13F-HR filed by AE Wealth Management LLC
AE Wealth Management LLC filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-01, with 1,620 holding rows worth $12,138,836,000.
- Accession
- 0001697723-21-000005
- Filer
- CIK 1697723
- Filed
- 2021-11-01
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, 1,691 entries on the cover page, a total value of $12,138,836,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $12,138,836,000 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 |
|---|---|---|---|---|---|---|
| WYNN RESORTS LTD | 983134107 | COM | 2,581 | $219,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 3,870 | $218,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 40,042 | $218,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 3,581 | $218,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 5,586 | $217,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 750 | $217,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 1,890 | $217,000 | thousands by filing date | |
| VIRTUS DIVIDEND, INTEREST & PR | 92840R101 | COM | 14,567 | $216,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 9,097 | $215,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L508 | DIVERSIFID FXD | 10,048 | $215,000 | thousands by filing date | |
| METTLER TOLEDO INTERNATIONAL COM | 592688105 | Stock | 155 | $213,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 3,155 | $211,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 2,726 | $209,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 9,378 | $209,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 2,080 | $207,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H106 | AGRICULTURE FD | 10,817 | $207,000 | thousands by filing date | |
| MR COOPER GROUP INC | 62482R107 | COM | 5,000 | $206,000 | thousands by filing date | |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 10,493 | $205,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 25,185 | $205,000 | thousands by filing date | |
| ROCKET COS INC | 77311W101 | COM CL A | 12,693 | $204,000 | thousands by filing date | |
| CACI INTL INC CL A | 127190304 | Stock | 777 | $204,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 9,434 | $204,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 1,823 | $203,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 3,209 | $203,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 6,445 | $202,000 | thousands by filing date | |
| CHARGEPOINT HLDGS INC | 15961R105 | COM CL A | 10,107 | $202,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 10,611 | $202,000 | thousands by filing date | |
| MAMAS CREATIONS INC COM | 56146T103 | Stock | 83,334 | $201,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 6,855 | $201,000 | thousands by filing date | |
| IHS MARKIT LTD | G47567105 | SHS | 1,727 | $201,000 | thousands by filing date | |
| BRINKS CO | 109696104 | COM | 3,166 | $200,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F107 | COM | 33,812 | $186,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC COM | 00484M601 | Stock | 40,457 | $186,000 | thousands by filing date | |
| AURORA CANNABIS INC-NEW | 05156X884 | COM | 26,612 | $184,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 10,845 | $181,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 17,269 | $176,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 11,052 | $173,000 | thousands by filing date | |
| BRIGHTSPIRE CAPITAL INC COM CL A | 10949T109 | REIT | 18,245 | $171,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 15,530 | $171,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 11,439 | $166,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 10,785 | $165,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 11,214 | $146,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 22,756 | $143,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 20,752 | $136,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 22,579 | $135,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 32,049 | $133,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 27,938 | $128,000 | thousands by filing date | |
| CONTEXTLOGIC INC | 21077C107 | COMMON STOCK | 22,812 | $125,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 16,077 | $113,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 46,078 | $113,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 13,430 | $112,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 14,661 | $112,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 20,299 | $109,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 2,900 | $108,000 | thousands by filing date | call |
| INVESCO SR INCOME TR | 46131H107 | COM | 23,513 | $105,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 20,675 | $105,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 10,504 | $100,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 17,307 | $98,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 14,418 | $96,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 12,302 | $94,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 11,890 | $91,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 11,125 | $88,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 10,046 | $87,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 11,375 | $80,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 12,553 | $77,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 13,536 | $74,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 20,000 | $71,000 | thousands by filing date | |
| ROOT INC | 77664L108 | COMMON STOCK | 12,639 | $67,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 23,655 | $61,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 2,000 | $60,000 | thousands by filing date | put |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 11,435 | $58,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 14,185 | $51,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 46,000 | $50,000 | thousands by filing date | principal |
| UnitedHealth Group Inc | 91324P102 | COM | 9,000 | $48,000 | thousands by filing date | put |
| Sigma Additive Solutions, Inc. | 826598500 | common | 15,003 | $45,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 40,000 | $44,000 | thousands by filing date | principal |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 10,520 | $43,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 41,000 | $42,000 | thousands by filing date | principal |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 12,471 | $39,000 | thousands by filing date | |
| HEXO CORP | 428304307 | COM NEW | 20,685 | $38,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 15,653 | $37,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 13,000 | $35,000 | thousands by filing date | |
| Hive Blockchain Technologies L | 43366H100 | COM | 12,690 | $34,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES IN | 34984VAC4 | NOTE 9.000% 8/0 | 34,150 | $33,000 | thousands by filing date | principal |
| SINTX TECHNOLOGIES INC | 829392307 | COM NEW | 25,000 | $32,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 12,674 | $31,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 10,300 | $30,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 25,000 | $25,000 | thousands by filing date | principal |
| NAKED BRAND GROUP LIMITED | Q6519T117 | SHS NEW | 34,850 | $25,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 25,500 | $23,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 10,106 | $23,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 12,500 | $22,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 104,000 | $21,000 | thousands by filing date | put |
| REDWOOD TRUST INC | 758075AD7 | BOND | 20,000 | $21,000 | thousands by filing date | principal |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 20,000 | $20,000 | thousands by filing date | principal |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 20,000 | $20,000 | thousands by filing date | principal |
| Procter & Gamble Co | 742718109 | COM | 6,900 | $19,000 | thousands by filing date | put |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 10,219 | $16,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 1,200 | $10,000 | thousands by filing date | call |
| SUNDIAL GROWERS INC | 86730L109 | COM | 13,550 | $9,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 11,118 | $5,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 1,400 | $5,000 | thousands by filing date | call |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 3,500 | $4,000 | thousands by filing date | call |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 700 | $4,000 | thousands by filing date | call |
| Apple Inc | 037833100 | COM | 1,000 | $3,000 | thousands by filing date | call |
| CVS Health Corporation | 126650100 | COM | 600 | $3,000 | thousands by filing date | call |
| NORTHERN TR CORP COM | 665859104 | Stock | 400 | $3,000 | thousands by filing date | put |
| United States Oil Fund LP | 91232N207 | COM | 1,000 | $2,000 | thousands by filing date | call |
| ISHARES TR | 464287457 | COM | 5,200 | $1,000 | thousands by filing date | put |
| JPMorgan Chase & Co | 46625H100 | COM | 3,000 | $1,000 | thousands by filing date | put |
| NextEra Energy,Inc. | 65339F101 | COM | 800 | $1,000 | thousands by filing date | call |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 400 | $1,000 | thousands by filing date | put |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 600 | $1,000 | thousands by filing date | call |
| TRIMBLE INC COM | 896239100 | Stock | 600 | $1,000 | thousands by filing date | call |
| ROSS STORES INC COM | 778296103 | Stock | 600 | $1,000 | thousands by filing date | call |
| INVESCO QQQ TR | 46090E103 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 1,100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ISHARES TR | 464288687 | COM | 400 | $0 | thousands by filing date | putValue 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. |
| COINBASE GLOBAL INC COM CL A | 19260Q107 | Stock | 400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001697723-21-000005 | this filing | 2021-11-01 | acceptance time not in the bulk data set |