13F-HR filed by FOUNDERS FINANCIAL SECURITIES LLC
FOUNDERS FINANCIAL SECURITIES LLC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-10-17, with 131 holding rows worth $313,542,000.
- Accession
- 0001062993-19-003926
- Filer
- CIK 1342396
- Filed
- 2019-10-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A combination report, 131 entries on the cover page, a total value of $313,542,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $313,540,000 with VALUE read as thousands by filing date, 13F file number 028-15741. The quarter's positions are built on this report. 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 Core S&P Small-Cap ETF | 464287804 | SHS | 237,115 | $18,457,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 151,406 | $13,990,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 274,247 | $13,444,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 110,528 | $12,337,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 94,007 | $10,639,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 59,219 | $9,925,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 247,176 | $9,613,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 31,584 | $9,373,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 190,016 | $9,354,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 81,087 | $8,830,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 54,488 | $8,698,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 102,879 | $8,686,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 70,518 | $8,433,000 | thousands by filing date | |
| iShares Currency Hedged MSCI EAFE ETF | 46434V803 | SHS | 258,107 | $7,728,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 224,060 | $7,161,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 37,601 | $7,099,000 | thousands by filing date | |
| SPDR Bloomberg 1-3 Month T-Bill ETF | 78468R663 | SHS | 77,435 | $7,092,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 139,398 | $6,956,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 176,906 | $6,924,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 91,493 | $4,997,000 | thousands by filing date | |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 95,581 | $4,787,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 159,341 | $4,532,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 14,748 | $4,403,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 149,870 | $4,400,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 62,556 | $4,377,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735J101 | COM SHS | 83,870 | $4,325,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 38,110 | $4,320,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 113,709 | $3,965,000 | thousands by filing date | |
| DBX ETF TR | 233051143 | XTRACKRS S&P 500 | 123,762 | $3,173,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 47,800 | $3,064,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 92,320 | $2,736,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 44,898 | $2,539,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 18,754 | $2,378,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 22,041 | $2,247,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 40,062 | $2,241,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V746 | LARGE CAP GROWTH | 46,357 | $2,241,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G102 | S&P SMLCP LOW | 44,967 | $2,198,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 25,176 | $2,135,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 222,626 | $2,124,000 | thousands by filing date | |
| IJH | 464287507 | COM | 9,942 | $1,921,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 18,886 | $1,646,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 33,146 | $1,526,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 6,537 | $1,517,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 2,752 | $1,513,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 20,988 | $1,482,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 6,486 | $1,453,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 10,923 | $1,359,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 35,669 | $1,339,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 14,881 | $1,320,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 18,014 | $1,320,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 3,294 | $1,285,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 11,063 | $1,262,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 10,894 | $1,183,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 22,418 | $1,172,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 8,722 | $1,128,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 3,525 | $1,099,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 10,097 | $1,097,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 5,545 | $1,073,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 21,018 | $1,066,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 118,275 | $1,044,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 8,766 | $1,040,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 7,150 | $1,027,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 20,420 | $1,009,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 6,809 | $990,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 8,843 | $956,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 15,927 | $905,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 6,646 | $895,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 17,151 | $892,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 7,354 | $872,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 31,275 | $833,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 5,758 | $801,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 13,709 | $736,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 4,433 | $716,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 20,499 | $700,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 13,749 | $693,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 7,221 | $692,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 22,100 | $655,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 15,341 | $655,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 11,943 | $650,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 7,287 | $638,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 14,297 | $636,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 9,656 | $629,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 19,544 | $622,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 10,004 | $614,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 4,045 | $612,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 10,541 | $607,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 16,038 | $583,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 9,138 | $538,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 2,455 | $534,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 2,354 | $529,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 11,095 | $500,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 13,789 | $486,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 4,298 | $483,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 8,193 | $475,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 3,473 | $453,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 4,088 | $439,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 2,578 | $424,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 3,908 | $390,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 210 | $365,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 1,589 | $351,000 | thousands by filing date | |
| FIRST TRUST TCW OPPORTUNISTIC | 33740F805 | TCW OPPORTUNIS | 6,463 | $340,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 7,145 | $322,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 1,846 | $318,000 | thousands by filing date | |
| LINDE PLC | G5494J103 | SHS | 1,637 | $317,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 11,287 | $301,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 1,106 | $300,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 8,095 | $291,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 2,229 | $288,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 7,577 | $287,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 8,832 | $287,000 | thousands by filing date | |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 1,752 | $274,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 4,520 | $273,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 7,356 | $267,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 9,082 | $263,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 1,452 | $259,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 2,101 | $252,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 8,567 | $250,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 2,611 | $248,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 1,776 | $242,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 8,183 | $242,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H300 | JP MRGAN EM LOC | 6,915 | $228,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 2,228 | $227,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 745 | $217,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 2,538 | $214,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 3,302 | $214,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 1,661 | $207,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 10,877 | $100,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 10,961 | $98,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 68,255 | $28,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 10,000 | $19,000 | thousands by filing date | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 20,000 | $16,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001062993-19-003926 | this filing | 2019-10-17 | acceptance time not in the bulk data set |