Commonwealth Equity Services, LLC 

MA

  SEC # 312272

        

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65  SEC Filings   from  3/5/02  to  2/28/24  (2 Months Ago)

List All Filings	or	Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent
Most-Recent Filing:		‘X-17A-5’ — Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5 — for 12/31/23 — Filed as:  Filer / Offerer
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Forms , Documents & Exhibits  in  65 Filings  Filed as:  Filer / Offerer  or  Owner / Insider

        

Latest Filing			Type		Category	Description		Documents
2/28/24			X-17A-5		Update:		Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers — Form X-17A-5	25
2/9/24			SC 13G		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G	7
2/6/24			13F-HR		Ownership:		Quarterly Holdings and Combination Reports by Money Managers — Form 13F — Assets Under Management	25
1/21/21	OLD		FOCUSN		Update:		Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers  OLD	8
					Form-Specific Documents:
2/6/24			INFO-TABLE		Portfolio Securities Holdings – Info Tables — Form 13F — Assets Under Management			25
					Broker-Dealer Reports:
2/28/24			FULL		Annual Financial Reports (Full)			4
3/1/21	OLD		STMT FIN COND NOTES		Notes to the Statement of Financial Condition  OLD			1

History as a Money Manager:  Assets Under Management

No Forms  nor  Documents  Filed re:  Issuer / Subject Company

        

        

Filings History

Year		# of Filings
2024		3
2023		9
2022		6
2021		7
2020		4
2019		6
2018		7
2017		2
2016		2
2015		4
2014		3
2013		1
2012		1
2011		1
2010		1
2009		1
2008		1
2007		1
2006		1
2005		1
2004		1
2003		1
2002		1