0001062993-18-004113.txt : 20181017 0001062993-18-004113.hdr.sgml : 20181017 20181017161257 ACCESSION NUMBER: 0001062993-18-004113 CONFORMED SUBMISSION TYPE: 13F-HR/A 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-15741 FILM NUMBER: 181126526 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/A 1 primary_doc.xml 13F-HR/A LIVE false true false 0001342396 XXXXXXXX 09-30-2018 09-30-2018 true 1 RESTATEMENT 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 96 359871 false 1 0001560717 Horizon Investments, LLC INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE UNITEDHEALTH GROUP INC COM 91324P102 329 1235 SH SOLE 1 0 0 1235 COCA COLA CO COM 191216100 471 10197 SH SOLE 1 0 0 10197 3M CO COM 88579Y101 482 2286 SH SOLE 1 0 0 2286 HONEYWELL INTL INC COM 438516106 513 3080 SH SOLE 1 0 0 3080 WELLS FARGO CO NEW COM 949746101 599 11397 SH SOLE 1 0 0 11397 DUKE ENERGY CORP NEW COM NEW 26441C204 709 8864 SH SOLE 1 0 0 8864 FIRST TR NASDAQ100 TECH INDE SHS 337345102 727 9167 SH SOLE 1 0 0 9167 STARBUCKS CORP COM 855244109 732 12879 SH SOLE 1 0 0 12879 ISHARES TR S&P US PFD STK 464288687 737 19849 SH SOLE 1 0 0 19849 ISHARES TR CORE S&P SCP ETF 464287804 800 9168 SH SOLE 1 0 0 9168 JOHNSON & JOHNSON COM 478160104 873 6318 SH SOLE 1 0 0 6318 WALMART INC COM 931142103 963 10253 SH SOLE 1 0 0 10253 CHEVRON CORP NEW COM 166764100 968 7920 SH SOLE 1 0 0 7920 INTERNATIONAL BUSINESS MACHS COM 459200101 1056 6982 SH SOLE 1 0 0 6982 CISCO SYS INC COM 17275R102 1063 21860 SH SOLE 1 0 0 21860 MERCK & CO INC COM 58933Y105 1088 15333 SH SOLE 1 0 0 15333 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 ISHARES TR RUS MID CAP ETF 464287499 1680 7618 SH SOLE 1 0 0 7618 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 4301 82636 SH SOLE 1 0 0 82636 ISHARES TR EAFE SML CP ETF 464288273 5434 87259 SH SOLE 1 0 0 87259 ISHARES TR RUS 1000 GRW ETF 464287614 9959 63845 SH SOLE 1 0 0 63845 VANGUARD INDEX FDS MID CAP ETF 922908629 14942 91007 SH SOLE 1 0 0 91007 VANGUARD INDEX FDS SMALL CP ETF 922908751 16128 99198 SH SOLE 1 0 0 99198 SPDR S&P 500 ETF TR TR UNIT 78462F103 19079 65628 SH SOLE 1 0 0 65628 VANGUARD INDEX FDS VALUE ETF 922908744 20997 189711 SH SOLE 1 0 0 189711 ISHARES TR USA QUALITY FCTR 46432F339 28527 315669 SH SOLE 1 0 0 315669 DBX ETF TR XTRACK MSCI EAFE 233051200 11242 347623 SH SOLE 1 0 0 347623 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 14604 356202 SH SOLE 1 0 0 356202 KELLOGG CO COM 487836108 210 3000 SH SOLE 0 0 3000 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 222 3955 SH SOLE 0 0 3955 WISDOMTREE TR US QTLY DIV GRT 97717X669 266 5995 SH SOLE 0 0 5995 OLD LINE BANCSHARES INC COM 67984M100 287 9082 SH SOLE 0 0 9082 WISDOMTREE TR US MIDCAP DIVID 97717W505 293 7951 SH SOLE 0 0 7951 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 305 4819 SH SOLE 0 0 4819 ISHARES TR US AER DEF ETF 464288760 333 1539 SH SOLE 0 0 1539 VANGUARD WORLD FDS UTILITIES ETF 92204A876 345 2925 SH SOLE 0 0 2925 EQUIFAX INC COM 294429105 385 2946 SH SOLE 0 0 2946 VANGUARD GROUP DIV APP ETF 921908844 529 4779 SH SOLE 0 0 4779 ISHARES TR SH TR CRPORT ETF 464288646 531 10246 SH SOLE 0 0 10246 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 556 10308 SH SOLE 0 0 10308 ISHARES TR RUSSELL 2000 ETF 464287655 590 3501 SH SOLE 0 0 3501 XCEL ENERGY INC COM 98389B100 612 12965 SH SOLE 0 0 12965 FIRST TR EXCHANGE TRADED FD NY ARCA BIOTECH 33733E203 716 4517 SH SOLE 0 0 4517 SMUCKER J M CO COM NEW 832696405 717 6987 SH SOLE 0 0 6987 DELTA AIR LINES INC DEL COM NEW 247361702 717 12404 SH SOLE 0 0 12404 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 724 10630 SH SOLE 0 0 10630 SPDR SERIES TRUST DJ REIT ETF 78464A607 728 7810 SH SOLE 0 0 7810 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 731 18188 SH SOLE 0 0 18188 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 736 11582 SH SOLE 0 0 11582 CLOROX CO DEL COM 189054109 739 4912 SH SOLE 0 0 4912 FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 741 17482 SH SOLE 0 0 17482 PACWEST BANCORP DEL COM 695263103 773 16223 SH SOLE 0 0 16223 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 780 16473 SH SOLE 0 0 16473 ALLERGAN PLC SHS G0177J108 789 4141 SH SOLE 0 0 4141 INVESCO EXCHANGE TRADED FD T FINL PFD ETF 46137V621 789 43366 SH SOLE 0 0 43366 AUTOMATIC DATA PROCESSING IN COM 053015103 840 5573 SH SOLE 0 0 5573 PIMCO INCOME OPPORTUNITY FD COM 72202B100 867 31405 SH SOLE 0 0 31405 NOVARTIS A G SPONSORED ADR 66987V109 873 10128 SH SOLE 0 0 10128 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 893 6308 SH SOLE 0 0 6308 ISHARES TR NATIONAL MUN ETF 464288414 990 9176 SH SOLE 0 0 9176 BANK N S HALIFAX COM 064149107 1050 17608 SH SOLE 0 0 17608 ISHARES TR IBOXX HI YD ETF 464288513 1053 12185 SH SOLE 0 0 12185 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 1084 12448 SH SOLE 0 0 12448 FIRST TR EXCHANGE TRADED FD FIRST TR TA HIYL 33738D408 1272 26625 SH SOLE 0 0 26625 ISHARES TR 1 3 YR TREAS BD 464287457 1554 18707 SH SOLE 0 0 18707 INVESCO EXCHNG TRADED FD TR S&P SMLCP LOW 46138G102 1572 31788 SH SOLE 0 0 31788 FIRST TR VALUE LINE DIVID IN SHS 33734H106 1579 49909 SH SOLE 0 0 49909 SPDR SERIES TRUST PORTFOLIO INTRMD 78464A375 1585 47594 SH SOLE 0 0 47594 INVESCO EXCHANGE TRADED FD T DYNMC LRG GWTH 46137V746 1675 34717 SH SOLE 0 0 34717 ISHARES TR CORE DIV GRWTH 46434V621 1675 45198 SH SOLE 0 0 45198 ISHARES TR CORE S&P MCP ETF 464287507 1737 8628 SH SOLE 0 0 8628 DBX ETF TR XTRACKERS SHRT 233051283 1844 37065 SH SOLE 0 0 37065 SPDR SER TR SPDR BLOOMBERG 78468R663 1887 20601 SH SOLE 0 0 20601 SPDR SERIES TRUST PORTFOLIO LN TSR 78464A664 2322 68710 SH SOLE 0 0 68710 ISHARES TR 3 7 YR TREAS BD 464288661 2390 20072 SH SOLE 0 0 20072 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 2398 44297 SH SOLE 0 0 44297 FIRST TR LRG CP GRWTH ALPHAD COM SHS 33735K108 2492 35411 SH SOLE 0 0 35411 DBX ETF TR XTRACK USD HIGH 233051432 2609 52321 SH SOLE 0 0 52321 ISHARES TR CORE S&P500 ETF 464287200 3777 12902 SH SOLE 0 0 12902 ISHARES TR IBOXX INV CP ETF 464287242 4217 36692 SH SOLE 0 0 36692 ISHARES TR U.S. MED DVC ETF 464288810 5732 25198 SH SOLE 0 0 25198 ISHARES TR SHORT TREAS BD 464288679 7378 66808 SH SOLE 0 0 66808 ISHARES TR USA MOMENTUM FCT 46432F396 11157 93760 SH SOLE 0 0 93760 ISHARES TR CORE US AGGBD ET 464287226 11783 111668 SH SOLE 0 0 111668 NEW AMER HIGH INCOME FD INC COM NEW 641876800 988 115145 SH SOLE 0 0 115145 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 9303 118210 SH SOLE 0 0 118210 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 4638 124139 SH SOLE 0 0 124139 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 10773 159604 SH SOLE 0 0 159604 HANCOCK JOHN TAX-ADV DIV INC COM 41013V100 3800 163033 SH SOLE 0 0 163033 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 1960 190151 SH SOLE 0 0 190151 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 21779 203902 SH SOLE 0 0 203902 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 11312 239401 SH SOLE 0 0 239401 SPDR SER TR PORTFOLIO SM ETF 78468R853 10681 321322 SH SOLE 0 0 321322 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 10905 354407 SH SOLE 0 0 354407 SPDR SERIES TRUST PRTFLO S&P500 GW 78464A409 16952 443300 SH SOLE 0 0 443300