0001062993-17-004752.txt : 20171109 0001062993-17-004752.hdr.sgml : 20171109 20171109161440 ACCESSION NUMBER: 0001062993-17-004752 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171109 DATE AS OF CHANGE: 20171109 EFFECTIVENESS DATE: 20171109 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: 171191003 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 09-30-2017 09-30-2017 FOUNDERS FINANCIAL SECURITIES LLC

1020 CROMWELL BRIDGE ROAD TOWSON MD 21286

13F COMBINATION REPORT 028-15741 0001560717 028-15165 Horizon Investments, LLC N Joseph V Krcma 410-308-9988 Joseph V Krcma Towson MD 11-09-2017 1 89 280708 false 1 0001560717 028-15165 Horizon Investments, LLC INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE AFLAC INC COM 001055102 760 9338 SH SOLE 1 0 0 9338 ALPS ETF TR ALERIAN MLP 00162Q866 578 51508 SH SOLE 0 0 51508 APOLLO INVT CORP COM 03761U106 112 18295 SH SOLE 1 0 0 18295 BANK N S HALIFAX COM 064149107 657 10229 SH SOLE 1 0 0 10229 BAY BANCORP INC COM 07203T106 252 22217 SH SOLE 1 0 0 22217 CAPITAL ONE FINL CORP COM 14040H105 868 10249 SH SOLE 1 0 0 10249 CISCO SYS INC COM 17275R102 737 21922 SH SOLE 1 0 0 21922 COCA COLA CO COM 191216100 1011 22451 SH SOLE 1 0 0 22451 DBX ETF TR XTRAK MSCI EAFE 233051200 12073 389077 SH SOLE 1 0 0 389077 DBX ETF TR DB XTR MSCI EUR 233051853 6275 221402 SH SOLE 1 0 0 221402 DBX ETF TR DEUTSCHE USD ETF 233051432 855 16666 SH SOLE 1 0 0 16666 FIRST TR EXCH TRD ALPHA FD I GERMANY ALPHA 33737J190 397 8317 SH SOLE 1 0 0 8317 FIRST TR EXCH TRD ALPHA FD I DEV MRK EX US 33737J174 344 5819 SH SOLE 1 0 0 5819 FIRST TR EXCH TRD ALPHA FD I SWITZLND ALPHA 33737J232 368 7166 SH SOLE 1 0 0 7166 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 466 10210 SH SOLE 0 0 10210 FIRST TR VALUE LINE DIVID IN SHS 33734H106 450 15119 SH SOLE 0 0 15119 FIRST TR NASDAQ100 TECH INDE SHS 337345102 675 9906 SH SOLE 1 0 0 9906 FIRST TR BICK INDEX FD COM SHS 33733H107 340 11725 SH SOLE 1 0 0 11725 FIRST TR EXCHANGE TRADED FD CHINDIA ETF 33733A102 369 9646 SH SOLE 1 0 0 9646 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 765 7476 SH SOLE 1 0 0 7476 FIRST TR EXCHANGE TRADED FD NASDAQ BK ETF 33738R860 713 25797 SH SOLE 1 0 0 25797 FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 676 18205 SH SOLE 1 0 0 18205 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 616 22797 SH SOLE 1 0 0 22797 HANCOCK JOHN TAX-ADV DIV INC COM 41013V100 4225 163397 SH SOLE 0 0 163397 HONEYWELL INTL INC COM 438516106 431 3039 SH SOLE 1 0 0 3039 HORIZON TECHNOLOGY FIN CORP COM 44045A102 125 11252 SH SOLE 1 0 0 11252 HSBC HLDGS PLC SPON ADR NEW 404280406 1088 22019 SH SOLE 1 0 0 22019 INTEL CORP COM 458140100 876 23017 SH SOLE 1 0 0 23017 INTERNATIONAL BUSINESS MACHS COM 459200101 939 6471 SH SOLE 1 0 0 6471 ISHARES TR CORE S&P500 ETF 464287200 2977 11770 SH SOLE 1 0 0 11770 ISHARES TR CORE S&P MCP ETF 464287507 1374 7683 SH SOLE 1 0 0 7683 ISHARES TR CORE US AGGBD ET 464287226 8754 79877 SH SOLE 1 0 0 79877 ISHARES TR USA QUALITY FCTR 46432F339 5807 75275 SH SOLE 1 0 0 75275 ISHARES TR IBOXX INV CP ETF 464287242 4123 34009 SH SOLE 1 0 0 34009 ISHARES INC CORE MSCI EMKT 46434G103 13718 253943 SH SOLE 1 0 0 253943 ISHARES TR JPMORGAN USD EMG 464288281 956 8208 SH SOLE 1 0 0 8208 ISHARES TR 1 3 YR CR BD ETF 464288646 416 3952 SH SOLE 1 0 0 3952 ISHARES TR 3 7 YR TREAS BD 464288661 3864 31281 SH SOLE 1 0 0 31281 ISHARES TR 1 3 YR TREAS BD 464287457 1253 14839 SH SOLE 1 0 0 14839 ISHARES TR BARCLAYS 7 10 YR 464287440 1402 13161 SH SOLE 1 0 0 13161 ISHARES TR CORE MSCI EAFE 46432F842 9198 143343 SH SOLE 1 0 0 143343 ISHARES TR EXPONENTIAL TECH 46434V381 1793 52238 SH SOLE 1 0 0 52238 ISHARES TR IBOXX HI YD ETF 464288513 3222 36300 SH SOLE 1 0 0 36300 ISHARES TR NATIONAL MUN ETF 464288414 832 7500 SH SOLE 1 0 0 7500 ISHARES TR RUS 1000 GRW ETF 464287614 7924 63359 SH SOLE 1 0 0 63359 ISHARES TR RUSSELL 2000 ETF 464287655 470 3173 SH SOLE 1 0 0 3173 ISHARES TR RUS MID CAP ETF 464287499 1287 6530 SH SOLE 1 0 0 6530 ISHARES TR US AER DEF ETF 464288760 4577 25710 SH SOLE 1 0 0 25710 ISHARES TR S&P US PFD STK 464288687 602 15522 SH SOLE 1 0 0 15522 JOHNSON & JOHNSON COM 478160104 765 5885 SH SOLE 1 0 0 5885 KIMBERLY CLARK CORP COM 494368103 1000 8494 SH SOLE 1 0 0 8494 KOHLS CORP COM 500255104 896 19637 SH SOLE 1 0 0 19637 LOWES COS INC COM 548661107 1062 13289 SH SOLE 1 0 0 13289 MEDLEY CAP CORP COM 58503F106 95 15904 SH SOLE 1 0 0 15904 MERCK & CO INC COM 58933Y105 781 12204 SH SOLE 1 0 0 12204 NEW AMER HIGH INCOME FD INC COM NEW 641876800 610 61390 SH SOLE 0 0 61390 NOVARTIS A G SPONSORED ADR 66987V109 830 9665 SH SOLE 1 0 0 9665 NOVO-NORDISK A S ADR 670100205 531 11033 SH SOLE 1 0 0 11033 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 2272 192081 SH SOLE 0 0 192081 PIMCO INCOME OPPORTUNITY FD COM 72202B100 834 31640 SH SOLE 0 0 31640 POWERSHARES ETF TRUST DYNM LRG CP GR 73935X609 1513 38877 SH SOLE 1 0 0 38877 POWERSHARES ETF TR II S&P600 LOVL PT 73937B639 1083 23570 SH SOLE 1 0 0 23570 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 820 43220 SH SOLE 1 0 0 43220 POWERSHARES ETF TR II PWRSHS SP500 LOW 73937B654 4166 101589 SH SOLE 1 0 0 101589 PROCTER AND GAMBLE CO COM 742718109 586 6440 SH SOLE 1 0 0 6440 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 637 10516 SH SOLE 1 0 0 10516 SANOFI SPONSORED ADR 80105N105 989 19870 SH SOLE 1 0 0 19870 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 664 12308 SH SOLE 0 0 12308 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 9216 223423 SH SOLE 1 0 0 223423 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 3224 85230 SH SOLE 1 0 0 85230 SPDR S&P 500 ETF TR TR UNIT 78462F103 14881 59231 SH SOLE 1 0 0 59231 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 5709 115879 SH SOLE 1 0 0 115879 THL CR INC COM 872438106 114 12179 SH SOLE 1 0 0 12179 TORTOISE MLP FD INC COM 89148B101 347 19160 SH SOLE 0 0 19160 TOTAL S A SPONSORED ADR 89151E109 986 18431 SH SOLE 1 0 0 18431 UNITEDHEALTH GROUP INC COM 91324P102 225 1148 SH SOLE 0 0 1148 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 291 12690 SH SOLE 0 0 12690 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 9045 171591 SH SOLE 1 0 0 171591 VANGUARD INDEX FDS GROWTH ETF 922908736 19951 150292 SH SOLE 1 0 0 150292 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 957 10873 SH SOLE 1 0 0 10873 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 11822 271335 SH SOLE 1 0 0 271335 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 4523 66314 SH SOLE 1 0 0 66314 VANGUARD INDEX FDS MID CAP ETF 922908629 14607 99364 SH SOLE 1 0 0 99364 VANGUARD INDEX FDS SMALL CP ETF 922908751 8186 57923 SH SOLE 1 0 0 57923 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 6330 77229 SH SOLE 1 0 0 77229 VANGUARD INDEX FDS VALUE ETF 922908744 29203 292560 SH SOLE 1 0 0 292560 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 7204 88858 SH SOLE 1 0 0 88858 WAL-MART STORES INC COM 931142103 790 10107 SH SOLE 1 0 0 10107 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 372 5747 SH SOLE 0 0 5747