LPL Financial LLC - Q3 2016 holdings

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$10.5 Billion is the total value of LPL Financial LLC's 2632 reported holdings in Q3 2016. The portfolio turnover from Q2 2016 to Q3 2016 was 0.0% .

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Exit
Unchanged
 Value Shares↓ Weighting
BRKA  BERKSHIRE HATHAWAY INCcl a$5,148,000
+0.4%
240.0%0.05%
+14.0%
STZB  CONSTELLATION BRANDScl b$2,650,000
-0.1%
15,9990.0%0.02%
+13.6%
SIGI  SELECTIVE INS GROUP INC$2,677,000
+4.2%
68,7200.0%0.02%
+13.6%
NEN  NEW ENGLANDdepositry rcpt$1,065,000
+4.2%
17,3210.0%0.01%
+11.1%
JJOFF  BARCLAYS BANKetn djubscoffe38$962,000
-0.2%
44,3230.0%0.01%
+12.5%
BANR  BANNER CORP$993,000
+8.3%
22,6480.0%0.01%
+12.5%
PFIG  POWERSHARES FUNDMNENTALfnd inv gr cp$858,000
-0.2%
32,9890.0%0.01%
+14.3%
MYC  BLACKROCK MUNIYIELD$695,000
-3.7%
40,8200.0%0.01%
+16.7%
JPMWS  JPMORGAN CHASE*w exp 10/28/201$616,000
+33.0%
24,5510.0%0.01%
+50.0%
CVBF  C V B FINANCIAL CORP$659,000
+11.3%
37,7380.0%0.01%
+20.0%
GAM  GENERAL AMERICAN$659,000
+4.4%
20,3530.0%0.01%
+20.0%
COKE  COCA-COLA BOTTLING$570,000
-0.9%
3,9690.0%0.01%0.0%
EFFE  GLOBAL Xgbl x jpm eff$558,000
-1.6%
22,9850.0%0.01%0.0%
WEN  WENDYS COMPANY$540,000
+9.5%
51,2060.0%0.01%
+25.0%
FLWS  1-800 FLOWERS.COMcl a$483,000
+4.5%
51,8500.0%0.01%
+25.0%
EEMS  ISHARES MSCIem mkt sm-cp etf$409,000
+7.3%
9,2890.0%0.00%
+33.3%
YLD  PRINCIPAL EDGEprin edge actv$383,000
+3.8%
9,4690.0%0.00%
+33.3%
FSFG  FIRST SAVINGS$459,000
+1.5%
13,0000.0%0.00%0.0%
VOT  VANGUARD MIDmcap gr idxvip$371,000
+3.6%
3,5180.0%0.00%
+33.3%
AC  ASSOCIATED CAPITALcl a$391,000
+19.9%
11,1980.0%0.00%
+33.3%
SGF  ABERDEEN SINGAPORE$267,000
+2.7%
28,6830.0%0.00%
+50.0%
PEBK  PEOPLES BANCORP OF N C$368,000
+6.4%
17,7130.0%0.00%0.0%
AKP  ALLIANCE CALIFORNIA$301,000
-1.3%
19,7240.0%0.00%0.0%
TIPX  SPDR BARCLAYSbarc 1-10yrtip$274,000
-2.5%
13,8750.0%0.00%
+50.0%
MTRN  MATERION CORP$291,000
+20.7%
9,7240.0%0.00%
+50.0%
VOE  VANGUARD MIDmcap vl idxvip$302,000
+4.5%
3,2650.0%0.00%
+50.0%
KRNY  KEARNY FINANCIAL$324,000
+8.0%
23,8610.0%0.00%0.0%
TECL  DIREXION DAILYdly tech bull 3x$321,000
+30.5%
6,7400.0%0.00%
+50.0%
FV  FIRST TRUSTdorsey wrt 5 etf$341,000
+1.5%
15,0380.0%0.00%0.0%
LPI  LAREDO PETROLEUM$241,000
+22.3%
18,5000.0%0.00%0.0%
CEW  WISDOMTREE EMERGINGdryfs curr etf$210,000
+2.4%
11,6000.0%0.00%0.0%
HECO  STRATEGY ECOLOGICALecol strat etf$211,000
+2.9%
5,6490.0%0.00%0.0%
STRT  STRATTEC SEC CORP$254,000
-11.2%
7,0170.0%0.00%0.0%
 PROSPECT CAP 4.75%20note 4.750% 4/1$251,000
+4.1%
255,0000.0%0.00%0.0%
TWM  PROSHARES ULTRASHORTultsht russ2000$219,000
-16.4%
7,4690.0%0.00%0.0%
EMF  TEMPLETON EMERGING MARKE$169,000
+10.5%
13,5210.0%0.00%
+100.0%
CSFL  CENTERSTATE BANKS$262,000
+13.9%
14,7720.0%0.00%0.0%
MOGA  MOOG INCcl a$238,000
+12.8%
4,0250.0%0.00%0.0%
EXK  ENDEAVOUR SILVER$61,000
-4.7%
13,6300.0%0.00%0.0%
IEC  IEC ELECTRONICS$126,000
+5.9%
26,8950.0%0.00%0.0%
LOCO  EL POLLO$144,000
-7.1%
12,1300.0%0.00%0.0%
SGI  SILICON GRAPHICS$139,000
+52.7%
18,1090.0%0.00%0.0%
CLDX  CELLDEX THERAPEUTICS$100,000
-8.3%
23,4790.0%0.00%0.0%
OMER  OMEROS CORP$106,000
-7.0%
10,1200.0%0.00%0.0%
AXGN  AXOGEN INC$105,000
+23.5%
12,1630.0%0.00%0.0%
DWAT  ARROW INVESTMENTSdwa tactical etf$150,000
-4.5%
14,9750.0%0.00%0.0%
WFCWS  WELLS FARGO*w exp 10/28/201$136,000
-4.9%
10,9890.0%0.00%0.0%
CFD  NUVEEN DIVERSIFIED$152,000
-4.4%
16,5970.0%0.00%0.0%
FOLD  AMICUS THERAPEUTICS$80,000
+29.0%
11,0000.0%0.00%0.0%
MPET  MAGELLAN PETE$85,000
+400.0%
14,1870.0%0.00%–
FLL  FULL HOUSE$64,000
-4.5%
35,0000.0%0.00%0.0%
 GOLDMAN SACHS 0%20note 1/2$55,000
+10.0%
45,0000.0%0.00%–
RVSB  RIVERVIEW BANCORP$104,000
+13.0%
19,3070.0%0.00%0.0%
CPHRF  CIPHER PHARMACEUTICALS$43,000
-28.3%
11,0000.0%0.00%
-100.0%
 WABASH NATL 3.375%18note 3.375% 5/0$29,000
+7.4%
22,0000.0%0.00%–
BPMX  BIOPHARMX CORP$18,000
-28.0%
40,0000.0%0.00%–
BXE  BELLATRIX EXPLORATION$24,000
-22.6%
30,0000.0%0.00%–
VSTM  VERASTEM INC$24,0000.0%17,8520.0%0.00%–
QUIK  QUICKLOGIC CORP$31,000
-13.9%
38,0980.0%0.00%–
PLM  POLYMET MINING$42,0000.0%53,1100.0%0.00%–
SSH  SUNSHINE HEART$7,000
-22.2%
14,0000.0%0.00%–
UAMY  UNITED STATES$21,000
+75.0%
45,1000.0%0.00%–
CFRX  CONTRAFECT CORP$24,000
-14.3%
10,0000.0%0.00%–
PVCT  PROVECTUS BIOPHARMS$5,000
-76.2%
59,2000.0%0.00%–
 TCP CAP 5.25%19note 5.250%12/1$10,0000.0%10,0000.0%0.00%–
TRX  TANZANIAN ROYALTY$10,000
-23.1%
13,5000.0%0.00%–
 BRISTOL MYERS 0%23dbcv 9/1$17,000
-26.1%
12,0000.0%0.00%–
WGRP  WILLBROS GROUP$29,000
-25.6%
15,4850.0%0.00%–
MATN  MATEON THERAPEUTICS$8,000
-11.1%
12,8870.0%0.00%–
JASN  JASON INDUSTRIES INC$36,000
-40.0%
16,8000.0%0.00%
-100.0%
NEPT  NEPTUNE TECHNOLGIES$11,000
+10.0%
10,0000.0%0.00%–
AMPE  AMPIO PHARMACEUTICALS$8,000
-33.3%
10,2000.0%0.00%–
PTN  PALATIN TECHS$9,000
+12.5%
15,0000.0%0.00%–
 AMERICAN RLTT 3%18note 3.000% 8/0$10,0000.0%10,0000.0%0.00%–
HGTXU  HUGOTON ROYALTYunit ben int$34,000
-2.9%
14,2570.0%0.00%–
REFR  RESEARCH FRONTIERS INC$30,000
-33.3%
12,4830.0%0.00%–
IPAS  IPASS INC$32,000
+28.0%
20,0000.0%0.00%–
 SINA CORP 1%18note 1.000%12/0$10,0000.0%10,0000.0%0.00%–
JASNW  JASON INDUSTRIES*w exp 06/30/201$14,000
-57.6%
165,0000.0%0.00%–
Original filings

The following EDGAR filing(s) were analyzed to create this report:

  • View 13F-HR filed 2016-11-16
Signatures

The EDGAR filing(s) were signed by:

Top long-term holdings
NameQuarters ownedLatest quarter ownedMax weighting
SPDR S&P 500 ETF TR42Q3 20234.5%
VANGUARD TOTAL42Q3 20233.2%
ISHARES TR42Q3 20232.9%
ISHARES TR42Q3 20233.0%
APPLE INC42Q3 20232.2%
SPDR S&P MIDCAP 400 ETF TR42Q3 20234.1%
ISHARES TR42Q3 20232.3%
ISHARES TR42Q3 20232.3%
ISHARES TR42Q3 20231.5%
ISHARES TR42Q3 20231.7%

View LPL Financial LLC's complete holdings history.

Latest significant ownerships (13-D/G)
LPL Financial LLC Q3 2016 significant holdings filed using form 13D/G when ownership exceeds 5% of a company's total stock issue.
FiledShares Percentage
FIRST TRUST/ABRDN GLOBAL OPPORTUNITY INCOME FUNDFebruary 03, 202359,851,3955.9%
FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUNDFebruary 03, 202388,933,1756.2%
MACQUARIE/FIRST TRUST GLOBAL INFRASTR/UTIL DIV & INC FUNDFebruary 03, 202345,649,1405.3%
Destra Multi-Alternative FundJanuary 17, 2023138,055,43615.4%
FIRST TRUST SENIOR FLOATING RATE INCOME FUND IIJanuary 17, 2023199,823,9127.7%
NUVEEN FLOATING RATE INCOME FUNDJanuary 17, 2023318,850,3205.6%
Medley Capital CorpOctober 10, 2019300,8570.6%
FS KKR Capital CorpJanuary 10, 20191,430,266,7126.0%
Medley Capital CorpJanuary 10, 20196,068,612,00511.1%
LPL Financial LLCJanuary 12, 20169,0830.1%

View LPL Financial LLC's complete significant-ownership history.

Latest filings
TypeFiled
13F-HR2024-02-14
SC 13G/A2024-02-09
SC 13G/A2024-02-09
SC 13G/A2024-02-09
SC 13G/A2024-02-09
SC 13G/A2024-02-09
SC 13G/A2024-02-09
13F-HR2023-11-13
13F-HR2023-07-31
13F-HR2023-05-10

View LPL Financial LLC's complete filings history.

All filings

View complete filings history.

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Issues

The following issues were detected while analyzing the report:

  • The reported total value is incorrect (10525927000.0 != 10525704000.0)
  • The reported number of holdings is incorrect (2632 != 2631)

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