13F-HR filed by AE Wealth Management LLC
AE Wealth Management LLC filed this 13F-HR for the quarter ended 2021-06-30, filed 2021-07-21, with 1,592 holding rows worth $11,449,516,000.
- Accession
- 0001697723-21-000003
- Filer
- CIK 1697723
- Filed
- 2021-07-21
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2021
A holdings report, 1,675 entries on the cover page, a total value of $11,449,516,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $11,449,516,000 with VALUE read as thousands by filing date, 13F file number 028-17779. 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 |
|---|---|---|---|---|---|---|
| AMERICAN EQUITY INVT LIFE | 025676206 | COMMON STOCK | 6,200 | $200,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 14,087 | $194,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 10,680 | $191,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 22,574 | $190,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 11,323 | $190,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 10,604 | $184,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 39,724 | $182,000 | thousands by filing date | put |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 12,094 | $182,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 11,012 | $182,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 20,527 | $177,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 10,427 | $173,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 14,693 | $170,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 10,872 | $168,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 40,970 | $167,000 | thousands by filing date | |
| BRIGHTSPIRE CAPITAL INC COM CL A | 10949T109 | REIT | 17,473 | $164,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 100,504 | $161,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 22,856 | $156,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 33,910 | $151,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 11,344 | $150,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 18,489 | $140,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 11,175 | $139,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 20,632 | $131,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 13,548 | $126,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 26,649 | $124,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 12,535 | $121,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 12,402 | $121,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 13,430 | $118,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 26,226 | $116,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 10,289 | $113,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 15,991 | $110,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 13,136 | $98,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 10,046 | $90,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 11,575 | $88,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 20,392 | $84,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 23,549 | $77,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 10,116 | $74,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 20,000 | $67,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 10,097 | $63,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 20,000 | $63,000 | thousands by filing date | |
| ALSET EHOME INTERNATIONAL IN | 02116A104 | COM | 10,500 | $60,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 10,520 | $52,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 46,000 | $50,000 | thousands by filing date | principal |
| EDGIO INC | 53261M104 | COM | 15,653 | $49,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 10,935 | $48,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 14,152 | $47,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 9,000 | $45,000 | thousands by filing date | put |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 40,000 | $44,000 | thousands by filing date | principal |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 41,000 | $42,000 | thousands by filing date | principal |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 10,300 | $39,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 13,000 | $34,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES IN | 34984VAC4 | NOTE 9.000% 8/0 | 34,150 | $34,000 | thousands by filing date | principal |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 12,674 | $32,000 | thousands by filing date | |
| SINTX TECHNOLOGIES INC | 829392307 | COM NEW | 15,000 | $29,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 107,900 | $27,000 | thousands by filing date | put |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 25,000 | $27,000 | thousands by filing date | principal |
| TTOO | 89853L104 | Stock | 18,000 | $21,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 12,716 | $18,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 1,300 | $16,000 | thousands by filing date | call |
| SUNDIAL GROWERS INC | 86730L109 | COM | 16,490 | $16,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 1,111 | $14,000 | thousands by filing date | put |
| ZOMEDICA CORP COM | 98980M109 | Stock | 15,822 | $13,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 3,080 | $9,000 | thousands by filing date | put |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 4,040 | $9,000 | thousands by filing date | put |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 13,664 | $7,000 | thousands by filing date | |
| Barclays Bank PLC | 06747R477 | COM | 20,697 | $5,000 | thousands by filing date | call |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 500 | $4,000 | thousands by filing date | call |
| PLUG PWR INC | 72919P202 | COM NEW | 200 | $2,000 | thousands by filing date | call |
| ISHARES TR | 464287457 | COM | 5,200 | $1,000 | thousands by filing date | put |
| META PLATFORMS INC CL A | 30303M102 | COM | 500 | $1,000 | thousands by filing date | put |
| Microsoft Corp | 594918104 | COM | 200 | $1,000 | thousands by filing date | call |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 1,700 | $1,000 | thousands by filing date | put |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 1,000 | $1,000 | thousands by filing date | call |
| ENTEGRIS INC COM | 29362U104 | Stock | 200 | $1,000 | thousands by filing date | call |
| COINBASE GLOBAL INC COM CL A | 19260Q107 | Stock | 100 | $1,000 | thousands by filing date | call |
| BLOCK INC CL A | 852234103 | Stock | 13,230 | $1,000 | thousands by filing date | put |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 1,000 | $1,000 | thousands by filing date | call |
| GABELLI EQUITY TR INC | 362397218 | RIGHT 07/14/2021 | 10,980 | $1,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 202 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Intel Corp | 458140100 | COM | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 3,100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Micron Technology,Inc. | 595112103 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 2,525 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| BLOCK INC CL A | 852234103 | Stock | 202 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 1,100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| CRONOS GROUP INC | 22717L101 | COM | 101 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| TILRAY INC | 88688T100 | COM CL 2 | 101 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| United States Oil Fund LP | 91232N207 | COM | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| MUSTANG BIO INC | 62818Q104 | COM | 101 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001697723-21-000003 | this filing | 2021-07-21 | acceptance time not in the bulk data set |