Chief Compliance Officer

0001062993-20-000618.txt : 20200211 0001062993-20-000618.hdr.sgml : 20200211 20200211134325 ACCESSION NUMBER: 0001062993-20-000618 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200211 DATE AS OF CHANGE: 20200211 EFFECTIVENESS DATE: 20200211 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: 20595684 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 12-31-2019 12-31-2019 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 Chief Compliance Officer 410-308-9988 Joseph V. Krcma Towson MD 02-11-2020 1 120 295745 false 1 0001560717 Horizon Investments, LLC INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 9463 301854 SH SOLE 1 0 0 301854 SPDR SERIES TRUST PRTFLO S&P500 VL 78464A508 10079 288727 SH SOLE 1 0 0 288727 ISHARES TR HDG MSCI EAFE 46434V803 7775 254808 SH SOLE 1 0 0 254808 ISHARES INC CORE MSCI EMKT 46434G103 11727 218134 SH SOLE 1 0 0 218134 ISHARES TR CORE S&P SCP ETF 464287804 17100 203940 SH SOLE 1 0 0 203940 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 8931 182303 SH SOLE 0 0 182303 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 6763 179917 SH SOLE 1 0 0 179917 ISHARES TR USA QUALITY FCTR 46432F339 17246 170753 SH SOLE 1 0 0 170753 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 7388 137445 SH SOLE 1 0 0 137445 DBX ETF TR XTRACKERS S&P 233051143 3530 126578 SH SOLE 1 0 0 126578 ISHARES TR MSCI MIN VOL ETF 46429B697 7523 114678 SH SOLE 1 0 0 114678 VANGUARD INDEX FDS VALUE ETF 922908744 13197 110111 SH SOLE 1 0 0 110111 ISHARES INC MSCI EURZONE ETF 464286608 4171 99509 SH SOLE 1 0 0 99509 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 8210 97902 SH SOLE 1 0 0 97902 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 2818 95930 SH SOLE 1 0 0 95930 DBX ETF TR XTRACK USD HIGH 233051432 4683 92967 SH SOLE 1 0 0 92967 ISHARES TR CORE US AGGBD ET 464287226 10387 92436 SH SOLE 1 0 0 92436 SPDR SERIES TRUST PRTFLO S&P500 GW 78464A409 3365 80298 SH SOLE 1 0 0 80298 PIMCO ETF TR ACTIVE BD ETF 72201R775 8372 77657 SH SOLE 1 0 0 77657 VANGUARD GROUP DIV APP ETF 921908844 8831 70837 SH SOLE 1 0 0 70837 WISDOMTREE TR JAPN HEDGE EQT 97717W851 3677 68367 SH SOLE 1 0 0 68367 FIRST TR LRG CP GRWTH ALPHAD COM SHS 33735K108 4887 67020 SH SOLE 1 0 0 67020 ISHARES TR CORE DIV GRWTH 46434V621 2562 60891 SH SOLE 1 0 0 60891 VANGUARD INDEX FDS MID CAP ETF 922908629 10535 59125 SH SOLE 1 0 0 59125 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 3245 57427 SH SOLE 1 0 0 57427 ISHARES TR RUS 1000 GRW ETF 464287614 9699 55135 SH SOLE 1 0 0 55135 INVESCO EXCHNG TRADED FD TR S&P SMLCP LOW 46138G102 2451 48170 SH SOLE 1 0 0 48170 ISHARES TR PFD AND INCM SEC 464288687 1506 40064 SH SOLE 1 0 0 40064 ISHARES TR JPMORGAN USD EMG 464288281 4159 36302 SH SOLE 1 0 0 36302 SPDR S&P 500 ETF TR TR UNIT 78462F103 10598 32928 SH SOLE 1 0 0 32928 ISHARES TR MIN VOL EAFE ETF 46429B689 2398 32170 SH SOLE 1 0 0 32170 ISHARES TR RUS MID CAP ETF 464287499 1862 31225 SH SOLE 1 0 0 31225 ISHARES TR 1 3 YR TREAS BD 464287457 2361 27897 SH SOLE 1 0 0 27897 WISDOMTREE TR YIELD ENHANCD US 97717X511 1207 23096 SH SOLE 1 0 0 23096 EXXON MOBIL CORP COM 30231G102 1578 22611 SH SOLE 1 0 0 22611 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 2397 21571 SH SOLE 1 0 0 21571 SCHLUMBERGER LTD COM 806857108 855 21259 SH SOLE 1 0 0 21259 BRISTOL MYERS SQUIBB CO COM 110122108 1357 21141 SH SOLE 1 0 0 21141 CISCO SYS INC COM 17275R102 1001 20876 SH SOLE 1 0 0 20876 ISHARES TR IBOXX HI YD ETF 464288513 1812 20601 SH SOLE 1 0 0 20601 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 563 19279 SH SOLE 1 0 0 19279 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 573 17102 SH SOLE 1 0 0 17102 PACWEST BANCORP DEL COM 695263103 637 16647 SH SOLE 1 0 0 16647 FIRST TR EXCH TRD ALPHA FD I BRAZIL ALPHADEX 33737J133 284 16459 SH SOLE 1 0 0 16459 BANK N S HALIFAX COM 064149107 917 16231 SH SOLE 1 0 0 16231 ISHARES TR CORE S&P500 ETF 464287200 5236 16199 SH SOLE 1 0 0 16199 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 723 15389 SH SOLE 1 0 0 15389 OCCIDENTAL PETE CORP COM 674599105 633 15354 SH SOLE 1 0 0 15354 ISHARES TR SH TR CRPORT ETF 464288646 800 14924 SH SOLE 1 0 0 14924 WELLS FARGO CO NEW COM 949746101 801 14891 SH SOLE 1 0 0 14891 SPDR SERIES TRUST PORTFOLIO INTRMD 78464A375 492 13942 SH SOLE 1 0 0 13942 COMCAST CORP NEW CL A 20030N101 602 13377 SH SOLE 1 0 0 13377 FIRST TR EXCH TRD ALPHA FD I LATIN AMER ALP 33737J125 297 13137 SH SOLE 1 0 0 13137 COCA COLA CO COM 191216100 695 12560 SH SOLE 1 0 0 12560 ISHARES TR NATIONAL MUN ETF 464288414 1421 12476 SH SOLE 1 0 0 12476 INVESCO EXCHNG TRADED FD TR EMRNG MKT SVRG 46138E784 354 11973 SH SOLE 1 0 0 11973 PROCTER & GAMBLE CO COM 742718109 1402 11225 SH SOLE 1 0 0 11225 ISHARES TR CORE S&P MCP ETF 464287507 2282 11086 SH SOLE 1 0 0 11086 MEDTRONIC PLC SHS G5960L103 1236 10896 SH SOLE 1 0 0 10896 DELTA AIR LINES INC DEL COM NEW 247361702 623 10651 SH SOLE 1 0 0 10651 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 1218 10528 SH SOLE 1 0 0 10528 ALLSTATE CORP COM 020002101 1138 10121 SH SOLE 1 0 0 10121 FIRST TR BICK INDEX FD COM SHS 33733H107 295 10079 SH SOLE 1 0 0 10079 BANK AMER CORP COM 060505104 344 9758 SH SOLE 1 0 0 9758 PFIZER INC COM 717081103 379 9677 SH SOLE 1 0 0 9677 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 557 9442 SH SOLE 1 0 0 9442 JOHNSON & JOHNSON COM 478160104 1351 9264 SH SOLE 1 0 0 9264 WALMART INC COM 931142103 1025 8626 SH SOLE 1 0 0 8626 ISHARES TR INTRM TR CRP ETF 464288638 491 8476 SH SOLE 1 0 0 8476 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 611 8422 SH SOLE 1 0 0 8422 VANECK VECTORS ETF TR JP MORGAN MKTS 92189H300 277 8151 SH SOLE 1 0 0 8151 CHEVRON CORP NEW COM 166764100 902 7488 SH SOLE 1 0 0 7488 APPLE INC COM 037833100 2133 7263 SH SOLE 1 0 0 7263 DUKE ENERGY CORP NEW COM NEW 26441C204 661 7242 SH SOLE 1 0 0 7242 WESBANCO INC COM 950810101 269 7123 SH SOLE 1 0 0 7123 INTERNATIONAL BUSINESS MACHS COM 459200101 937 6993 SH SOLE 1 0 0 6993 HOME DEPOT INC COM 437076102 1468 6723 SH SOLE 1 0 0 6723 MICROSOFT CORP COM 594918104 1035 6564 SH SOLE 1 0 0 6564 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 338 6531 SH SOLE 1 0 0 6531 FIRST TR EXCH TRD ALPHA FD I GERMANY ALPHA 33737J190 285 6411 SH SOLE 1 0 0 6411 FIRST TR NASDAQ100 TECH INDE SHS 337345102 614 6138 SH SOLE 1 0 0 6138 AMGEN INC COM 031162100 1333 5528 SH SOLE 1 0 0 5528 VERIZON COMMUNICATIONS INC COM 92343V104 337 5483 SH SOLE 1 0 0 5483 FIRST TR EXCH TRD ALPHA FD I SWITZLND ALPHA 33737J232 291 5389 SH SOLE 1 0 0 5389 DISNEY WALT CO COM DISNEY 254687106 675 4665 SH SOLE 1 0 0 4665 ISHARES TR RUSSELL 2000 ETF 464287655 752 4539 SH SOLE 1 0 0 4539 BLACKSTONE GROUP INC COM CL A 09260D107 253 4522 SH SOLE 1 0 0 4522 AUTOMATIC DATA PROCESSING IN COM 053015103 759 4453 SH SOLE 1 0 0 4453 ISHARES TR BARCLAYS 7 10 YR 464287440 489 4435 SH SOLE 1 0 0 4435 MONDELEZ INTL INC CL A 609207105 217 3937 SH SOLE 1 0 0 3937 ISHARES TR U.S. REAL ES ETF 464287739 354 3798 SH SOLE 1 0 0 3798 US BANCORP DEL COM NEW 902973304 222 3738 SH SOLE 1 0 0 3738 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 282 3438 SH SOLE 1 0 0 3438 LOCKHEED MARTIN CORP COM 539830109 1280 3287 SH SOLE 1 0 0 3287 MERCK & CO INC COM 58933Y105 294 3229 SH SOLE 1 0 0 3229 ISHARES TR S&P 500 VAL ETF 464287408 391 3002 SH SOLE 1 0 0 3002 ISHARES TR IBOXX INV CP ETF 464287242 370 2889 SH SOLE 1 0 0 2889 SHOPIFY INC CL A 82509L107 1091 2743 SH SOLE 1 0 0 2743 3M CO COM 88579Y101 481 2724 SH SOLE 1 0 0 2724 UNITED PARCEL SERVICE INC CL B 911312106 304 2600 SH SOLE 1 0 0 2600 UNITEDHEALTH GROUP INC COM 91324P102 763 2594 SH SOLE 1 0 0 2594 TEXAS INSTRS INC COM 882508104 322 2513 SH SOLE 1 0 0 2513 VISA INC COM CL A 92826C839 404 2149 SH SOLE 1 0 0 2149 UNITED TECHNOLOGIES CORP COM 913017109 317 2117 SH SOLE 1 0 0 2117 ISHARES TR S&P 500 GRWT ETF 464287309 400 2066 SH SOLE 1 0 0 2066 ZOETIS INC CL A 98978V103 265 2000 SH SOLE 1 0 0 2000 PPG INDS INC COM 693506107 248 1859 SH SOLE 1 0 0 1859 LINDE PLC SHS G5494J103 391 1837 SH SOLE 1 0 0 1837 MCCORMICK & CO INC COM NON VTG 579780206 304 1794 SH SOLE 1 0 0 1794 FACEBOOK INC CL A 30303M102 341 1663 SH SOLE 1 0 0 1663 AMERICAN TOWER CORP NEW COM 03027X100 345 1501 SH SOLE 1 0 0 1501 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 387 1359 SH SOLE 1 0 0 1359 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 283 1334 SH SOLE 1 0 0 1334 HONEYWELL INTL INC COM 438516106 234 1320 SH SOLE 1 0 0 1320 BIOGEN INC COM 09062X103 371 1251 SH SOLE 1 0 0 1251 ECOLAB INC COM 278865100 216 1121 SH SOLE 1 0 0 1121 MASTERCARD INC CL A 57636Q104 317 1063 SH SOLE 1 0 0 1063 RAYTHEON CO COM NEW 755111507 227 1032 SH SOLE 1 0 0 1032 THERMO FISHER SCIENTIFIC INC COM 883556102 262 805 SH SOLE 1 0 0 805 AMAZON COM INC COM 023135106 567 307 SH SOLE 1 0 0 307