC | 904572203 | COM | 80 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| 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. |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 25 | $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. |
| 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. |
| 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. |
| 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. |
| 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. |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 85 | $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. |
| 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. |
| 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. |
| 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. |
| 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. |
| CIVEO CORP CDA | 17878Y108 | COM | 471 | $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. |
| 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. |
| 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. |
| 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. |
| 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. |
| 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 | superseded | 2016-11-09 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001681115-17-000010 | this filing | 2017-11-02 | acceptance time not in the bulk data set |