13F-HR filed by FOUNDERS FINANCIAL SECURITIES LLC
FOUNDERS FINANCIAL SECURITIES LLC filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-10-17, with 133 holding rows worth $348,244,000.
- Accession
- 0001062993-18-004104
- Filer
- CIK 1342396
- Filed
- 2018-10-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A combination report, 133 entries on the cover page, a total value of $348,244,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $348,243,000 with VALUE read as thousands by filing date, 13F file number 028-15741. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- reports for this filerHorizon Investments, LLC028-15165
- included managerHorizon Investments, LLC
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 |
|---|---|---|---|---|---|---|
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 315,669 | $28,527,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 203,902 | $21,779,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 189,711 | $20,997,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 65,628 | $19,079,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 443,300 | $16,952,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 99,198 | $16,128,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 91,007 | $14,942,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 356,202 | $14,604,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 111,668 | $11,783,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 239,401 | $11,312,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 347,623 | $11,242,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 93,760 | $11,157,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 354,407 | $10,905,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 159,604 | $10,773,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 321,322 | $10,681,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 63,845 | $9,959,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 118,210 | $9,303,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 66,808 | $7,378,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 25,198 | $5,732,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 87,259 | $5,434,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 124,139 | $4,638,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 82,636 | $4,301,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 36,692 | $4,217,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 12,902 | $3,777,000 | thousands by filing date | |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 52,321 | $2,609,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 35,411 | $2,492,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735J101 | COM SHS | 44,297 | $2,398,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 20,072 | $2,390,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 68,710 | $2,322,000 | thousands by filing date | |
| SPDR Bloomberg 1-3 Month T-Bill ETF | 78468R663 | SHS | 20,601 | $1,887,000 | thousands by filing date | |
| DBX ETF TR ETF X TRACKERS SHORT DUR HIGH YIELD BOND ETF | 233051283 | ETF | 37,065 | $1,844,000 | thousands by filing date | |
| IJH | 464287507 | COM | 8,628 | $1,737,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 45,198 | $1,675,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V746 | LARGE CAP GROWTH | 34,717 | $1,675,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 41,640 | $1,646,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 47,594 | $1,585,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G102 | S&P SMLCP LOW | 31,788 | $1,572,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 18,707 | $1,554,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 26,625 | $1,272,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 14,696 | $1,223,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 10,062 | $1,125,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 22,327 | $1,081,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 21,860 | $1,063,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 6,982 | $1,056,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 12,185 | $1,053,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 17,608 | $1,050,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 9,176 | $990,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 7,920 | $968,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 10,253 | $963,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 6,318 | $873,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 10,128 | $873,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 5,573 | $840,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 9,168 | $800,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V621 | FINL PFD ETF | 43,366 | $789,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 4,141 | $789,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 16,473 | $780,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 16,223 | $773,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 17,482 | $741,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 4,912 | $739,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 19,849 | $737,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 11,582 | $736,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 12,879 | $732,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 18,188 | $731,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 7,810 | $728,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 12,301 | $724,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 10,630 | $724,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 12,404 | $717,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 6,987 | $717,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 4,517 | $716,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 186,480 | $713,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 13,052 | $705,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 12,965 | $612,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 11,449 | $599,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 3,501 | $590,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 10,246 | $531,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 4,779 | $529,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 3,080 | $513,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 2,286 | $482,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 10,197 | $471,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 2,946 | $385,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 9,082 | $287,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 5,995 | $266,000 | thousands by filing date | |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 16,092 | $210,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 3,000 | $210,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 1,960,457 | $190,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 3,800,291 | $163,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 987,944 | $115,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 13,170 | $84,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 129,077 | $61,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 1,573,422 | $56,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| GLOBALSTAR INC | 378973408 | COM | 27,475 | $53,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 24,239 | $37,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 158,164 | $34,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| Pimco Income Oppty Fund | 72202B100 | COM | 867,092 | $31,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| UnitedHealth Group Inc | 91324P102 | COM | 305,501 | $24,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| Cyber Security ETF | 26924G201 | Common | 18,638 | $24,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 71,105 | $23,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| Bank of America Corp | 060505104 | COM | 21,289 | $20,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 1,077,381 | $19,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| Vanguard Real Estate | 922908553 | SHS | 12,599 | $16,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 36,061 | $14,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 555,910 | $10,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| Intel Corp | 458140100 | COM | 19,078 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 293,233 | $8,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 26,404 | $7,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| VGT | 92204A702 | SHS | 115,487 | $6,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 33,700 | $6,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 91,978 | $6,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 23,155 | $5,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 304,657 | $5,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 88,650 | $5,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| Vanguard Utilities ETF | 92204A876 | SHS | 344,770 | $3,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 333,086 | $2,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 150,901 | $2,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 21,100 | $2,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 62,760 | $2,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 49,231 | $1,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| VANGUARD STAR FDS | 921909768 | COM | 32,335 | $1,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| VTI | 922908769 | COM | 132,432 | $1,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 97,932 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 22,816 | $1,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 13,340 | $1,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 38,623 | $1,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 92,298 | $1,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V506 | DIVID ACHIEVEV | 16,518 | $1,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 56,996 | $1,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 20,317 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Vanguard S&P 500 ETF | 922908363 | COM | 117,130 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EMERSON ELEC CO COM | 291011104 | Stock | 11,487 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EPR PPTYS COM SH BEN INT | 26884U109 | REIT | 11,630 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 12,074 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO EXCHANGE TRADED FD T | 46137V373 | S&P500 EQL STP | 48,128 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BB & T CORP | 054937107 | COM | 12,281 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001062993-18-004104 | this filing | 2018-10-17 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001062993-18-004113 | base | 2018-10-17 | acceptance time not in the bulk data set |