Chief Compliance Officer

0001085146-17-001908.txt : 20170814 0001085146-17-001908.hdr.sgml : 20170814 20170814163044 ACCESSION NUMBER: 0001085146-17-001908 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170814 DATE AS OF CHANGE: 20170814 EFFECTIVENESS DATE: 20170814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Brown Advisory Securities, LLC CENTRAL INDEX KEY: 0001389479 IRS NUMBER: 753014089 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12353 FILM NUMBER: 171030691 BUSINESS ADDRESS: STREET 1: 901 SOUTH BOND STREET, SUITE 400 CITY: BALTIMORE STATE: MD ZIP: 21231-3340 BUSINESS PHONE: (410) 537-5502 MAIL ADDRESS: STREET 1: 901 SOUTH BOND STREET, SUITE 400 CITY: BALTIMORE STATE: MD ZIP: 21231-3340 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001389479 XXXXXXXX 06-30-2017 06-30-2017 false Brown Advisory Securities, LLC

901 SOUTH BOND STREET, SUITE 400 BALTIMORE MD 21231-3340

13F HOLDINGS REPORT 028-12353 N Brett D. Rogers Chief Compliance Officer 410-537-5486 /s/ Brett D. Rogers Baltimore MD 08-10-2017 0 369 435479 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 2454 11782 SH DFND 0 0 11782 ABBOTT LABS COM 002824100 2159 44349 SH DFND 0 0 44349 ABBVIE INC COM 00287Y109 3415 46986 SH DFND 0 0 46986 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 4014 32473 SH DFND 0 0 32473 ACNB CORP COM 000868109 511 16746 SH DFND 0 0 16746 ACUITY BRANDS INC COM 00508Y102 306 1505 SH DFND 0 0 1505 ADOBE SYS INC COM 00724F101 623 4417 SH DFND 0 0 4417 ADVANCED MICRO DEVICES INC NOTE 2.125% 9/0 007903BD8 20 10000 PRN DFND 0 0 10000 ADVANSIX INC COM 00773T101 328 10570 SH DFND 0 0 10570 AETNA INC NEW COM 00817Y108 662 4362 SH DFND 0 0 4362 AFLAC INC COM 001055102 303 3925 SH DFND 0 0 3925 AIR LEASE CORP NOTE 3.875%12/0 00912XAK0 52 38000 PRN DFND 0 0 38000 AIR PRODS & CHEMS INC COM 009158106 386 2698 SH DFND 0 0 2698 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1859 13213 SH DFND 0 0 13213 ALLERGAN PLC SHS G0177J108 442 1818 SH DFND 0 0 1818 ALLSTATE CORP COM 020002101 208 2350 SH DFND 0 0 2350 ALPHABET INC CAP STK CL A 02079K305 8951 9627 SH DFND 0 0 9627 ALPHABET INC CAP STK CL C 02079K107 5923 6516 SH DFND 0 0 6516 ALTRIA GROUP INC COM 02209S103 1983 26648 SH DFND 0 0 26648 AMAZON COM INC COM 023135106 12475 12888 SH DFND 0 0 12888 AMERICAN ELEC PWR INC COM 025537101 233 3323 SH DFND 0 0 3323 AMERICAN EXPRESS CO COM 025816109 884 10483 SH DFND 0 0 10483 AMERICAN TOWER CORP NEW COM 03027X100 3855 29199 SH DFND 0 0 29199 AMGEN INC COM 031162100 2257 13106 SH DFND 0 0 13106 AMPHENOL CORP NEW CL A 032095101 459 6193 SH DFND 0 0 6193 ANADARKO PETE CORP COM 032511107 371 8156 SH DFND 0 0 8156 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 251 2284 SH DFND 0 0 2284 ANNALY CAP MGMT INC COM 035710409 136 11299 SH DFND 0 0 11299 ANTARES PHARMA INC COM 036642106 886 275000 SH DFND 0 0 275000 ANTHEM INC COM 036752103 471 2506 SH DFND 0 0 2506 APACHE CORP COM 037411105 466 9733 SH DFND 0 0 9733 APPLE INC COM 037833100 20000 138996 SH DFND 0 0 138996 ARGAN INC COM 04010E109 210 3500 SH DFND 0 0 3500 ASTRONICS CORP COM 046433108 556 18246 SH DFND 0 0 18246 AT&T INC COM 00206R102 2827 75002 SH DFND 0 0 75002 ATHERSYS INC COM 04744L106 20 13630 SH DFND 0 0 13630 ATLAS AIR WORLDWIDE HLDGS IN NOTE 2.250% 6/0 049164BH8 35 35000 PRN DFND 0 0 35000 AUTOMATIC DATA PROCESSING IN COM 053015103 675 6575 SH DFND 0 0 6575 AVALONBAY CMNTYS INC COM 053484101 639 3317 SH DFND 0 0 3317 AVERY DENNISON CORP COM 053611109 515 5802 SH DFND 0 0 5802 BAIDU INC SPON ADR REP A 056752108 1908 10668 SH DFND 0 0 10668 BALL CORP COM 058498106 215 5080 SH DFND 0 0 5080 BANK AMER CORP COM 060505104 862 35635 SH DFND 0 0 35635 BB&T CORP COM 054937107 546 12039 SH DFND 0 0 12039 BECTON DICKINSON & CO COM 075887109 275 1413 SH DFND 0 0 1413 BERKSHIRE HATHAWAY INC DEL CL A 084670108 255 1 SH DFND 0 0 1 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 5704 33692 SH DFND 0 0 33692 BEST BUY INC COM 086516101 413 7193 SH DFND 0 0 7193 BIOMARIN PHARMACEUTICAL INC NOTE 0.750%10/1 09061GAE1 28 27000 PRN DFND 0 0 27000 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 325 9736 SH DFND 0 0 9736 BOEING CO COM 097023105 848 4276 SH DFND 0 0 4276 BP PLC SPONSORED ADR 055622104 567 16326 SH DFND 0 0 16326 BRIGHT HORIZONS FAM SOL IN D COM 109194100 696 8997 SH DFND 0 0 8997 BRISTOL MYERS SQUIBB CO COM 110122108 1110 20000 SH DFND 0 0 20000 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 908 23194 SH DFND 0 0 23194 BROOKFIELD INFRAST PARTNERS LP INT UNIT G16252101 1145 27988 SH DFND 0 0 27988 CANADIAN NATL RY CO COM 136375102 667 8237 SH DFND 0 0 8237 CAPITAL BK FINL CORP CL A COM 139794101 229 6000 SH DFND 0 0 6000 CARMAX INC COM 143130102 411 6481 SH DFND 0 0 6481 CATERPILLAR INC DEL COM 149123101 1014 9482 SH DFND 0 0 9482 CDW CORP COM 12514G108 224 3571 SH DFND 0 0 3571 CEDAR FAIR L P DEPOSITRY UNIT 150185106 243 3372 SH DFND 0 0 3372 CELGENE CORP COM 151020104 247 1904 SH DFND 0 0 1904 CHART INDS INC NOTE 2.000% 8/0 16115QAC4 22 22000 PRN DFND 0 0 22000 CHEVRON CORP NEW COM 166764100 2376 22806 SH DFND 0 0 22806 CHUBB LIMITED COM H1467J104 488 3355 SH DFND 0 0 3355 CIGNA CORPORATION COM 125509109 766 4581 SH DFND 0 0 4581 CINCINNATI BELL INC NEW PFD CV DEP1/20 171871403 1074 21451 SH DFND 0 0 21451 CISCO SYS INC COM 17275R102 2684 85656 SH DFND 0 0 85656 CITRIX SYS INC NOTE 0.500% 4/1 177376AD2 32 28000 PRN DFND 0 0 28000 CLOROX CO DEL COM 189054109 651 4874 SH DFND 0 0 4874 COCA COLA CO COM 191216100 1974 44000 SH DFND 0 0 44000 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 916 13797 SH DFND 0 0 13797 COLGATE PALMOLIVE CO COM 194162103 1073 14499 SH DFND 0 0 14499 COMCAST CORP NEW CL A 20030N101 792 20318 SH DFND 0 0 20318 CONOCOPHILLIPS COM 20825C104 253 5716 SH DFND 0 0 5716 CORNING INC COM 219350105 238 7854 SH DFND 0 0 7854 COSTCO WHSL CORP NEW COM 22160K105 1829 11438 SH DFND 0 0 11438 CROWN CASTLE INTL CORP NEW COM 22822V101 753 7526 SH DFND 0 0 7526 CSX CORP COM 126408103 234 4285 SH DFND 0 0 4285 CVS HEALTH CORP COM 126650100 1689 21086 SH DFND 0 0 21086 DANAHER CORP DEL COM 235851102 2797 33150 SH DFND 0 0 33150 DANAHER CORP DEL NOTE 1/2 235851AF9 65 21000 PRN DFND 0 0 21000 DAVITA INC COM 23918K108 1637 25334 SH DFND 0 0 25334 DEERE & CO COM 244199105 944 7635 SH DFND 0 0 7635 DELTA AIR LINES INC DEL COM NEW 247361702 258 4885 SH DFND 0 0 4885 DEPOMED INC NOTE 2.500% 9/0 249908AA2 12 12000 PRN DFND 0 0 12000 DIAGEO P L C SPON ADR NEW 25243Q205 496 4122 SH DFND 0 0 4122 DISNEY WALT CO COM DISNEY 254687106 3233 30373 SH DFND 0 0 30373 DOLLAR GEN CORP NEW COM 256677105 206 2884 SH DFND 0 0 2884 DOMINION ENERGY INC COM 25746U109 1253 16368 SH DFND 0 0 16368 DOUBLELINE OPPORTUNISTIC CR COM 258623107 265 10500 SH DFND 0 0 10500 DOW CHEM CO COM 260543103 740 11732 SH DFND 0 0 11732 DU PONT E I DE NEMOURS & CO COM 263534109 1348 16743 SH DFND 0 0 16743 DUKE ENERGY CORP NEW COM NEW 26441C204 1860 22236 SH DFND 0 0 22236 EASTERLY GOVT PPTYS INC COM 27616P103 757 36098 SH DFND 0 0 36098 EATON CORP PLC SHS G29183103 470 6045 SH DFND 0 0 6045 EATON VANCE TAX MNGD GBL DV COM 27829F108 113 12340 SH DFND 0 0 12340 EATON VANCE TX MGD DIV EQ IN COM 27828N102 115 10245 SH DFND 0 0 10245 ECLIPSE RES CORP COM 27890G100 57 20000 SH DFND 0 0 20000 ECOLAB INC COM 278865100 734 5518 SH DFND 0 0 5518 EDWARDS LIFESCIENCES CORP COM 28176E108 532 4503 SH DFND 0 0 4503 ELECTRONIC ARTS INC COM 285512109 855 8077 SH DFND 0 0 8077 EMERSON ELEC CO COM 291011104 791 13261 SH DFND 0 0 13261 ENBRIDGE INC COM 29250N105 1448 36277 SH DFND 0 0 36277 ENTERPRISE PRODS PARTNERS L COM 293792107 1779 65797 SH DFND 0 0 65797 EQUIFAX INC COM 294429105 4097 29826 SH DFND 0 0 29826 EVERSOURCE ENERGY COM 30040W108 436 7195 SH DFND 0 0 7195 EXELIXIS INC COM 30161Q104 493 20000 SH DFND 0 0 20000 EXELON CORP COM 30161N101 336 9345 SH DFND 0 0 9345 EXPRESS SCRIPTS HLDG CO COM 30219G108 846 13228 SH DFND 0 0 13228 EXXON MOBIL CORP COM 30231G102 7331 90890 SH DFND 0 0 90890 FACEBOOK INC CL A 30303M102 4832 32007 SH DFND 0 0 32007 FAIR ISAAC CORP COM 303250104 278 2000 SH DFND 0 0 2000 FEDEX CORP COM 31428X106 318 1466 SH DFND 0 0 1466 FIAT CHRYSLER AUTOMOBILES N SHS N31738102 133 12500 SH DFND 0 0 12500 FIDELITY NATL INFORMATION SV COM 31620M106 1503 17601 SH DFND 0 0 17601 FIFTH STREET FINANCE CORP COM 31678A103 119 24700 SH DFND 0 0 24700 FIRST TR EXCHANGE TRADED FD FIRST TR ENH NEW 33739Q408 372 6200 SH DFND 0 0 6200 FIRST TR EXCHANGE TRADED FD NY ARCA BIOTECH 33733E203 1981 17375 SH DFND 0 0 17375 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 357 7424 SH DFND 0 0 7424 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 520 26000 SH DFND 0 0 26000 FORD MTR CO DEL COM PAR $0.01 345370860 572 51297 SH DFND 0 0 51297 FORTIVE CORP COM 34959J108 1224 19267 SH DFND 0 0 19267 GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 79 14150 SH DFND 0 0 14150 GAMESTOP CORP NEW CL A 36467W109 737 34027 SH DFND 0 0 34027 GENERAL DYNAMICS CORP COM 369550108 3052 15400 SH DFND 0 0 15400 GENERAL ELECTRIC CO COM 369604103 6332 234197 SH DFND 0 0 234197 GENERAL MLS INC COM 370334104 561 10103 SH DFND 0 0 10103 GILEAD SCIENCES INC COM 375558103 628 8864 SH DFND 0 0 8864 GOLDMAN SACHS GROUP INC COM 38141G104 203 919 SH DFND 0 0 919 GOLUB CAP BDC INC COM 38173M102 875 45820 SH DFND 0 0 45820 GRAINGER W W INC COM 384802104 211 1165 SH DFND 0 0 1165 GRAMERCY PPTY TR COM NEW 385002308 721 24273 SH DFND 0 0 24273 HAMILTON BANCORP INC MD COM 407015106 150 10000 SH DFND 0 0 10000 HANCOCK JOHN PFD INCOME FD I COM 41021P103 246 12950 SH DFND 0 0 12950 HCP INC COM 40414L109 248 7755 SH DFND 0 0 7755 HD SUPPLY HLDGS INC COM 40416M105 1164 38045 SH DFND 0 0 38045 HEICO CORP NEW COM 422806109 209 2896 SH DFND 0 0 2896 HELIX ENERGY SOLUTIONS GRP I NOTE 4.250% 5/0 42330PAH0 34 35000 PRN DFND 0 0 35000 HEXCEL CORP NEW COM 428291108 472 8956 SH DFND 0 0 8956 HOLOGIC INC DEBT 2.000% 3/0 436440AC5 54 38000 PRN DFND 0 0 38000 HOME DEPOT INC COM 437076102 1657 10787 SH DFND 0 0 10787 HONEYWELL INTL INC COM 438516106 848 6353 SH DFND 0 0 6353 HORIZON TECHNOLOGY FIN CORP COM 44045A102 251 22050 SH DFND 0 0 22050 HUNTINGTON BANCSHARES INC COM 446150104 152 11584 SH DFND 0 0 11584 ICON PLC SHS G4705A100 704 7200 SH DFND 0 0 7200 ILLINOIS TOOL WKS INC COM 452308109 412 2892 SH DFND 0 0 2892 ILLUMINA INC NOTE 0.500% 6/1 452327AH2 36 35000 PRN DFND 0 0 35000 INGERSOLL-RAND PLC SHS G47791101 528 5778 SH DFND 0 0 5778 INPHI CORP NOTE 1.125%12/0 45772FAB3 27 26000 PRN DFND 0 0 26000 INTEL CORP COM 458140100 3275 97041 SH DFND 0 0 97041 INTEL CORP SDCV 12/1 458140AD2 14 12000 PRN DFND 0 0 12000 INTEL CORP SDCV 3.250% 8/0 458140AF7 22 12000 PRN DFND 0 0 12000 INTERCEPT PHARMACEUTICALS IN NOTE 3.250% 7/0 45845PAA6 13 13000 PRN DFND 0 0 13000 INTERNATIONAL BUSINESS MACHS COM 459200101 3140 20424 SH DFND 0 0 20424 INTUITIVE SURGICAL INC COM NEW 46120E602 2105 2252 SH DFND 0 0 2252 IONIS PHARMACEUTICALS INC COM 462222100 335 6575 SH DFND 0 0 6575 ISHARES MSCI PAC JP ETF 464286665 537 12090 SH DFND 0 0 12090 ISHARES GOLD TRUST ISHARES 464285105 454 38020 SH DFND 0 0 38020 ISHARES INC CORE MSCI EMKT 46434G103 275 5506 SH DFND 0 0 5506 ISHARES SILVER TRUST ISHARES 46428Q109 353 22405 SH DFND 0 0 22405 ISHARES TR 10-20 YR TRS ETF 464288653 463 3392 SH DFND 0 0 3392 ISHARES TR 1-3 YR CR BD ETF 464288646 458 4355 SH DFND 0 0 4355 ISHARES TR 1-3 YR TR BD ETF 464287457 2323 27485 SH DFND 0 0 27485 ISHARES TR 20 YR TR BD ETF 464287432 4002 31935 SH DFND 0 0 31935 ISHARES TR 3-7 YR TR BD ETF 464288661 1586 12840 SH DFND 0 0 12840 ISHARES TR CORE HIGH DV ETF 46429B663 1143 13740 SH DFND 0 0 13740 ISHARES TR CORE MSCI TOTAL 46432F834 1810 31595 SH DFND 0 0 31595 ISHARES TR CORE S&P MCP ETF 464287507 3660 21084 SH DFND 0 0 21084 ISHARES TR CORE S&P SCP ETF 464287804 3676 52342 SH DFND 0 0 52342 ISHARES TR CORE S&P500 ETF 464287200 6079 24965 SH DFND 0 0 24965 ISHARES TR CORE US AGGBD ET 464287226 6549 59783 SH DFND 0 0 59783 ISHARES TR EAFE SML CP ETF 464288273 424 7345 SH DFND 0 0 7345 ISHARES TR FLTG RATE BD ETF 46429B655 1275 25003 SH DFND 0 0 25003 ISHARES TR IBOXX HI YD ETF 464288513 779 8813 SH DFND 0 0 8813 ISHARES TR IBOXX INV CP ETF 464287242 662 5498 SH DFND 0 0 5498 ISHARES TR INTRM GOV/CR ETF 464288612 351 3166 SH DFND 0 0 3166 ISHARES TR MSCI EAFE ETF 464287465 489 7491 SH DFND 0 0 7491 ISHARES TR MSCI EMG MKT ETF 464287234 1452 35114 SH DFND 0 0 35114 ISHARES TR NASDQ BIOTEC ETF 464287556 314 1011 SH DFND 0 0 1011 ISHARES TR NATIONAL MUN ETF 464288414 1009 9158 SH DFND 0 0 9158 ISHARES TR RUS 1000 GRW ETF 464287614 1326 11144 SH DFND 0 0 11144 ISHARES TR RUS 1000 VAL ETF 464287598 1436 12344 SH DFND 0 0 12344 ISHARES TR RUS 2000 GRW ETF 464287648 1043 6195 SH DFND 0 0 6195 ISHARES TR RUSSELL 2000 ETF 464287655 704 4998 SH DFND 0 0 4998 ISHARES TR S&P MC 400GR ETF 464287606 1371 6975 SH DFND 0 0 6975 ISHARES TR S&P MC 400VL ETF 464287705 543 3660 SH DFND 0 0 3660 ISHARES TR SELECT DIVID ETF 464287168 4950 53642 SH DFND 0 0 53642 ISHARES TR SP SMCP600GR ETF 464287887 420 2702 SH DFND 0 0 2702 ISHARES TR TIPS BD ETF 464287176 937 8251 SH DFND 0 0 8251 ISHARES TR U.S. UTILITS ETF 464287697 277 2133 SH DFND 0 0 2133 ISHARES TR US CREDIT BD ETF 464288620 562 5013 SH DFND 0 0 5013 ISHARES TR US HLTHCARE ETF 464287762 273 1655 SH DFND 0 0 1655 ISIS PHARMACEUTICALS INC DEL NOTE 1.000%11/1 464337AJ3 16 16000 PRN DFND 0 0 16000 JOHNSON & JOHNSON COM 478160104 10307 77965 SH DFND 0 0 77965 JPMORGAN CHASE & CO COM 46625H100 5522 60453 SH DFND 0 0 60453 KAYNE ANDERSON MLP INVT CO COM 486606106 303 16085 SH DFND 0 0 16085 KIMBERLY CLARK CORP COM 494368103 459 3551 SH DFND 0 0 3551 KINDER MORGAN INC DEL COM 49456B101 1059 55381 SH DFND 0 0 55381 KRAFT HEINZ CO COM 500754106 842 9823 SH DFND 0 0 9823 LABORATORY CORP AMER HLDGS COM NEW 50540R409 203 1323 SH DFND 0 0 1323 LAM RESEARCH CORP NOTE 1.250% 5/1 512807AL2 55 23000 PRN DFND 0 0 23000 LAUDER ESTEE COS INC CL A 518439104 238 2482 SH DFND 0 0 2482 LIBERTY MEDIA CORP DELAWARE NOTE 1.375%10/1 531229AB8 43 35000 PRN DFND 0 0 35000 LILLY ELI & CO COM 532457108 769 9375 SH DFND 0 0 9375 LOCKHEED MARTIN CORP COM 539830109 408 1468 SH DFND 0 0 1468 LOWES COS INC COM 548661107 510 6653 SH DFND 0 0 6653 M & T BK CORP COM 55261F104 1231 7607 SH DFND 0 0 7607 MACQUARIE INFRASTRUCTURE COR NOTE 2.875% 7/1 55608BAA3 36 34000 PRN DFND 0 0 34000 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 633 8838 SH DFND 0 0 8838 MARKEL CORP COM 570535104 674 689 SH DFND 0 0 689 MARRIOTT INTL INC NEW CL A 571903202 779 7761 SH DFND 0 0 7761 MASIMO CORP COM 574795100 332 3650 SH DFND 0 0 3650 MASTERCARD INCORPORATED CL A 57636Q104 9092 74884 SH DFND 0 0 74884 MCCORMICK & CO INC COM NON VTG 579780206 2407 24676 SH DFND 0 0 24676 MCCORMICK & CO INC COM VTG 579780107 1325 13571 SH DFND 0 0 13571 MCDONALDS CORP COM 580135101 1114 7255 SH DFND 0 0 7255 MCKESSON CORP COM 58155Q103 529 3207 SH DFND 0 0 3207 MEDTRONIC PLC SHS G5960L103 237 2692 SH DFND 0 0 2692 MELCO RESORT ENTERTAINMENT L ADR 585464100 418 18600 SH DFND 0 0 18600 MERCK & CO INC COM 58933Y105 5556 86709 SH DFND 0 0 86709 METLIFE INC COM 59156R108 1502 27333 SH DFND 0 0 27333 MICROCHIP TECHNOLOGY INC COM 595017104 887 11482 SH DFND 0 0 11482 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 43 28000 PRN DFND 0 0 28000 MICROSOFT CORP COM 594918104 9555 138667 SH DFND 0 0 138667 MOLINA HEALTHCARE INC DBCV 1.625% 8/1 60855RAD2 34 25000 PRN DFND 0 0 25000 MONDELEZ INTL INC CL A 609207105 1766 40803 SH DFND 0 0 40803 NETAPP INC COM 64110D104 263 6552 SH DFND 0 0 6552 NETFLIX INC COM 64110L106 786 5266 SH DFND 0 0 5266 NEWPARK RES INC NOTE 4.000%10/0 651718AC2 28 28000 PRN DFND 0 0 28000 NEXTERA ENERGY INC COM 65339F101 703 5032 SH DFND 0 0 5032 NIKE INC CL B 654106103 1027 17308 SH DFND 0 0 17308 NORFOLK SOUTHERN CORP COM 655844108 264 2173 SH DFND 0 0 2173 NOVARTIS A G SPONSORED ADR 66987V109 460 5516 SH DFND 0 0 5516 NUANCE COMMUNICATIONS INC NOTE 2.750%11/0 67020YAF7 34 34000 PRN DFND 0 0 34000 NUSTAR GP HOLDINGS LLC UNIT RESTG LLC 67059L102 262 10721 SH DFND 0 0 10721 NUVEEN MARYLAND QLT MUN INC COM 67061Q107 166 12787 SH DFND 0 0 12787 NUVEEN MUN VALUE FD INC COM 670928100 216 21598 SH DFND 0 0 21598 NXP SEMICONDUCTORS N V COM N6596X109 528 4830 SH DFND 0 0 4830 NYMOX PHARMACEUTICAL CORP COM P73398102 123 28000 SH DFND 0 0 28000 OCCIDENTAL PETE CORP DEL COM 674599105 563 9394 SH DFND 0 0 9394 OLIN CORP COM PAR $1 680665205 283 9364 SH DFND 0 0 9364 ORACLE CORP COM 68389X105 339 6777 SH DFND 0 0 6777 PALO ALTO NETWORKS INC COM 697435105 692 5199 SH DFND 0 0 5199 PAYPAL HLDGS INC COM 70450Y103 4666 86973 SH DFND 0 0 86973 PEPSICO INC COM 713448108 4578 39600 SH DFND 0 0 39600 PEREGRINE PHARMACEUTICALS IN COM NEW 713661304 353 580000 SH DFND 0 0 580000 PFIZER INC COM 717081103 2199 65489 SH DFND 0 0 65489 PHILIP MORRIS INTL INC COM 718172109 1964 16716 SH DFND 0 0 16716 PHILLIPS 66 COM 718546104 1230 14853 SH DFND 0 0 14853 PNC FINL SVCS GROUP INC COM 693475105 1655 13254 SH DFND 0 0 13254 POWERSHARES ETF TR II PFD PORTFOLIO 73936T565 548 36234 SH DFND 0 0 36234 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 662 14807 SH DFND 0 0 14807 POWERSHARES ETF TRUST DWA MOMENTUM PTF 73935X153 258 5547 SH DFND 0 0 5547 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 1667 12082 SH DFND 0 0 12082 PPG INDS INC COM 693506107 260 2366 SH DFND 0 0 2366 PRICE T ROWE GROUP INC COM 74144T108 1962 26559 SH DFND 0 0 26559 PRICELINE GRP INC COM NEW 741503403 1209 648 SH DFND 0 0 648 PRICELINE GRP INC NOTE 0.350% 6/1 741503AS5 54 38000 PRN DFND 0 0 38000 PROCTER AND GAMBLE CO COM 742718109 7063 81025 SH DFND 0 0 81025 PROOFPOINT INC COM 743424103 354 4100 SH DFND 0 0 4100 PROOFPOINT INC DBCV 0.750% 6/1 743424AD5 33 28000 PRN DFND 0 0 28000 PUBLIC SVC ENTERPRISE GROUP COM 744573106 219 5067 SH DFND 0 0 5067 QUALCOMM INC COM 747525103 4370 79086 SH DFND 0 0 79086 RED HAT INC COM 756577102 258 2681 SH DFND 0 0 2681 RED HAT INC NOTE 0.250%10/0 756577AD4 38 27000 PRN DFND 0 0 27000 REGIONS FINL CORP NEW COM 7591EP100 222 15065 SH DFND 0 0 15065 REYNOLDS AMERICAN INC COM 761713106 291 4502 SH DFND 0 0 4502 ROPER TECHNOLOGIES INC COM 776696106 225 973 SH DFND 0 0 973 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 209 4962 SH DFND 0 0 4962 RPM INTL INC NOTE 2.250%12/1 749685AT0 10 10000 PRN DFND 0 0 10000 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 7160 77238 SH DFND 0 0 77238 RYDEX ETF TRUST GUG S&P500EQWTFI 78355W858 230 5821 SH DFND 0 0 5821 S&P GLOBAL INC COM 78409V104 692 4736 SH DFND 0 0 4736 SALESFORCE COM INC COM 79466L302 2568 29675 SH DFND 0 0 29675 SALESFORCE COM INC NOTE 0.250% 4/0 79466LAD6 36 27000 PRN DFND 0 0 27000 SALIENT MIDSTREAM & MLP FD SH BEN INT 79471V105 146 12395 SH DFND 0 0 12395 SBA COMMUNICATIONS CORP NEW CL A 78410G104 664 4920 SH DFND 0 0 4920 SCHEIN HENRY INC COM 806407102 295 1609 SH DFND 0 0 1609 SCHLUMBERGER LTD COM 806857108 2048 31026 SH DFND 0 0 31026 SCHWAB CHARLES CORP NEW COM 808513105 6660 155030 SH DFND 0 0 155030 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 2815 48160 SH DFND 0 0 48160 SELECT SECTOR SPDR TR ENERGY 81369Y506 270 4170 SH DFND 0 0 4170 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 279 11360 SH DFND 0 0 11360 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 325 5932 SH DFND 0 0 5932 SERVICENOW INC NOTE 11/0 81762PAB8 45 32000 PRN DFND 0 0 32000 SIRIUS XM HLDGS INC COM 82968B103 79 14513 SH DFND 0 0 14513 SNAP INC CL A 83304A106 178 10000 SH DFND 0 0 10000 SOUTHERN CO COM 842587107 303 6347 SH DFND 0 0 6347 SPDR GOLD TRUST GOLD SHS 78463V107 282 2383 SH DFND 0 0 2383 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 393 8434 SH DFND 0 0 8434 SPDR S&P 500 ETF TR TR UNIT 78462F103 2284 9452 SH DFND 0 0 9452 SPDR SERIES TRUST BLOMBERG BRC SRT 78464A474 1564 50970 SH DFND 0 0 50970 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 469 12602 SH DFND 0 0 12602 SPDR SERIES TRUST S&P BIOTECH 78464A870 345 4460 SH DFND 0 0 4460 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1207 13549 SH DFND 0 0 13549 SPECTRUM PHARMACEUTICALS INC COM 84763A108 186 25000 SH DFND 0 0 25000 STANLEY BLACK & DECKER INC COM 854502101 214 1531 SH DFND 0 0 1531 STARBUCKS CORP COM 855244109 3510 60138 SH DFND 0 0 60138 STATE STR CORP COM 857477103 235 2618 SH DFND 0 0 2618 STRYKER CORP COM 863667101 1638 11797 SH DFND 0 0 11797 SUNTRUST BKS INC COM 867914103 532 9462 SH DFND 0 0 9462 SYSCO CORP COM 871829107 256 5076 SH DFND 0 0 5076 TELEFLEX INC NOTE 3.875% 8/0 879369AA4 69 20000 PRN DFND 0 0 20000 TEVA PHARMACEUTICAL FIN LLC DBCV 0.250% 2/0 88163VAE9 22 22000 PRN DFND 0 0 22000 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 433 12970 SH DFND 0 0 12970 TEXAS INSTRS INC COM 882508104 295 3839 SH DFND 0 0 3839 THERMO FISHER SCIENTIFIC INC COM 883556102 366 2094 SH DFND 0 0 2094 TJX COS INC NEW COM 872540109 224 3083 SH DFND 0 0 3083 TRANSDIGM GROUP INC COM 893641100 571 2128 SH DFND 0 0 2128 TRAVELERS COMPANIES INC COM 89417E109 272 2150 SH DFND 0 0 2150 TRUSTCO BK CORP N Y COM 898349105 102 13135 SH DFND 0 0 13135 TWITTER INC COM 90184L102 343 19200 SH DFND 0 0 19200 UBS AG JERSEY BRH CMCI ETN 38 902641778 318 23462 SH DFND 0 0 23462 ULTIMATE SOFTWARE GROUP INC COM 90385D107 336 1594 SH DFND 0 0 1594 UNDER ARMOUR INC CL A 904311107 664 30744 SH DFND 0 0 30744 UNDER ARMOUR INC CL C 904311206 837 41583 SH DFND 0 0 41583 UNILEVER N V N Y SHS NEW 904784709 668 12007 SH DFND 0 0 12007 UNILEVER PLC SPON ADR NEW 904767704 427 7922 SH DFND 0 0 7922 UNION PAC CORP COM 907818108 393 3616 SH DFND 0 0 3616 UNITED PARCEL SERVICE INC CL B 911312106 422 3820 SH DFND 0 0 3820 UNITED TECHNOLOGIES CORP COM 913017109 815 6711 SH DFND 0 0 6711 UNITEDHEALTH GROUP INC COM 91324P102 1138 6143 SH DFND 0 0 6143 UNIVERSAL DISPLAY CORP COM 91347P105 2076 19000 SH DFND 0 0 19000 US BANCORP DEL COM NEW 902973304 214 4105 SH DFND 0 0 4105 VALERO ENERGY CORP NEW COM 91913Y100 257 3815 SH DFND 0 0 3815 VANECK VECTORS ETF TR AMT FREE INT ETF 92189F544 548 22927 SH DFND 0 0 22927 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 888 40380 SH DFND 0 0 40380 VANECK VECTORS ETF TR PFD SECS EX FINL 92189F429 324 16089 SH DFND 0 0 16089 VANGUARD INDEX FDS GROWTH ETF 922908736 248 1954 SH DFND 0 0 1954 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 399 3396 SH DFND 0 0 3396 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 641 6237 SH DFND 0 0 6237 VANGUARD INDEX FDS MID CAP ETF 922908629 865 6060 SH DFND 0 0 6060 VANGUARD INDEX FDS REIT ETF 922908553 2752 33083 SH DFND 0 0 33083 VANGUARD INDEX FDS VALUE ETF 922908744 342 3537 SH DFND 0 0 3537 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 388 9488 SH DFND 0 0 9488 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 286 3564 SH DFND 0 0 3564 VANGUARD SCOTTSDALE FDS VNG RUS2000GRW 92206C623 312 2540 SH DFND 0 0 2540 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 980 10584 SH DFND 0 0 10584 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 419 10191 SH DFND 0 0 10191 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 301 2045 SH DFND 0 0 2045 VERINT SYS INC NOTE 1.500% 6/0 92343XAA8 32 32000 PRN DFND 0 0 32000 VERISK ANALYTICS INC COM 92345Y106 597 7066 SH DFND 0 0 7066 VERIZON COMMUNICATIONS INC COM 92343V104 3823 85718 SH DFND 0 0 85718 VISA INC COM CL A 92826C839 6356 67769 SH DFND 0 0 67769 VMWARE INC CL A COM 928563402 211 2443 SH DFND 0 0 2443 VOYA FINL INC COM 929089100 264 7150 SH DFND 0 0 7150 W P CAREY INC COM 92936U109 857 12949 SH DFND 0 0 12949 WABASH NATL CORP NOTE 3.375% 5/0 929566AH0 44 22000 PRN DFND 0 0 22000 WABTEC CORP COM 929740108 246 2665 SH DFND 0 0 2665 WALGREENS BOOTS ALLIANCE INC COM 931427108 334 4282 SH DFND 0 0 4282 WAL-MART STORES INC COM 931142103 911 12030 SH DFND 0 0 12030 WASTE CONNECTIONS INC COM 94106B101 1087 16904 SH DFND 0 0 16904 WATERS CORP COM 941848103 204 1110 SH DFND 0 0 1110 WEATHERFORD INTL LTD NOTE 5.875% 7/0 947075AH0 35 35000 PRN DFND 0 0 35000 WEATHERFORD INTL PLC ORD SHS G48833100 97 25000 SH DFND 0 0 25000 WEBMD HEALTH CORP NOTE 1.500%12/0 94770VAK8 38 28000 PRN DFND 0 0 28000 WELLS FARGO CO NEW COM 949746101 3114 56170 SH DFND 0 0 56170 WELLTOWER INC COM 95040Q104 493 6629 SH DFND 0 0 6629 WESTERN ASSET MUN HI INCM FD COM 95766N103 484 65634 SH DFND 0 0 65634 WEYERHAEUSER CO COM 962166104 213 6402 SH DFND 0 0 6402 WISDOMTREE INVTS INC COM 97717P104 131 13050 SH DFND 0 0 13050 WISDOMTREE TR EMG MKTS SMCAP 97717W281 1064 23277 SH DFND 0 0 23277 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 452 7251 SH DFND 0 0 7251 XENIA HOTELS & RESORTS INC COM 984017103 1008 52154 SH DFND 0 0 52154 XPO LOGISTICS INC NOTE 4.500%10/0 983793AA8 84 21000 PRN DFND 0 0 21000 YUM BRANDS INC COM 988498101 523 7061 SH DFND 0 0 7061 YUM CHINA HLDGS INC COM 98850P109 259 6561 SH DFND 0 0 6561