0001379995-11-000012.txt : 20111025 0001379995-11-000012.hdr.sgml : 20111025 20111025162052 ACCESSION NUMBER: 0001379995-11-000012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111025 DATE AS OF CHANGE: 20111025 EFFECTIVENESS DATE: 20111025 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: 111156946 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 edgar20110930.txt 13F SECURITIES 13F-HR 09/30/2011 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: September 30, 2011 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: Michael Wassmann Title: Chief Compliance Officer Phone: 814-836-5776 Signature, Place, and Date of Signing Michael Wassmann Erie, PA March 31, 2011 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: 129 Form 13F Information Table Value Total: $160,173.000 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 668 13054 sh sole 0 0 13054 Accenture Plc Ireland SHS CLASS A G1151C101 252 4791 sh sole 0 0 4791 Altria Group Inc COM 02209S103 1389 51795 sh sole 0 0 51795 America Movil Sab De Cv SPON ADR L SHS 02364W105 332 15034 sh sole 0 0 15034 American Elec Pwr Inc COM 025537101 530 13949 sh sole 0 0 13949 Amgen Inc COM 031162100 233 4233 sh sole 0 0 4233 Apple Inc COM 037833100 1669 4376 sh sole 0 0 4376 Applied Matls Inc COM 038222105 204 3394 sh sole 0 0 3394 At&T Inc COM 00206R102 808 28344 sh sole 0 0 28344 Atwood Oceanics Inc COM 050095108 414 12047 sh sole 0 0 12047 Barclays Bk Plc DJUBS CMDT ETN36 06738C778 727 17425 sh sole 0 0 17425 Bard C R Inc COM 067383109 333 3799 sh sole 0 0 3799 Barrick Gold Corp COM 067901108 465 9971 sh sole 0 0 9971 Berkshire Hathaway Inc Del CL B NEW 084670702 916 12889 sh sole 0 0 12889 Blackrock Credit All Inc Tr COM 09255H105 258 27600 sh sole 0 0 27600 Blackrock Inc COM 09247X101 371 2505 sh sole 0 0 2505 Bp Plc SPONSORED ADR 055622104 322 8917 sh sole 0 0 8917 Cabelas Inc COM 126804301 273 13336 sh sole 0 0 13336 Cel-Sci Corp COM NEW 150837409 6 16160 sh sole 0 0 16160 Chevron Corp New COM 166764100 419 4524 sh sole 0 0 4524 Chubb Corp COM 171232101 220 3670 sh sole 0 0 3670 Cisco Sys Inc COM 17275R102 363 23417 sh sole 0 0 23417 Coca Cola Co COM 191216100 2538 37562 sh sole 0 0 37562 Conocophillips COM 20825C104 329 5202 sh sole 0 0 5202 Cummins Inc COM 231021106 452 5537 sh sole 0 0 5537 Cytrx Corp COM NEW 232828301 10 30000 sh sole 0 0 30000 E M C Corp Mass COM 268648102 302 14409 sh sole 0 0 14409 Ecolab Inc COM 278865100 370 7563 sh sole 0 0 7563 Erie Indty Co CL A 29530P102 2272 31921 sh sole 0 0 31921 Excel Maritime Carriers Ltd COM V3267N107 25 12050 sh sole 0 0 12050 Expedia Inc Del COM 30212P105 285 11064 sh sole 0 0 11064 Express Scripts Inc COM 302182100 395 10643 sh sole 0 0 10643 Exxon Mobil Corp COM 30231G102 4801 66097 sh sole 0 0 66097 Family Dlr Stores Inc COM 307000109 362 7111 sh sole 0 0 7111 Farmers Natl Banc Corp COM 309627107 118 26252 sh sole 0 0 26252 Firstenergy Corp COM 337932107 222 4933 sh sole 0 0 4933 Fnb Corp Pa COM 302520101 170 19843 sh sole 0 0 19843 Ford Mtr Co Del COM PAR $0.01 345370860 109 11266 sh sole 0 0 11266 General Electric Co COM 369604103 1981 130156 sh sole 0 0 130156 Google Inc CL A 38259P508 560 1088 sh sole 0 0 1088 Hewlett Packard Co COM 428236103 237 10578 sh sole 0 0 10578 Huntington Bancshares Inc COM 446150104 172 35786 sh sole 0 0 35786 Intel Corp COM 458140100 724 33932 sh sole 0 0 33932 Intercontinentalexchange Inc COM 45865V100 300 2534 sh sole 0 0 2534 International Business Machs COM 459200101 1199 6856 sh sole 0 0 6856 Ishares Gold Trust ISHARES 464285105 225 14198 sh sole 0 0 14198 Ishares Silver Trust ISHARES 46428Q109 387 13381 sh sole 0 0 13381 Ishares Tr BARCLY USAGG B 464287226 482 4373 sh sole 0 0 4373 Ishares Tr BARCLYS MBS BD 464288588 278 2568 sh sole 0 0 2568 Ishares Tr DJ SEL DIV INX 464287168 898 18612 sh sole 0 0 18612 Ishares Tr HIGH YLD CORP 464288513 595 7184 sh sole 0 0 7184 Ishares Tr IBOXX INV CPBD 464287242 429 3823 sh sole 0 0 3823 Ishares Tr JPMORGAN USD 464288281 450 4270 sh sole 0 0 4270 Ishares Tr MSCI EAFE INDEX 464287465 3951 82695 sh sole 0 0 82695 Ishares Tr MSCI EMERG MKT 464287234 674 19205 sh sole 0 0 19205 Ishares Tr RSSL MCRCP IDX 464288869 6862 174395 sh sole 0 0 174395 Ishares Tr RUSSELL 1000 464287622 9637 154089 sh sole 0 0 154089 Ishares Tr RUSSELL 2000 464287655 237 3684 sh sole 0 0 3684 Ishares Tr RUSSELL MIDCAP 464287499 1532 17360 sh sole 0 0 17360 Ishares Tr RUSSELL1000GRW 464287614 871 16560 sh sole 0 0 16560 Ishares Tr S&P SMLCAP 600 464287804 284 4845 sh sole 0 0 4845 Ishares Tr US PFD STK IDX 464288687 958 26899 sh sole 0 0 26899 Johnson & Johnson COM 478160104 1202 18874 sh sole 0 0 18874 Johnson Ctls Inc COM 478366107 738 27978 sh sole 0 0 27978 Jpmorgan Chase & Co ALERIAN ML ETN 46625H365 38107 1119139 sh sole 0 01119139 Jpmorgan Chase & Co COM 46625H100 306 10166 sh sole 0 0 10166 Kraft Foods Inc CL A 50075N104 1430 42574 sh sole 0 0 42574 Market Vectors Etf Tr AGRIBUS ETF 57060U605 336 6663 sh sole 0 0 6663 Mastercard Inc CL A 57636Q104 452 1425 sh sole 0 0 1425 Mcdonalds Corp COM 580135101 565 6438 sh sole 0 0 6438 Microsoft Corp COM 594918104 1071 43024 sh sole 0 0 43024 Middleburg Financial Corp COM 596094102 192 12800 sh sole 0 0 12800 National Fuel Gas Co N J COM 636180101 260 5349 sh sole 0 0 5349 Nextera Energy Inc COM 65339F101 516 9557 sh sole 0 0 9557 Northwest Bancshares Inc Md COM 667340103 217 18192 sh sole 0 0 18192 Novartis A G SPONSORED ADR 66987V109 381 6828 sh sole 0 0 6828 Oracle Corp COM 68389X105 287 10001 sh sole 0 0 10001 Peabody Energy Corp COM 704549104 228 6742 sh sole 0 0 6742 Pepsico Inc COM 713448108 1111 17956 sh sole 0 0 17956 Pfizer Inc COM 717081103 341 19304 sh sole 0 0 19304 Philip Morris Intl Inc COM 718172109 3214 51529 sh sole 0 0 51529 Pnc Finl Svcs Group Inc COM 693475105 831 17247 sh sole 0 0 17247 Powershares Etf Trust WNDRHLL CLN EN 73935X500 77 14072 sh sole 0 0 14072 Powershares Global Etf Trust AGG PFD PORT 73936T565 1064 78320 sh sole 0 0 78320 Ppg Inds Inc COM 693506107 228 3230 sh sole 0 0 3230 Procter & Gamble Co COM 742718109 1275 20183 sh sole 0 0 20183 Progress Energy Inc COM 743263105 265 5118 sh sole 0 0 5118 Proshares Tr SHRT 20+YR TRE 74347X849 397 12336 sh sole 0 0 12336 Qualcomm Inc COM 747525103 1313 27005 sh sole 0 0 27005 Republic Svcs Inc COM 760759100 347 12364 sh sole 0 0 12364 Resmed Inc COM 761152107 332 11544 sh sole 0 0 11544 Rio Tinto Plc SPONSORED ADR 767204100 355 8051 sh sole 0 0 8051 Rockwell Collins Inc COM 774341101 238 4517 sh sole 0 0 4517 Rydex Etf Trust S&P 500 EQ TRD 78355W106 305 7356 sh sole 0 0 7356 Schlumberger Ltd COM 806857108 261 4363 sh sole 0 0 4363 Schwab Strategic Tr INTL EQTY ETF 808524805 9608 416838 sh sole 0 0 416838 Schwab Strategic Tr INTL SCEQT ETF 808524888 664 28148 sh sole 0 0 28148 Schwab Strategic Tr US AGGREGATE B 808524839 240 4671 sh sole 0 0 4671 Schwab Strategic Tr US LRG CAP ETF 808524201 7333 273114 sh sole 0 0 273114 Schwab Strategic Tr US SML CAP ETF 808524607 13175 459225 sh sole 0 0 459225 Seacoast Bkg Corp Fla COM 811707306 70 47575 sh sole 0 0 47575 Sirius Xm Radio Inc COM 82967N108 20 12914 sh sole 0 0 12914 Southern Co COM 842587107 330 7793 sh sole 0 0 7793 Spdr Gold Trust GOLD SHS 78463V107 800 5063 sh sole 0 0 5063 Spdr S&P 500 Etf Tr TR UNIT 78462F103 421 3720 sh sole 0 0 3720 Spdr S&P Midcap 400 Etf Tr UTSER1 S&PDCRP 78467Y107 396 2783 sh sole 0 0 2783 Spdr Series Trust WELLS FG PFD ETF 78464A292 636 15000 sh sole 0 0 15000 Spectra Energy Corp COM 847560109 352 14350 sh sole 0 0 14350 Steel Dynamics Inc COM 858119100 180 18125 sh sole 0 0 18125 Stryker Corp COM 863667101 232 4925 sh sole 0 0 4925 Sun Life Finl Inc COM 866796105 436 18323 sh sole 0 0 18323 Suncor Energy Inc New COM 867224107 825 32433 sh sole 0 0 32433 Teradata Corp Del COM 88076W103 277 5180 sh sole 0 0 5180 Time Warner Cable Inc COM 88732J207 259 4134 sh sole 0 0 4134 Transocean Ltd REG SHS H8817H100 241 5039 sh sole 0 0 5039 United Cmnty Finl Corp Ohio COM 909839102 21 15710 sh sole 0 0 15710 United Sts Commodity Index F COMM IDX FND 911717106 2008 34531 sh sole 0 0 34531 United Technologies Corp COM 913017109 424 6030 sh sole 0 0 6030 Valero Energy Corp New COM 91913Y100 308 17319 sh sole 0 0 17319 Vanguard Index Fds TOTAL STK MKT 922908769 259 4490 sh sole 0 0 4490 Vanguard Intl Equity Index F MSCI EMR MKT ETF 922042858 1866 52088 sh sole 0 0 52088 Vectren Corp COM 92240G101 211 7790 sh sole 0 0 7790 Verizon Communications Inc COM 92343V104 841 22861 sh sole 0 0 22861 Wal Mart Stores Inc COM 931142103 441 8502 sh sole 0 0 8502 Waste Mgmt Inc Del COM 94106L109 553 16990 sh sole 0 0 16990 Weatherford International Lt REG SHS H27013103 133 10929 sh sole 0 0 10929 Wells Fargo & Co New COM 949746101 236 9800 sh sole 0 0 9800 Wizzard Software Corp New COM 97750V109 2 14100 sh sole 0 0 14100 Yamana Gold Inc COM 98462Y100 278 20385 sh sole 0 0 20385
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