0001062993-17-000085.txt : 20170110 0001062993-17-000085.hdr.sgml : 20170110 20170110100741 ACCESSION NUMBER: 0001062993-17-000085 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170110 DATE AS OF CHANGE: 20170110 EFFECTIVENESS DATE: 20170110 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FOUNDERS FINANCIAL SECURITIES LLC CENTRAL INDEX KEY: 0001342396 IRS NUMBER: 202052994 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15741 FILM NUMBER: 17519436 BUSINESS ADDRESS: STREET 1: 1020 CROMWELL BRIDGE ROAD STREET 2: SUITE 300 CITY: TOWSON STATE: MD ZIP: 21286 BUSINESS PHONE: 410 308-9988 MAIL ADDRESS: STREET 1: 1020 CROMWELL BRIDGE ROAD STREET 2: SUITE 300 CITY: TOWSON STATE: MD ZIP: 21286 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001342396 XXXXXXXX 12-31-2016 12-31-2016 FOUNDERS FINANCIAL SECURITIES LLC

1020 CROMWELL BRIDGE ROAD TOWSON MD 21286

13F COMBINATION REPORT 028-15741 0001560717 028-15165 Horizon Investments, LLC N Sarah Westbrook 410-308-9988 Sarah Westbrook Charlotte NC 01-10-2017 1 80 240672 false 1 0001560717 028-15165 Horizon Investments, LLC INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE ALPS ETF TR ALERIAN MLP 00162Q866 2515 199573 SH SOLE 0 0 199573 APOLLO COML REAL EST FIN INC COM 03762U105 192 11535 SH SOLE 1 0 0 11535 APPLE INC COM 037833100 831 7173 SH SOLE 1 0 0 7173 ARES CAP CORP COM 04010L103 196 11916 SH SOLE 1 0 0 11916 BANCO DE CHILE SPONSORED ADR 059520106 432 6126 SH SOLE 1 0 0 6126 BANCO SANTANDER CHILE NEW SP ADR REP COM 05965X109 423 19354 SH SOLE 1 0 0 19354 BAY BANCORP INC COM 07203T106 147 22217 SH SOLE 1 0 0 22217 BCE INC COM NEW 05534B760 427 9885 SH SOLE 1 0 0 9885 BP PLC SPONSORED ADR 055622104 540 14441 SH SOLE 1 0 0 14441 BRISTOL MYERS SQUIBB CO COM 110122108 345 5912 SH SOLE 1 0 0 5912 CARDINAL HEALTH INC COM 14149Y108 340 4723 SH SOLE 1 0 0 4723 CBL & ASSOC PPTYS INC COM 124830100 129 11234 SH SOLE 1 0 0 11234 CISCO SYS INC COM 17275R102 893 29543 SH SOLE 1 0 0 29543 COCA COLA CO COM 191216100 677 16328 SH SOLE 1 0 0 16328 DBX ETF TR XTRAK MSCI EAFE 233051200 7467 266110 SH SOLE 1 0 0 266110 DIAGEO P L C SPON ADR NEW 25243Q205 664 6384 SH SOLE 1 0 0 6384 DOW CHEM CO COM 260543103 360 6300 SH SOLE 1 0 0 6300 EASTMAN CHEM CO COM 277432100 378 5022 SH SOLE 1 0 0 5022 LILLY ELI & CO COM 532457108 373 5066 SH SOLE 1 0 0 5066 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 1940 42405 SH SOLE 1 0 0 42405 FIRST TR NASDAQ100 TECH INDE SHS 337345102 669 12704 SH SOLE 1 0 0 12704 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 722 9048 SH SOLE 1 0 0 9048 FIRST TR EXCHANGE TRADED FD ENERGY ALPHADX 33734X127 702 42524 SH SOLE 1 0 0 42524 FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 620 18870 SH SOLE 1 0 0 18870 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 686 25674 SH SOLE 1 0 0 25674 GILEAD SCIENCES INC COM 375558103 762 10644 SH SOLE 1 0 0 10644 GLADSTONE COML CORP COM 376536108 261 13005 SH SOLE 1 0 0 13005 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 672 17443 SH SOLE 1 0 0 17443 HORIZON TECHNOLOGY FIN CORP COM 44045A102 106 10055 SH SOLE 1 0 0 10055 ISHARES TR CORE S&P500 ETF 464287200 3238 14390 SH SOLE 1 0 0 14390 ISHARES TR CORE S&P MCP ETF 464287507 1572 9509 SH SOLE 1 0 0 9509 ISHARES TR CORE US AGGBD ET 464287226 7161 66271 SH SOLE 1 0 0 66271 ISHARES TR USA QUALITY FCTR 46432F339 3796 54936 SH SOLE 1 0 0 54936 ISHARES TR IBOXX INV CP ETF 464287242 3534 30159 SH SOLE 1 0 0 30159 ISHARES TR MSCI EMG MKT ETF 464287234 8928 255001 SH SOLE 1 0 0 255001 ISHARES TR S&P 500 GRWT ETF 464287309 22986 188734 SH SOLE 1 0 0 188734 ISHARES TR 1-3 YR CR BD ETF 464288646 298 2835 SH SOLE 1 0 0 2835 ISHARES TR 1-3 YR TR BD ETF 464287457 1943 23009 SH SOLE 1 0 0 23009 ISHARES TR 7-10 Y TR BD ETF 464287440 635 6057 SH SOLE 1 0 0 6057 ISHARES TR IBOXX HI YD ETF 464288513 2506 28957 SH SOLE 1 0 0 28957 ISHARES TR MSCI EAFE ETF 464287465 17775 307900 SH SOLE 1 0 0 307900 ISHARES TR NATIONAL MUN ETF 464288414 1597 14767 SH SOLE 1 0 0 14767 ISHARES TR RUS 1000 GRW ETF 464287614 6071 57873 SH SOLE 1 0 0 57873 ISHARES TR RUSSELL 2000 ETF 464287655 532 3946 SH SOLE 1 0 0 3946 ISHARES TR RUS MID-CAP ETF 464287499 907 5071 SH SOLE 1 0 0 5071 ISHARES TR U.S. PFD STK ETF 464288687 422 11353 SH SOLE 1 0 0 11353 KLA-TENCOR CORP COM 482480100 719 9141 SH SOLE 1 0 0 9141 MAGNA INTL INC COM 559222401 523 12049 SH SOLE 1 0 0 12049 MONSANTO CO NEW COM 61166W101 347 3296 SH SOLE 1 0 0 3296 NEW MTN FIN CORP COM 647551100 259 18384 SH SOLE 1 0 0 18384 NOVO-NORDISK A S ADR 670100205 370 10321 SH SOLE 1 0 0 10321 POWERSHS DB MULTI SECT COMM DB BASE METALS 73936B705 909 60918 SH SOLE 1 0 0 60918 POWERSHS DB MULTI SECT COMM DB ENERGY FUND 73936B101 897 64943 SH SOLE 1 0 0 64943 POWERSHARES ETF TRUST DYNM LRG CP GR 73935X609 2989 93622 SH SOLE 1 0 0 93622 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 1566 87216 SH SOLE 1 0 0 87216 POWERSHARES ETF TR II PWRSHS SP500 LOW 73937B654 3024 77174 SH SOLE 1 0 0 77174 PRUDENTIAL PLC ADR 74435K204 650 16340 SH SOLE 1 0 0 16340 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 538 9887 SH SOLE 1 0 0 9887 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 617 11935 SH SOLE 0 0 11935 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 203 2690 SH SOLE 0 0 2690 SOLAR CAP LTD COM 83413U100 273 13125 SH SOLE 1 0 0 13125 SPDR SER TR BLOOMBERG SRT TR 78468R408 2243 81043 SH SOLE 1 0 0 81043 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 1651 52436 SH SOLE 1 0 0 52436 SPDR S&P 500 ETF TR TR UNIT 78462F103 12169 54440 SH SOLE 1 0 0 54440 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 3777 78058 SH SOLE 1 0 0 78058 STARWOOD PPTY TR INC COM 85571B105 221 10068 SH SOLE 1 0 0 10068 TARGET CORP COM 87612E106 863 11947 SH SOLE 1 0 0 11947 CLOROX CO DEL COM 189054109 889 7408 SH SOLE 1 0 0 7408 UNITED PARCEL SERVICE INC CL B 911312106 621 5414 SH SOLE 0 0 5414 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 394 18855 SH SOLE 0 0 18855 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 5854 132500 SH SOLE 1 0 0 132500 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 8729 243973 SH SOLE 1 0 0 243973 VANGUARD INDEX FDS MID CAP ETF 922908629 11798 89627 SH SOLE 1 0 0 89627 VANGUARD INDEX FDS SML CP GRW ETF 922908595 5428 40768 SH SOLE 1 0 0 40768 VANGUARD INDEX FDS SM CP VAL ETF 922908611 6571 54307 SH SOLE 1 0 0 54307 VANGUARD INDEX FDS SMALL CP ETF 922908751 8587 66585 SH SOLE 1 0 0 66585 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 5395 66776 SH SOLE 1 0 0 66776 VANGUARD INDEX FDS VALUE ETF 922908744 42130 452957 SH SOLE 1 0 0 452957 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 377 4975 SH SOLE 0 0 4975 WAL-MART STORES INC COM 931142103 720 10412 SH SOLE 1 0 0 10412