$49.1 Billion is the total value of LPL Financial LLC's 3286 reported holdings in Q3 2019. The portfolio turnover from Q2 2019 to Q3 2019 was 0.0% .
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| BFIN | BANKFINANCIAL CORP | $2,214,000 | -14.9% | 186,024 | 0.0% | 0.01% | -16.7% | |
| IQI | INVESCO QUALITY MUNI INC TRS | $809,000 | +2.9% | 63,282 | 0.0% | 0.00% | 0.0% | |
| NCA | NUVEEN CALIF MUN VALUE FD | $804,000 | +5.1% | 75,869 | 0.0% | 0.00% | 0.0% | |
| FLIC | FIRST LONG IS CORP | $509,000 | +13.4% | 22,360 | 0.0% | 0.00% | 0.0% | |
| FFBW | FFBW INC | $285,000 | +5.2% | 25,965 | 0.0% | 0.00% | 0.0% | |
| ALFA | ETF SER SOLUTIONSalpclone alter | $309,000 | +3.3% | 5,684 | 0.0% | 0.00% | 0.0% | |
| DEMG | DBX ETF TRxtrack ftse emrg | $247,000 | -5.7% | 10,700 | 0.0% | 0.00% | 0.0% | |
| DALT | TWO RDS SHARED TRanfield cap di | $254,000 | +0.4% | 24,822 | 0.0% | 0.00% | 0.0% | |
| CLAR | CLARUS CORP NEW | $492,000 | -18.8% | 41,950 | 0.0% | 0.00% | 0.0% | |
| VVI | VIAD CORP | $475,000 | +1.5% | 7,069 | 0.0% | 0.00% | 0.0% | |
| WSBF | WATERSTONE FINL INC MD | $408,000 | +0.5% | 23,774 | 0.0% | 0.00% | 0.0% | |
| ERC | WELLS FARGO MULTI SECTOR INC | $421,000 | -1.6% | 34,107 | 0.0% | 0.00% | 0.0% | |
| PZT | INVESCO EXCHNG TRADED FD TRny amt fre mun | $322,000 | +1.3% | 12,670 | 0.0% | 0.00% | 0.0% | |
| MEC | MAYVILLE ENGINEERING CO INC | $474,000 | -4.4% | 35,950 | 0.0% | 0.00% | 0.0% | |
| MRK | MERCK & CO INCput | $362,000 | +0.3% | 4,300 | 0.0% | 0.00% | 0.0% | |
| MOGB | MOOG INCcl b | $275,000 | -12.7% | 3,390 | 0.0% | 0.00% | 0.0% | |
| NRCG | NRC GROUP HLDGS CORP | $286,000 | +11.7% | 23,000 | 0.0% | 0.00% | 0.0% | |
| NEN | NEW ENGLAND RLTY ASSOC LTD Pdepositry rcpt | $573,000 | -0.9% | 9,802 | 0.0% | 0.00% | 0.0% | |
| INSI | INSIGHT SELECT INCOME FD | $283,000 | +1.8% | 13,807 | 0.0% | 0.00% | 0.0% | |
| NCB | NUVEEN CALIF MUNICPAL VALU F | $488,000 | +2.5% | 29,401 | 0.0% | 0.00% | 0.0% | |
| HFXE | INDEXIQ ETF TRhdgd ftse euro | $659,000 | 0.0% | 33,549 | 0.0% | 0.00% | 0.0% | |
| HBNC | HORIZON BANCORP INC | $413,000 | +6.4% | 23,765 | 0.0% | 0.00% | 0.0% | |
| PEBK | PEOPLES BANCORP N C INC | $579,000 | -1.0% | 19,484 | 0.0% | 0.00% | 0.0% | |
| SPXE | PROSHARES TRsp500 ex enrgy | $305,000 | +1.7% | 4,825 | 0.0% | 0.00% | 0.0% | |
| PVBC | PROVIDENT BANCORP INC | $323,000 | -14.1% | 13,450 | 0.0% | 0.00% | 0.0% | |
| PRPL | PURPLE INNOVATION INC | $369,000 | +11.5% | 49,000 | 0.0% | 0.00% | 0.0% | |
| SEACOR HOLDINGS INCnote 2.500%12/1 | $54,000 | 0.0% | 55,000 | 0.0% | 0.00% | – | ||
| FFWM | FIRST FNDTN INC | $155,000 | +14.0% | 10,133 | 0.0% | 0.00% | – | |
| MTLS | MATERIALISE NVsponsored ads | $212,000 | -5.4% | 11,450 | 0.0% | 0.00% | – | |
| CAESARS ENTMT CORPnote 5.000%10/0 | $20,000 | 0.0% | 11,895 | 0.0% | 0.00% | – | ||
| SBLK | STAR BULK CARRIERS CORP | $120,000 | +4.3% | 11,903 | 0.0% | 0.00% | – | |
| AAU | ALMADEN MINERALS LTD | $11,000 | +10.0% | 17,000 | 0.0% | 0.00% | – | |
| BLACKSTONE MTG TR INCnote 4.750% 3/1 | $53,000 | +1.9% | 50,000 | 0.0% | 0.00% | – | ||
| EYES | SECOND SIGHT MED PRODS INC | $18,000 | +5.9% | 21,375 | 0.0% | 0.00% | – | |
| CXE | MFS HIGH INCOME MUN TRsh ben int | $100,000 | +6.4% | 18,137 | 0.0% | 0.00% | – | |
| CMU | MFS HIGH YIELD MUN TRsh ben int | $158,000 | -1.2% | 33,786 | 0.0% | 0.00% | – | |
| EDAP | EDAP TMS S Asponsored adr | $51,000 | +70.0% | 11,250 | 0.0% | 0.00% | – | |
| MITK | MITEK SYS INC | $143,000 | -2.7% | 14,800 | 0.0% | 0.00% | – | |
| MYSZ | MY SIZE INC | $5,000 | -28.6% | 10,072 | 0.0% | 0.00% | – | |
| AGEN | AGENUS INC | $76,000 | -13.6% | 29,357 | 0.0% | 0.00% | – | |
| VKI | INVESCO ADVANTAGE MUNICIPALsh ben int | $174,000 | +2.4% | 15,477 | 0.0% | 0.00% | – | |
| JJG | BARCLAYS BK PLCipath b grains | $208,000 | -6.7% | 4,672 | 0.0% | 0.00% | – | |
| NAK | NORTHERN DYNASTY MINERALS LT | $7,000 | 0.0% | 11,585 | 0.0% | 0.00% | – | |
| SPHS | SOPHIRIS BIO INC | $6,000 | -25.0% | 10,000 | 0.0% | 0.00% | – | |
| SPIRIT RLTY CAP INC NEWnote 3.750% 5/1 | $26,000 | 0.0% | 25,000 | 0.0% | 0.00% | – | ||
| VCF | DELAWARE INV CO MUN INC FD I | $208,000 | +0.5% | 14,054 | 0.0% | 0.00% | – | |
| JHD | NUVEEN HIGH INCOME DECMBR 20 | $149,000 | 0.0% | 15,117 | 0.0% | 0.00% | – | |
| IEC | IEC ELECTRS CORP NEW | $186,000 | +10.1% | 26,895 | 0.0% | 0.00% | – | |
| TURN | 180 DEGREE CAP CORP | $24,000 | +9.1% | 11,400 | 0.0% | 0.00% | – | |
| ADMP | ADAMIS PHARMACEUTICALS CORP | $10,000 | -44.4% | 14,000 | 0.0% | 0.00% | – | |
| BLACKROCK TCP CAPITAL CORPnote 5.250%12/1 | $20,000 | 0.0% | 20,000 | 0.0% | 0.00% | – | ||
| NABRIVA THERAPEUTICS PLC | $20,000 | -16.7% | 10,000 | 0.0% | 0.00% | – | ||
| GPL | GREAT PANTHER MINING LIMITED | $8,000 | -11.1% | 10,950 | 0.0% | 0.00% | – | |
| TRX | TANZANIAN GOLD CORP | $13,000 | -7.1% | 16,762 | 0.0% | 0.00% | – | |
| GMZ | GOLDMAN SACHS MLP INC OPP FD | $74,000 | -10.8% | 10,666 | 0.0% | 0.00% | – | |
| GOLDMAN SACHS BDC INCnote 4.500% 4/0 | $36,000 | +2.9% | 35,000 | 0.0% | 0.00% | – | ||
| LBYYQ | LIBBEY INC | $39,000 | +77.3% | 11,598 | 0.0% | 0.00% | – | |
| AWSM | COOL HLDGS INC | $19,000 | -29.6% | 16,700 | 0.0% | 0.00% | – | |
| GERN | GERON CORP | $22,000 | -4.3% | 16,517 | 0.0% | 0.00% | – | |
| PTMN | PORTMAN RIDGE FIN CORP | $30,000 | 0.0% | 13,147 | 0.0% | 0.00% | – | |
| GENN | GENESIS HEALTHCARE INC | $56,000 | -11.1% | 50,800 | 0.0% | 0.00% | – | |
| CTBI | COMMUNITY TR BANCORP INC | $239,000 | +0.4% | 5,616 | 0.0% | 0.00% | -100.0% | |
| LIBERTY MEDIA CORPdeb 4.000%11/1 | $76,000 | +2.7% | 115,000 | 0.0% | 0.00% | – | ||
| WIW | WESTERN AST INFL LKD OPP & I | $149,000 | -0.7% | 13,446 | 0.0% | 0.00% | – | |
| FLL | FULL HOUSE RESORTS INC | $48,000 | +17.1% | 22,078 | 0.0% | 0.00% | – | |
| FT | FRANKLIN UNVL TRsh ben int | $119,000 | +2.6% | 15,799 | 0.0% | 0.00% | – | |
| PROSPECT CAPITAL CORPORATIONnote 4.950% 7/1 | $175,000 | +2.9% | 170,000 | 0.0% | 0.00% | – | ||
| DWAT | ARROW INVTS TRdwa tactical etf | $145,000 | +1.4% | 12,900 | 0.0% | 0.00% | – | |
| ARES CAP CORPnote 4.625% 3/0 | $21,000 | 0.0% | 20,000 | 0.0% | 0.00% | – | ||
| AREXQ | APPROACH RESOURCES INC | $2,000 | -60.0% | 17,000 | 0.0% | 0.00% | – | |
| RDI | READING INTERNATIONAL INCcl a | $132,000 | -7.7% | 11,000 | 0.0% | 0.00% | – | |
| UAMY | UNITED STATES ANTIMONY CORP | $25,000 | 0.0% | 45,100 | 0.0% | 0.00% | – | |
| ATTO | ATENTO S A | $139,000 | +11.2% | 50,000 | 0.0% | 0.00% | – | |
| LLNW | LIMELIGHT NETWORKS INC | $31,000 | +10.7% | 10,300 | 0.0% | 0.00% | – | |
| CVEO | CIVEO CORP CDA | $189,000 | -25.9% | 148,476 | 0.0% | 0.00% | -100.0% | |
| HAIR | RESTORATION ROBOTICS INC | $22,000 | +4.8% | 33,800 | 0.0% | 0.00% | – | |
| RIGL | RIGEL PHARMACEUTICALS INC | $22,000 | -26.7% | 11,500 | 0.0% | 0.00% | – | |
| REI | RING ENERGY INC | $28,000 | -50.0% | 17,327 | 0.0% | 0.00% | – | |
| UNH | UNITEDHEALTH GROUP INCput | $217,000 | -11.1% | 1,000 | 0.0% | 0.00% | -100.0% | |
| UEC | URANIUM ENERGY CORP | $14,000 | -30.0% | 14,500 | 0.0% | 0.00% | – |
Original filings
The following EDGAR filing(s) were analyzed to create this report:
- View 13F-HR filed 2019-11-13
Top long-term holdings
| Name | Quarters owned | Latest quarter owned | Max weighting |
|---|---|---|---|
| SPDR S&P 500 ETF TR | 42 | Q3 2023 | 4.5% |
| VANGUARD TOTAL | 42 | Q3 2023 | 3.2% |
| ISHARES TR | 42 | Q3 2023 | 2.9% |
| ISHARES TR | 42 | Q3 2023 | 3.0% |
| APPLE INC | 42 | Q3 2023 | 2.2% |
| SPDR S&P MIDCAP 400 ETF TR | 42 | Q3 2023 | 4.1% |
| ISHARES TR | 42 | Q3 2023 | 2.3% |
| ISHARES TR | 42 | Q3 2023 | 2.3% |
| ISHARES TR | 42 | Q3 2023 | 1.5% |
| ISHARES TR | 42 | Q3 2023 | 1.7% |
View LPL Financial LLC's complete holdings history.
Latest significant ownerships (13-D/G)
| Filed | Shares | Percentage | |
|---|---|---|---|
| FIRST TRUST/ABRDN GLOBAL OPPORTUNITY INCOME FUND | February 03, 2023 | 59,851,395 | 5.9% |
| FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND | February 03, 2023 | 88,933,175 | 6.2% |
| MACQUARIE/FIRST TRUST GLOBAL INFRASTR/UTIL DIV & INC FUND | February 03, 2023 | 45,649,140 | 5.3% |
| Destra Multi-Alternative Fund | January 17, 2023 | 138,055,436 | 15.4% |
| FIRST TRUST SENIOR FLOATING RATE INCOME FUND II | January 17, 2023 | 199,823,912 | 7.7% |
| NUVEEN FLOATING RATE INCOME FUND | January 17, 2023 | 318,850,320 | 5.6% |
| Medley Capital Corp | October 10, 2019 | 300,857 | 0.6% |
| FS KKR Capital Corp | January 10, 2019 | 1,430,266,712 | 6.0% |
| Medley Capital Corp | January 10, 2019 | 6,068,612,005 | 11.1% |
| LPL Financial LLC | January 12, 2016 | 9,083 | 0.1% |
View LPL Financial LLC's complete significant-ownership history.
Latest filings
| Type | Filed |
|---|---|
| 13F-HR | 2024-02-14 |
| SC 13G/A | 2024-02-09 |
| SC 13G/A | 2024-02-09 |
| SC 13G/A | 2024-02-09 |
| SC 13G/A | 2024-02-09 |
| SC 13G/A | 2024-02-09 |
| SC 13G/A | 2024-02-09 |
| 13F-HR | 2023-11-13 |
| 13F-HR | 2023-07-31 |
| 13F-HR | 2023-05-10 |
View LPL Financial LLC's complete filings history.
All filings
- Holdings (13F-HR)
- Significant ownership (13-D/G)
- Insider transactions (4, 5, 6)
- Events (8-K)
- Shareholder votes (proxy)
View complete filings history.