-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, PKoPhm91J1PCDa35ywSE1Wf4km8HRGyCpR6hRck7twJ93YpQDdY9x3f/si+LT3LL XS76gSHSgKGFHlmfJJitFA== 0001379995-09-000017.txt : 20091109 0001379995-09-000017.hdr.sgml : 20091109 20091109100936 ACCESSION NUMBER: 0001379995-09-000017 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090830 FILED AS OF DATE: 20091109 DATE AS OF CHANGE: 20091109 EFFECTIVENESS DATE: 20091109 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HBK Sorce Advisory LLC CENTRAL INDEX KEY: 0001379995 IRS NUMBER: 341925728 STATE OF INCORPORATION: OH FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12153 FILM NUMBER: 091166835 BUSINESS ADDRESS: STREET 1: 5121 ZUCK ROAD CITY: ERIE STATE: PA ZIP: 16506 BUSINESS PHONE: 8148365776 MAIL ADDRESS: STREET 1: 5121 ZUCK ROAD CITY: ERIE STATE: PA ZIP: 16506 13F-HR 1 edgar12.txt 13F HOLDINGS LIST 13F-HR 11/06/09 CIK 0001379995 CCC ajfdx*e6 SUBMISSION-CONTACT NAME Lynda Lytle PHONE 814-836-5776 Attached Documents Page (2) FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: Septemeber 30, 2009 Check here if Amendment [ ]; Amendment Number: This Amendment (check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: HBK Sorce Advisory LLC Address: 5121 Zuck Road Erie, PA 16506 13F File Number: 028-12153 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Scott Cross Title: Chief Compliance Officer Phone: 814-836-5776 Signature, Place, and Date of Signing Scott Cross Erie, PA November 6, 2009 Report Type (Check only one.): [ X ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 139 Form 13F Information Table Value Total: $145,718,288.27 List of Other Included Managers: No. 13F File Number Name FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE Abbott Labs com 002824100 1105 22343 sh sole 0 0 22343 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 278 7454 sh sole 0 0 7454 Aflac Inc com 001055102 287 6707 sh sole 0 0 6707 AKAMAI TECHNOLOGIES INC com 00971t101 531 26962 sh sole 0 0 26962 Altria Group Inc com 02209S103 966 54253 sh sole 0 0 54253 AMERICAN TOWER CORP CL A 029912201 398 10928 sh sole 0 0 10928 Amerigas Partners L P UNIT L P INT 030975106 271 7514 sh sole 0 0 7514 AMETEK INC NEW com 031100100 378 6273 sh sole 0 0 6273 ANSYS INC COM 03662Q105 387 10345 sh sole 0 0 10345 Apple Inc com 037833100 763 4115 sh sole 0 0 4115 AT&T Inc com 00206R102 921 34094 sh sole 0 0 34094 ATWOOD OCEANICS INC com 050095108 518 14688 sh sole 0 0 14688 BANCO SANTANDER SA ADR 05964H105 216 13379 sh sole 0 0 13379 Bank New York Mellon Corp com 064058100 835 28803 sh sole 0 0 28803 Bank of America Corporation com 060505104 463 27340 sh sole 0 0 27340 Barclays BK PLC DJAIG CMDTY 36 06738C778 710 18424 sh sole 0 0 18424 Barrick Gold Corp com 067901108 366 9660 sh sole 0 0 9660 Becton Dickinson & Co com 075887109 331 4747 sh sole 0 0 4747 Berkshire Hathaway Inc Del CL B 084670207 1007 303 sh sole 0 0 303 BP PLC Sponsored ADR 055622104 1320 24795 sh sole 0 0 24795 Bristol Myers Squibb Co com 110122108 358 15916 sh sole 0 0 15916 Buckeye Partners L P UNIT LTD PARTN 118230101 272 5620 sh sole 0 0 5620 BURLINGTON NORTHN SANTA FE C com 12189t104 261 3274 sh sole 0 0 3274 Chevron Corp New com 166764100 678 9624 sh sole 0 0 9624 Cisco Sys Inc com 17275R102 1249 53069 sh sole 0 0 53069 Coca Cola Co com 191216100 2108 39250 sh sole 0 0 39250 Colgate Palmolive Co com 194162103 348 4560 sh sole 0 0 4560 ConocoPhillips com 20825C104 295 6543 sh sole 0 0 6543 Consolidated Edison Inc com 209115104 205 4997 sh sole 0 0 4997 Corning Inc com 219350105 289 18859 sh sole 0 0 18859 Costco Whsl Corp New com 22160K105 232 4117 sh sole 0 0 4117 CVS Caremark Corporation com 126650100 572 15992 sh sole 0 0 15992 Disney Walt Co com Disney 254687106 400 14578 sh sole 0 0 14578 DPL INC com 233293109 245 9398 sh sole 0 0 9398 Duke Energy Corp NEW com 26441C105 388 24621 sh sole 0 0 24621 EcoLab Inc com 278865100 791 17120 sh sole 0 0 17120 EL PASO PIPELINE PARTNERS L COM UNIT LPI 283702108 219 10580 sh sole 0 0 10580 EMC Corp Mass com 268648102 330 19367 sh sole 0 0 19367 Energy Transfer Prtnrs L P UNIT LTD PARTN 29273R109 552 12980 sh sole 0 0 12980 ENTERPRISE GP HLDGS L P UNIT LP INT 293716106 202 6820 sh sole 0 0 6820 Enterprise Prods Partners L P com 293792107 292 10313 sh sole 0 0 10313 ENTERTAINMENT PPTYS TR PFD SER B 29380T303 1807 93100 sh sole 0 0 93100 Erie Indty Co CL A 29530P102 1509 40296 sh sole 0 0 40296 Exelon Corp com 30161N101 218 4394 sh sole 0 0 4394 Exxon Mobil Corp com 30231G102 4486 65381 sh sole 0 0 65381 FAMILY DLR STORES INC com 307000109 251 9493 sh sole 0 0 9493 FIRSTENERGY CORP com 337932107 290 6344 sh sole 0 0 6344 FNB Corp PA com 302520101 351 49361 sh sole 0 0 49361 FPB BANCORP INC com 30254M101 292 104131 sh sole 0 0 104131 FPL Group Inc com 302571104 715 12948 sh sole 0 0 12948 General Elec Co com 369604103 3502 213263 sh sole 0 0 213263 Genuine Parts Co com 372460105 413 10862 sh sole 0 0 10862 GENZYME CORP com 372917104 603 10621 sh sole 0 0 10621 Goldman Sachs Group com 38141G104 246 1333 sh sole 0 0 1333 HARRIS CORP COM 413875105 527 14015 sh sole 0 0 14015 Health Care Reit Inc com 42217K106 497 11931 sh sole 0 0 11931 Hewlett Packard Co com 428236103 1087 23025 sh sole 0 0 23025 Home Depot Inc com 437076102 290 10887 sh sole 0 0 10887 HUDSON CITY BANCORP com 443683107 712 54107 sh sole 0 0 54107 INGERSOLL-RAND PLC SHS G47791101 242 7905 sh sole 0 0 7905 Intel Corp com 458140100 754 38547 sh sole 0 0 38547 International Business Machs com 459200101 1995 16676 sh sole 0 0 16676 ISHARES SILVER TRUST ISHARES 46428Q109 472 28793 sh sole 0 0 28793 Ishares TR MSCI EAFE IDX 464287465 12531 229164 sh sole 0 0 229164 Ishares TR RUSSELL MIDCAP 464287499 10203 130419 sh sole 0 0 130419 ISHARES TR RUSSELL 1000 464287622 8963 154264 sh sole 0 0 154264 Ishares TR RSSL MCRCP IND 464288869 5121 129744 sh sole 0 0 129744 ISHARES TR BARCLYS MBS BD 464288588 4404 41238 sh sole 0 0 41238 Ishares TR RUSSELL1000GRW 464287614 1068 23059 sh sole 0 0 23059 ISHARES TR BARCLYS TIPS BD 464287176 849 8248 sh sole 0 0 8248 Ishares TR IBOXX INV CPBD 464287242 740 6936 sh sole 0 0 6936 Ishares TR MSCI EMERG MKT 464287234 610 15689 sh sole 0 0 15689 Ishares TR KLD 400 IDX FD 464288570 584 14606 sh sole 0 0 14606 ISHARES TR HIGH YLD CORP 464288513 482 5581 sh sole 0 0 5581 ISHARES TR DJ US ENERGY 464287796 475 14913 sh sole 0 0 14913 ISHARES TR BARCLYS US AGG B 464287226 467 4450 sh sole 0 0 4450 Ishares TR RUSSELL1000VAL 464287598 423 7615 sh sole 0 0 7615 Ishares TR S&P 500 INDEX 464287200 415 3916 sh sole 0 0 3916 Ishares TR S&P SMLCAP 600 464287804 336 6424 sh sole 0 0 6424 ISHARES TR DJ SEL DIV INX 464287168 313 7585 sh sole 0 0 7585 Ishares TR RUSSELL 2000 464287655 292 4842 sh sole 0 0 4842 Ishares TR S&P500 GRW 464287309 226 4195 sh sole 0 0 4195 ISHARES TR S&P GLB MTRLS 464288695 216 3875 sh sole 0 0 3875 ISHARES TR INDEX FTSE XNHUA IDX 464287184 209 5101 sh sole 0 0 5101 ITT EDUCATIONAL SERVICES INC com 45068B109 285 2577 sh sole 0 0 2577 JACOBS ENGR GROUP INC DEL com 469814107 640 13924 sh sole 0 0 13924 Johnson & Johnson com 478160104 1909 31357 sh sole 0 0 31357 JP Morgan Chase & Co com 46625H100 1167 26635 sh sole 0 0 26635 JPMORGAN CHASE & CO Alerian ML ETN 46625H365 16607 663475 sh sole 0 0 663475 KELLOGG CO com 487836108 309 6275 sh sole 0 0 6275 Kimberly Clark Corp com 494368103 247 4184 sh sole 0 0 4184 Kinder Morgan Energy Partner Ut Ltd Partner 494550106 734 13585 sh sole 0 0 13585 Kraft Foods Inc CL A 50075N104 1105 42073 sh sole 0 0 42073 MCCORMICK & CO INC COM NON VTG 579780206 350 10315 sh sole 0 0 10315 McDonalds Corp com 580135101 875 15330 sh sole 0 0 15330 Microsoft Corp com 594918104 1874 72863 sh sole 0 0 72863 Midcap SPDR TR UNIT SER 1 595635103 350 2797 sh sole 0 0 2797 MONSANTO CO NEW com 61166w101 241 3113 sh sole 0 0 3113 National Fuel Gas Co NJ com 636180101 232 5074 sh sole 0 0 5074 NII Holdings Inc CL B 62913F201 744 24746 sh sole 0 0 24746 Northwest Bancorp Inc PA com 667328108 245 10706 sh sole 0 0 10706 NSTAR com 67019E107 225 7082 sh sole 0 0 7082 NTELOS HLDGS CORP COM 67020q107 227 12840 sh sole 0 0 12840 NUCOR CORP com 670346105 305 6487 sh sole 0 0 6487 Nuveen Invt Quality Mun Fd com 67062E103 215 15500 sh sole 0 0 15500 NUVEEN PERFORMANCE PLUS MUN com 67062P108 256 18135 sh sole 0 0 18135 Oneok Partners LP UNIT LTD PARTN 68268N103 289 5463 sh sole 0 0 5463 Oracle Corp com 68389X105 327 15701 sh sole 0 0 15701 Pepsico Inc com 713448108 1801 30706 sh sole 0 0 30706 Pfizer Inc com 717081103 320 19349 sh sole 0 0 19349 PHILIP MORRIS INTL INC COM COM 718172109 2513 51560 sh sole 0 0 51560 Plains All Amern Pipeline L UNIT LTD PARTN 726503105 295 6380 sh sole 0 0 6380 PNC Finl Svcs Group Inc com 693475105 1054 21690 sh sole 0 0 21690 Powershares DB Cmdty Idx TRA UNIT BEN INT 73935S105 221 10006 sh sole 0 0 10006 Powershares QQQ Trust UNIT SER 1 73935A104 311 7370 sh sole 0 0 7370 PRECISION CASTPARTS CORP com 740189105 388 3811 sh sole 0 0 3811 Procter & Gamble Co com 742718109 1920 33152 sh sole 0 0 33152 Progress Energy Inc com 743263105 811 20762 sh sole 0 0 20762 PROSHARES TR PSHS ULTSH 20YRS 74347R297 528 11996 sh sole 0 0 11996 PROSHARES TR PSHS SHRT S&P500 74347R503 249 4419 sh sole 0 0 4419 Qualcomm Inc com 747525103 1477 32835 sh sole 0 0 32835 RESMED INC com 761152107 433 9583 sh sole 0 0 9583 Rockwell Collins Inc com 774341101 253 4974 sh sole 0 0 4974 SANOFI AVENTIS SPONSORED ADR 80105N105 1263 34184 sh sole 0 0 34184 Schlumberger LTD com 806857108 299 5016 sh sole 0 0 5016 SHAW COMMUNICATIONS INC CL B CONV 82028k200 449 24933 sh sole 0 0 24933 Southern Co com 842587107 541 17094 sh sole 0 0 17094 SPDR TR UNIT SER 1 78462F103 1684 15951 sh sole 0 0 15951 Suburban Propane Partners L P UNIT LTD PARTN 864482104 317 7570 sh sole 0 0 7570 Sun Life Finl Inc com 866796105 567 18161 sh sole 0 0 18161 SUNCOR ENERGY INC NEW com 867224107 379 10959 sh sole 0 0 10959 TELEFONICA S A SPONSORED ADR 879382208 463 5580 sh sole 0 0 5580 TRANSOCEAN LTD REG SHS H8817H100 387 4523 sh sole 0 0 4523 UNITED TECHNOLOGIES CORP com 913017109 401 6585 sh sole 0 0 6585 Verizon Communications com 92343V104 2280 75331 sh sole 0 0 75331 Wal Mart Stores Inc com 931142103 265 5397 sh sole 0 0 5397 WESTAR ENERGY INC com 95709T100 209 10700 sh sole 0 0 10700 Xcel Energy Inc com 98389B100 375 19486 sh sole 0 0 19486 Yamana Gold INC com 98462Y100 987 92175 sh sole 0 0 92175
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