0001062993-18-004104.txt : 20181017 0001062993-18-004104.hdr.sgml : 20181017 20181017104459 ACCESSION NUMBER: 0001062993-18-004104 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181017 DATE AS OF CHANGE: 20181017 EFFECTIVENESS DATE: 20181017 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: 181125652 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 09-30-2018 09-30-2018 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 10-17-2018 1 133 348244 false 1 0001560717 Horizon Investments, LLC INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3M CO COM 88579Y101 482 2286 SH SOLE 1 0 0 2286 AMAZON COM INC COM 023135106 14 36061 SH SOLE 1 0 0 36061 APPLE INC COM 037833100 34 158164 SH SOLE 1 0 0 158164 BANK AMER CORP COM 060505104 20 21289 SH SOLE 1 0 0 21289 CHEVRON CORP NEW COM 166764100 968 7920 SH SOLE 1 0 0 7920 CISCO SYS INC COM 17275R102 1063 21860 SH SOLE 1 0 0 21860 COCA COLA CO COM 191216100 471 10197 SH SOLE 1 0 0 10197 DUKE ENERGY CORP NEW COM NEW 26441C204 705 13052 SH SOLE 1 0 0 13052 EXXON MOBIL CORP COM 30231G102 37 24239 SH SOLE 1 0 0 24239 FIRST TR NASDAQ100 TECH INDE SHS 337345102 724 12301 SH SOLE 1 0 0 12301 HONEYWELL INTL INC COM 438516106 513 3080 SH SOLE 1 0 0 3080 INTEL CORP COM 458140100 8 19078 SH SOLE 1 0 0 19078 INTERNATIONAL BUSINESS MACHS COM 459200101 1056 6982 SH SOLE 1 0 0 6982 INVESCO QQQ TR UNIT SER 1 46090E103 61 129077 SH SOLE 1 0 0 129077 ISHARES TR CORE S&P SCP ETF 464287804 800 9168 SH SOLE 1 0 0 9168 ISHARES TR USA QUALITY FCTR 46432F339 28527 315669 SH SOLE 1 0 0 315669 ISHARES TR EAFE SML CP ETF 464288273 5434 87259 SH SOLE 1 0 0 87259 ISHARES TR NASDAQ BIOTECH 464287556 6 33700 SH SOLE 1 0 0 33700 ISHARES TR RUS 1000 GRW ETF 464287614 9959 63845 SH SOLE 1 0 0 63845 ISHARES TR RUS MID CAP ETF 464287499 1646 41640 SH SOLE 1 0 0 41640 ISHARES TR S&P US PFD STK 464288687 737 19849 SH SOLE 1 0 0 19849 JOHNSON & JOHNSON COM 478160104 873 6318 SH SOLE 1 0 0 6318 MCCORMICK & CO INC COM NON VTG 579780206 7 26404 SH SOLE 1 0 0 26404 MERCK & CO INC COM 58933Y105 1081 22327 SH SOLE 1 0 0 22327 MICROSOFT CORP COM 594918104 23 71105 SH SOLE 1 0 0 71105 PEPSICO INC COM 713448108 1125 10062 SH SOLE 1 0 0 10062 PROCTER AND GAMBLE CO COM 742718109 1223 14696 SH SOLE 1 0 0 14696 SPDR S&P 500 ETF TR TR UNIT 78462F103 19079 65628 SH SOLE 1 0 0 65628 STARBUCKS CORP COM 855244109 732 12879 SH SOLE 1 0 0 12879 UNITEDHEALTH GROUP INC COM 91324P102 24 305501 SH SOLE 1 0 0 305501 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 4301 82636 SH SOLE 1 0 0 82636 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 14604 356202 SH SOLE 1 0 0 356202 VANGUARD INDEX FDS MID CAP ETF 922908629 14942 91007 SH SOLE 1 0 0 91007 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 16 12599 SH SOLE 1 0 0 12599 VANGUARD INDEX FDS SMALL CP ETF 922908751 16128 99198 SH SOLE 1 0 0 99198 VANGUARD INDEX FDS VALUE ETF 922908744 20997 189711 SH SOLE 1 0 0 189711 WALMART INC COM 931142103 963 10253 SH SOLE 1 0 0 10253 WELLS FARGO CO NEW COM 949746101 599 11449 SH SOLE 1 0 0 11449 DBX ETF TR XTRACK MSCI EAFE 233051200 11242 347623 SH SOLE 1 0 0 347623 ACCESS NATL CORP COM 004337101 2 62760 SH SOLE 0 0 62760 ALLERGAN PLC SHS G0177J108 789 4141 SH SOLE 0 0 4141 ALPS ETF TR ALERIAN MLP 00162Q866 84 13170 SH SOLE 0 0 13170 AUTOMATIC DATA PROCESSING IN COM 053015103 840 5573 SH SOLE 0 0 5573 BANK N S HALIFAX COM 064149107 1050 17608 SH SOLE 0 0 17608 BB&T CORP COM 054937107 0 12281 SH SOLE 0 0 12281 BOULDER GROWTH & INCOME FD I COM 101507101 1 13340 SH SOLE 0 0 13340 DBX ETF TR XTRACKERS SHRT 233051283 1844 37065 SH SOLE 0 0 37065 DELTA AIR LINES INC DEL COM NEW 247361702 717 12404 SH SOLE 0 0 12404 EMERSON ELEC CO COM 291011104 0 11487 SH SOLE 0 0 11487 EPR PPTYS COM SH BEN INT 26884U109 0 11630 SH SOLE 0 0 11630 EQUIFAX INC COM 294429105 385 2946 SH SOLE 0 0 2946 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 24 18638 SH SOLE 0 0 18638 FIRST TR EXCHANGE TRADED FD FIRST TR TA HIYL 33738D408 1272 26625 SH SOLE 0 0 26625 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 1 56996 SH SOLE 0 0 56996 FIRST TR EXCHANGE TRADED FD NASDAQ CYB ETF 33734X846 1 22816 SH SOLE 0 0 22816 FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 1 92298 SH SOLE 0 0 92298 FIRST TR VALUE LINE DIVID IN SHS 33734H106 56 1573422 SH SOLE 0 0 1573422 FIRST TR EXCHANGE TRADED FD NY ARCA BIOTECH 33733E203 716 4517 SH SOLE 0 0 4517 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 713 186480 SH SOLE 0 0 186480 FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 741 17482 SH SOLE 0 0 17482 FIRST TR LRG CP GRWTH ALPHAD COM SHS 33735K108 2492 35411 SH SOLE 0 0 35411 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 2398 44297 SH SOLE 0 0 44297 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 736 11582 SH SOLE 0 0 11582 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 731 18188 SH SOLE 0 0 18188 GLOBALSTAR INC COM 378973408 53 27475 SH SOLE 0 0 27475 HANCOCK JOHN TAX-ADV DIV INC COM 41013V100 163 3800291 SH SOLE 0 0 3800291 INVESCO EXCHANGE TRADED FD T DYNMC LRG GWTH 46137V746 1675 34717 SH SOLE 0 0 34717 INVESCO EXCHANGE TRADED FD T DIVID ACHIEVEV 46137V506 1 16518 SH SOLE 0 0 16518 INVESCO EXCHANGE TRADED FD T S&P500 EQL STP 46137V373 0 48128 SH SOLE 0 0 48128 INVESCO EXCHANGE TRADED FD T FINL PFD ETF 46137V621 789 43366 SH SOLE 0 0 43366 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 21779 203902 SH SOLE 0 0 203902 INVESCO EXCHNG TRADED FD TR S&P SMLCP LOW 46138G102 1572 31788 SH SOLE 0 0 31788 ISHARES TR CORE S&P500 ETF 464287200 3777 12902 SH SOLE 0 0 12902 ISHARES TR CORE S&P MCP ETF 464287507 1737 8628 SH SOLE 0 0 8628 ISHARES TR CORE US AGGBD ET 464287226 11783 111668 SH SOLE 0 0 111668 ISHARES TR USA MOMENTUM FCT 46432F396 11157 93760 SH SOLE 0 0 93760 ISHARES TR IBOXX INV CP ETF 464287242 4217 36692 SH SOLE 0 0 36692 ISHARES TR SH TR CRPORT ETF 464288646 531 10246 SH SOLE 0 0 10246 ISHARES TR 3 7 YR TREAS BD 464288661 2390 20072 SH SOLE 0 0 20072 ISHARES TR 1 3 YR TREAS BD 464287457 1554 18707 SH SOLE 0 0 18707 ISHARES TR CORE DIV GRWTH 46434V621 1675 45198 SH SOLE 0 0 45198 ISHARES TR IBOXX HI YD ETF 464288513 1053 12185 SH SOLE 0 0 12185 ISHARES TR NATIONAL MUN ETF 464288414 990 9176 SH SOLE 0 0 9176 ISHARES TR RUSSELL 2000 ETF 464287655 590 3501 SH SOLE 0 0 3501 ISHARES TR RUS MDCP VAL ETF 464287473 1 97932 SH SOLE 0 0 97932 ISHARES TR SHORT TREAS BD 464288679 7378 66808 SH SOLE 0 0 66808 ISHARES TR US AER DEF ETF 464288760 2 333086 SH SOLE 0 0 333086 ISHARES TR U.S. MED DVC ETF 464288810 5732 25198 SH SOLE 0 0 25198 KELLOGG CO COM 487836108 210 3000 SH SOLE 0 0 3000 NEW AMER HIGH INCOME FD INC COM NEW 641876800 115 987944 SH SOLE 0 0 987944 NOVARTIS A G SPONSORED ADR 66987V109 873 10128 SH SOLE 0 0 10128 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 190 1960457 SH SOLE 0 0 1960457 NUVEEN TAX ADVANTAGED DIV GR COM 67073G105 5 88650 SH SOLE 0 0 88650 OLD LINE BANCSHARES INC COM 67984M100 287 9082 SH SOLE 0 0 9082 ONEOK INC NEW COM 682680103 2 150901 SH SOLE 0 0 150901 PACWEST BANCORP DEL COM 695263103 773 16223 SH SOLE 0 0 16223 PIMCO INCOME OPPORTUNITY FD COM 72202B100 31 867092 SH SOLE 0 0 867092 PIMCO INCOME STRATEGY FUND I COM 72201J104 2 21100 SH SOLE 0 0 21100 PROSHARES TR PSHS ULTRA TECH 74347R693 0 12074 SH SOLE 0 0 12074 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 724 10630 SH SOLE 0 0 10630 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 10 555910 SH SOLE 0 0 555910 SELECT SECTOR SPDR TR ENERGY 81369Y506 1 49231 SH SOLE 0 0 49231 SMUCKER J M CO COM NEW 832696405 717 6987 SH SOLE 0 0 6987 SPDR SER TR SPDR BLOOMBERG 78468R663 1887 20601 SH SOLE 0 0 20601 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 4638 124139 SH SOLE 0 0 124139 SPDR SERIES TRUST PORTFOLIO INTRMD 78464A375 1585 47594 SH SOLE 0 0 47594 SPDR SERIES TRUST PORTFOLIO LN TSR 78464A664 2322 68710 SH SOLE 0 0 68710 SPDR SERIES TRUST PRTFLO S&P500 GW 78464A409 16952 443300 SH SOLE 0 0 443300 SPDR SERIES TRUST DJ REIT ETF 78464A607 728 7810 SH SOLE 0 0 7810 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 10773 159604 SH SOLE 0 0 159604 SPDR SERIES TRUST S&P REGL BKG 78464A698 1 38623 SH SOLE 0 0 38623 SPDR SER TR PORTFOLIO SM ETF 78468R853 10681 321322 SH SOLE 0 0 321322 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 780 16473 SH SOLE 0 0 16473 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 11312 239401 SH SOLE 0 0 239401 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 10905 354407 SH SOLE 0 0 354407 CLOROX CO DEL COM 189054109 739 4912 SH SOLE 0 0 4912 TORTOISE MLP FD INC COM 89148B101 6 91978 SH SOLE 0 0 91978 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 5 23155 SH SOLE 0 0 23155 VANGUARD GROUP DIV APP ETF 921908844 529 4779 SH SOLE 0 0 4779 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 0 117130 SH SOLE 0 0 117130 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1 132432 SH SOLE 0 0 132432 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 210 16092 SH SOLE 0 0 16092 VANGUARD STAR FD VG TL INTL STK F 921909768 1 32335 SH SOLE 0 0 32335 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 9303 118210 SH SOLE 0 0 118210 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 19 1077381 SH SOLE 0 0 1077381 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 0 20317 SH SOLE 0 0 20317 VANGUARD WORLD FDS INF TECH ETF 92204A702 6 115487 SH SOLE 0 0 115487 VANGUARD WORLD FDS UTILITIES ETF 92204A876 3 344770 SH SOLE 0 0 344770 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 5 304657 SH SOLE 0 0 304657 WISDOMTREE TR US MIDCAP DIVID 97717W505 8 293233 SH SOLE 0 0 293233 WISDOMTREE TR US QTLY DIV GRT 97717X669 266 5995 SH SOLE 0 0 5995 XCEL ENERGY INC COM 98389B100 612 12965 SH SOLE 0 0 12965 DBX ETF TR XTRACK USD HIGH 233051432 2609 52321 SH SOLE 0 0 52321