Chief Compliance Officer

0001085146-19-001567.txt : 20190514 0001085146-19-001567.hdr.sgml : 20190514 20190514165920 ACCESSION NUMBER: 0001085146-19-001567 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190514 DATE AS OF CHANGE: 20190514 EFFECTIVENESS DATE: 20190514 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: 19823607 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 03-31-2019 03-31-2019 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 05-10-2019 0 306 425498 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 1644 7906 SH DFND 0 0 7906 ABBOTT LABS COM 002824100 2945 36832 SH DFND 0 0 36832 ABBVIE INC COM 00287Y109 3068 38173 SH DFND 0 0 38173 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 5492 31205 SH DFND 0 0 31205 ADOBE INC COM 00724F101 676 2537 SH DFND 0 0 2537 AIR PRODS & CHEMS INC COM 009158106 497 2601 SH DFND 0 0 2601 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 3759 20624 SH DFND 0 0 20624 ALLSTATE CORP COM 020002101 647 6870 SH DFND 0 0 6870 ALPHABET INC CAP STK CL A 02079K305 8516 7233 SH DFND 0 0 7233 ALPHABET INC CAP STK CL C 02079K107 6269 5341 SH DFND 0 0 5341 ALPS ETF TR ALERIAN MLP 00162Q866 110 10992 SH DFND 0 0 10992 ALTRIA GROUP INC COM 02209S103 1108 19310 SH DFND 0 0 19310 AMAZON COM INC COM 023135106 20566 11544 SH DFND 0 0 11544 AMERICAN EXPRESS CO COM 025816109 1511 13815 SH DFND 0 0 13815 AMERICAN TOWER CORP NEW COM 03027X100 3832 19438 SH DFND 0 0 19438 AMGEN INC COM 031162100 1375 7239 SH DFND 0 0 7239 AMPHENOL CORP NEW CL A 032095101 525 5558 SH DFND 0 0 5558 ANADARKO PETE CORP COM 032511107 223 4898 SH DFND 0 0 4898 ANTARES PHARMA INC COM 036642106 833 275000 SH DFND 0 0 275000 ANTHEM INC COM 036752103 765 2667 SH DFND 0 0 2667 APPLE INC COM 037833100 23092 121584 SH DFND 0 0 121584 ARES MANAGEMENT CORPORATION CL A COM STK 03990B101 480 20669 SH DFND 0 0 20669 AT&T INC COM 00206R102 1902 60705 SH DFND 0 0 60705 ATLAS AIR WORLDWIDE HLDGS IN NOTE 2.250% 6/0 049164BH8 13 13000 PRN DFND 0 0 13000 AUTODESK INC COM 052769106 234 1496 SH DFND 0 0 1496 AUTOHOME INC SP ADR RP CL A 05278C107 257 2444 SH DFND 0 0 2444 AUTOMATIC DATA PROCESSING IN COM 053015103 617 3864 SH DFND 0 0 3864 AVALONBAY CMNTYS INC COM 053484101 624 3106 SH DFND 0 0 3106 BAIDU INC SPON ADR REP A 056752108 818 4954 SH DFND 0 0 4954 BANK AMER CORP COM 060505104 1817 65799 SH DFND 0 0 65799 BANK NEW YORK MELLON CORP COM 064058100 488 9661 SH DFND 0 0 9661 BB&T CORP COM 054937107 296 6373 SH DFND 0 0 6373 BECTON DICKINSON & CO COM 075887109 552 2219 SH DFND 0 0 2219 BERKSHIRE HATHAWAY INC DEL CL A 084670108 602 2 SH DFND 0 0 2 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 4845 24156 SH DFND 0 0 24156 BEST BUY INC COM 086516101 465 6533 SH DFND 0 0 6533 BIOMARIN PHARMACEUTICAL INC NOTE 0.599% 8/0 09061GAH4 14 14000 PRN DFND 0 0 14000 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 502 14383 SH DFND 0 0 14383 BOEING CO COM 097023105 1523 3988 SH DFND 0 0 3988 BOOKING HLDGS INC COM 09857L108 453 260 SH DFND 0 0 260 BP PLC SPONSORED ADR 055622104 382 8713 SH DFND 0 0 8713 BRIGHT HORIZONS FAM SOL IN D COM 109194100 391 3084 SH DFND 0 0 3084 BRISTOL MYERS SQUIBB CO COM 110122108 665 13989 SH DFND 0 0 13989 BROADCOM INC COM 11135F101 450 1493 SH DFND 0 0 1493 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 433 9281 SH DFND 0 0 9281 BROOKFIELD INFRAST PARTNERS LP INT UNIT G16252101 427 10164 SH DFND 0 0 10164 CANADIAN NATL RY CO COM 136375102 663 7412 SH DFND 0 0 7412 CARMAX INC COM 143130102 281 4041 SH DFND 0 0 4041 CATERPILLAR INC DEL COM 149123101 808 5965 SH DFND 0 0 5965 CEDAR FAIR L P DEPOSITRY UNIT 150185106 224 4259 SH DFND 0 0 4259 CHEVRON CORP NEW COM 166764100 1586 12870 SH DFND 0 0 12870 CHUBB LIMITED COM H1467J104 277 1983 SH DFND 0 0 1983 CIGNA CORP NEW COM 125523100 985 6140 SH DFND 0 0 6140 CINCINNATI BELL INC NEW PFD CV DEP1/20 171871403 1100 28034 SH DFND 0 0 28034 CISCO SYS INC COM 17275R102 4551 84230 SH DFND 0 0 84230 CITRIX SYS INC NOTE 0.500% 4/1 177376AD2 15 10000 PRN DFND 0 0 10000 CLOROX CO DEL COM 189054109 436 2717 SH DFND 0 0 2717 COCA COLA CO COM 191216100 1419 30305 SH DFND 0 0 30305 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 712 9806 SH DFND 0 0 9806 COHEN & STEERS QUALITY RLTY COM 19247L106 194 15091 SH DFND 0 0 15091 COLGATE PALMOLIVE CO COM 194162103 459 6661 SH DFND 0 0 6661 COMCAST CORP NEW CL A 20030N101 935 23353 SH DFND 0 0 23353 CONOCOPHILLIPS COM 20825C104 787 11803 SH DFND 0 0 11803 COSTCO WHSL CORP NEW COM 22160K105 1540 6362 SH DFND 0 0 6362 CROWN CASTLE INTL CORP NEW COM 22822V101 270 2111 SH DFND 0 0 2111 CVS HEALTH CORP COM 126650100 5046 93580 SH DFND 0 0 93580 DANAHER CORPORATION COM 235851102 1990 15047 SH DFND 0 0 15047 DEERE & CO COM 244199105 1184 7402 SH DFND 0 0 7402 DELTA AIR LINES INC DEL COM NEW 247361702 379 7360 SH DFND 0 0 7360 DIAGEO P L C SPON ADR NEW 25243Q205 887 5430 SH DFND 0 0 5430 DISH NETWORK CORP NOTE 3.375% 8/1 25470MAB5 14 16000 PRN DFND 0 0 16000 DISNEY WALT CO COM DISNEY 254687106 3398 30573 SH DFND 0 0 30573 DOMINION ENERGY INC COM 25746U109 1392 18172 SH DFND 0 0 18172 DOWDUPONT INC COM 26078J100 1866 35023 SH DFND 0 0 35023 DUKE ENERGY CORP NEW COM NEW 26441C204 1001 11114 SH DFND 0 0 11114 EASTERLY GOVT PPTYS INC COM 27616P103 433 24035 SH DFND 0 0 24035 EATON CORP PLC SHS G29183103 325 4045 SH DFND 0 0 4045 EATON VANCE TAX MNGD GBL DV COM 27829F108 91 11140 SH DFND 0 0 11140 EATON VANCE TX MGD DIV EQ IN COM 27828N102 116 10245 SH DFND 0 0 10245 ECOLAB INC COM 278865100 989 5609 SH DFND 0 0 5609 EDWARDS LIFESCIENCES CORP COM 28176E108 499 2611 SH DFND 0 0 2611 EMERSON ELEC CO COM 291011104 887 12979 SH DFND 0 0 12979 ENBRIDGE INC COM 29250N105 2251 62099 SH DFND 0 0 62099 ENSCO JERSEY FIN LTD NOTE 3.000% 1/3 29359WAB1 11 15000 PRN DFND 0 0 15000 ENTERPRISE PRODS PARTNERS L COM 293792107 781 26937 SH DFND 0 0 26937 EQUIFAX INC COM 294429105 4042 34112 SH DFND 0 0 34112 EVERSOURCE ENERGY COM 30040W108 226 3191 SH DFND 0 0 3191 EXACT SCIENCES CORP NOTE 1.000% 1/1 30063PAA3 18 13000 PRN DFND 0 0 13000 EXELIXIS INC COM 30161Q104 500 20986 SH DFND 0 0 20986 EXELON CORP COM 30161N101 298 5957 SH DFND 0 0 5957 EXXON MOBIL CORP COM 30231G102 4514 55951 SH DFND 0 0 55951 FACEBOOK INC CL A 30303M102 4395 26344 SH DFND 0 0 26344 FIAT CHRYSLER AUTOMOBILES N SHS N31738102 186 12500 SH DFND 0 0 12500 FIDELITY NATL INFORMATION SV COM 31620M106 1985 17548 SH DFND 0 0 17548 FIRST HORIZON NATL CORP COM 320517105 182 13039 SH DFND 0 0 13039 FIRST TR EXCHANGE TRADED FD NY ARCA BIOTECH 33733E203 2397 15903 SH DFND 0 0 15903 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 349 7380 SH DFND 0 0 7380 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 1751 91988 SH DFND 0 0 91988 FORD MTR CO DEL COM 345370860 432 49031 SH DFND 0 0 49031 FORTIVE CORP COM 34959J108 695 8268 SH DFND 0 0 8268 GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 56 12960 SH DFND 0 0 12960 GAMESTOP CORP NEW CL A 36467W109 195 19503 SH DFND 0 0 19503 GENERAL DYNAMICS CORP COM 369550108 2596 15343 SH DFND 0 0 15343 GENERAL ELECTRIC CO COM 369604103 707 70916 SH DFND 0 0 70916 GENERAL MLS INC COM 370334104 206 3953 SH DFND 0 0 3953 GILEAD SCIENCES INC COM 375558103 1470 22586 SH DFND 0 0 22586 GOLUB CAP BDC INC COM 38173M102 664 37076 SH DFND 0 0 37076 HAMILTON BANCORP INC MD COM 407015106 140 10000 SH DFND 0 0 10000 HANCOCK JOHN PFD INCOME FD I COM 41021P103 280 14933 SH DFND 0 0 14933 HD SUPPLY HLDGS INC COM 40416M105 1371 31609 SH DFND 0 0 31609 HELIX ENERGY SOLUTIONS GRP I NOTE 4.250% 5/0 42330PAH0 13 13000 PRN DFND 0 0 13000 HOME DEPOT INC COM 437076102 2512 13103 SH DFND 0 0 13103 HONEYWELL INTL INC COM 438516106 628 3953 SH DFND 0 0 3953 HORIZON TECHNOLOGY FIN CORP COM 44045A102 203 17100 SH DFND 0 0 17100 ICON PLC SHS G4705A100 983 7200 SH DFND 0 0 7200 ILLINOIS TOOL WKS INC COM 452308109 249 1749 SH DFND 0 0 1749 ILLUMINA INC NOTE 0.500% 6/1 452327AH2 17 13000 PRN DFND 0 0 13000 INGERSOLL-RAND PLC SHS G47791101 370 3428 SH DFND 0 0 3428 INTEL CORP COM 458140100 5979 111353 SH DFND 0 0 111353 INTERNATIONAL BUSINESS MACHS COM 459200101 3352 23768 SH DFND 0 0 23768 INTUIT COM 461202103 1740 6656 SH DFND 0 0 6656 INTUITIVE SURGICAL INC COM NEW 46120E602 4047 7091 SH DFND 0 0 7091 INVESCO EXCHANGE TRADED FD T S&P500 EQL FIN 46137V340 201 5000 SH DFND 0 0 5000 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 5462 52335 SH DFND 0 0 52335 INVESCO QQQ TR UNIT SER 1 46090E103 1187 6612 SH DFND 0 0 6612 IONIS PHARMACEUTICALS INC COM 462222100 411 5100 SH DFND 0 0 5100 ISHARES GOLD TRUST ISHARES 464285105 434 35095 SH DFND 0 0 35095 ISHARES INC CORE MSCI EMKT 46434G103 2460 47558 SH DFND 0 0 47558 ISHARES INC MSCI EM ASIA ETF 464286426 605 8935 SH DFND 0 0 8935 ISHARES INC MSCI PAC JP ETF 464286665 225 4910 SH DFND 0 0 4910 ISHARES TR 20 YR TR BD ETF 464287432 1262 9983 SH DFND 0 0 9983 ISHARES TR 3 7 YR TREAS BD 464288661 211 1711 SH DFND 0 0 1711 ISHARES TR CORE HIGH DV ETF 46429B663 473 5074 SH DFND 0 0 5074 ISHARES TR CORE MSCI TOTAL 46432F834 1677 28891 SH DFND 0 0 28891 ISHARES TR CORE S&P MCP ETF 464287507 2932 15499 SH DFND 0 0 15499 ISHARES TR CORE S&P SCP ETF 464287804 3152 40864 SH DFND 0 0 40864 ISHARES TR CORE S&P500 ETF 464287200 8610 30257 SH DFND 0 0 30257 ISHARES TR CORE US AGGBD ET 464287226 1132 10358 SH DFND 0 0 10358 ISHARES TR FLTG RATE NT ETF 46429B655 611 11994 SH DFND 0 0 11994 ISHARES TR IBOXX HI YD ETF 464288513 207 2388 SH DFND 0 0 2388 ISHARES TR MSCI ACWI EX US 464288240 705 15233 SH DFND 0 0 15233 ISHARES TR MSCI EAFE ETF 464287465 562 8654 SH DFND 0 0 8654 ISHARES TR MSCI EMG MKT ETF 464287234 1751 40746 SH DFND 0 0 40746 ISHARES TR NASDAQ BIOTECH 464287556 208 1864 SH DFND 0 0 1864 ISHARES TR PFD AND INCM SEC 464288687 224 6106 SH DFND 0 0 6106 ISHARES TR RUS 1000 ETF 464287622 741 4713 SH DFND 0 0 4713 ISHARES TR RUS 1000 GRW ETF 464287614 513 3395 SH DFND 0 0 3395 ISHARES TR RUS 1000 VAL ETF 464287598 3075 24928 SH DFND 0 0 24928 ISHARES TR RUS 2000 GRW ETF 464287648 1568 7969 SH DFND 0 0 7969 ISHARES TR RUS 2000 VAL ETF 464287630 1462 12192 SH DFND 0 0 12192 ISHARES TR RUS MDCP VAL ETF 464287473 1092 12609 SH DFND 0 0 12609 ISHARES TR RUS MID CAP ETF 464287499 240 4450 SH DFND 0 0 4450 ISHARES TR RUSSELL 2000 ETF 464287655 303 1968 SH DFND 0 0 1968 ISHARES TR S&P MC 400GR ETF 464287606 624 2837 SH DFND 0 0 2837 ISHARES TR S&P MC 400VL ETF 464287705 278 1773 SH DFND 0 0 1773 ISHARES TR S&P SML 600 GWT 464287887 338 1899 SH DFND 0 0 1899 ISHARES TR SELECT DIVID ETF 464287168 2927 29818 SH DFND 0 0 29818 ISHARES TR SHRT NAT MUN ETF 464288158 902 8521 SH DFND 0 0 8521 ISHARES TR TIPS BD ETF 464287176 371 3290 SH DFND 0 0 3290 ISHARES TR U.S. UTILITS ETF 464287697 309 2100 SH DFND 0 0 2100 ISHARES TR USD INV GRDE ETF 464288620 222 4018 SH DFND 0 0 4018 JACOBS ENGR GROUP INC COM 469814107 648 8629 SH DFND 0 0 8629 JOHNSON & JOHNSON COM 478160104 7556 54005 SH DFND 0 0 54005 JPMORGAN CHASE & CO COM 46625H100 10725 106006 SH DFND 0 0 106006 KIMBERLY CLARK CORP COM 494368103 517 4184 SH DFND 0 0 4184 KINDER MORGAN INC DEL COM 49456B101 654 32703 SH DFND 0 0 32703 KKR & CO INC CL A 48251W104 231 9917 SH DFND 0 0 9917 LAUDER ESTEE COS INC CL A 518439104 335 2022 SH DFND 0 0 2022 LIBERTY MEDIA CORP DELAWARE NOTE 1.375%10/1 531229AB8 14 13000 PRN DFND 0 0 13000 LILLY ELI & CO COM 532457108 1134 8753 SH DFND 0 0 8753 LOWES COS INC COM 548661107 798 7298 SH DFND 0 0 7298 LUMENTUM HLDGS INC NOTE 0.250% 3/1 55024UAB5 14 12000 PRN DFND 0 0 12000 M & T BK CORP COM 55261F104 888 5650 SH DFND 0 0 5650 MACQUARIE INFRASTRUCTURE COR NOTE 2.875% 7/1 55608BAA3 12 12000 PRN DFND 0 0 12000 MARKEL CORP COM 570535104 236 236 SH DFND 0 0 236 MARRIOTT INTL INC NEW CL A 571903202 618 4942 SH DFND 0 0 4942 MARTEN TRANS LTD COM 573075108 267 15000 SH DFND 0 0 15000 MASIMO CORP COM 574795100 883 6387 SH DFND 0 0 6387 MASTERCARD INC CL A 57636Q104 14613 62059 SH DFND 0 0 62059 MCCORMICK & CO INC COM NON VTG 579780206 2513 16693 SH DFND 0 0 16693 MCDONALDS CORP COM 580135101 1302 6850 SH DFND 0 0 6850 MCKESSON CORP COM 58155Q103 287 2455 SH DFND 0 0 2455 MEDIDATA SOLUTIONS INC COM 58471A105 418 5700 SH DFND 0 0 5700 MEDTRONIC PLC SHS G5960L103 524 5736 SH DFND 0 0 5736 MELCO RESORTS AND ENTMT LTD ADR 585464100 407 18000 SH DFND 0 0 18000 MERCK & CO INC COM 58933Y105 5850 70333 SH DFND 0 0 70333 METLIFE INC COM 59156R108 3438 80793 SH DFND 0 0 80793 MICROCHIP TECHNOLOGY INC COM 595017104 255 3076 SH DFND 0 0 3076 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 23 14000 PRN DFND 0 0 14000 MICROSOFT CORP COM 594918104 15962 135345 SH DFND 0 0 135345 MONDELEZ INTL INC CL A 609207105 543 10882 SH DFND 0 0 10882 NETAPP INC COM 64110D104 246 3535 SH DFND 0 0 3535 NETFLIX INC COM 64110L106 506 1421 SH DFND 0 0 1421 NEUROCRINE BIOSCIENCES INC NOTE 2.250% 5/1 64125CAD1 14 10000 PRN DFND 0 0 10000 NEXTERA ENERGY INC COM 65339F101 531 2738 SH DFND 0 0 2738 NICE SYS INC NOTE 1.250% 1/1 65366HAB9 21 13000 PRN DFND 0 0 13000 NIKE INC CL B 654106103 253 3019 SH DFND 0 0 3019 NORFOLK SOUTHERN CORP COM 655844108 202 1081 SH DFND 0 0 1081 NOVARTIS A G SPONSORED ADR 66987V109 349 3627 SH DFND 0 0 3627 NUSTAR ENERGY LP UNIT COM 67058H102 302 11244 SH DFND 0 0 11244 NUVASIVE INC NOTE 2.250% 3/1 670704AG0 14 13000 PRN DFND 0 0 13000 NUVEEN AMT FREE QLTY MUN INC COM 670657105 180 13374 SH DFND 0 0 13374 NUVEEN MARYLAND QLT MUN INC COM 67061Q107 235 18610 SH DFND 0 0 18610 NXP SEMICONDUCTORS N V COM N6596X109 304 3440 SH DFND 0 0 3440 NYMOX PHARMACEUTICAL CORP COM P73398102 55 28000 SH DFND 0 0 28000 OAKTREE SPECIALTY LENDING CO COM 67401P108 139 26879 SH DFND 0 0 26879 OASIS PETE INC NEW NOTE 2.625% 9/1 674215AJ7 15 16000 PRN DFND 0 0 16000 ON SEMICONDUCTOR CORP NOTE 1.000%12/0 682189AK1 15 12000 PRN DFND 0 0 12000 ONEOK INC NEW COM 682680103 784 11196 SH DFND 0 0 11196 ORACLE CORP COM 68389X105 260 4820 SH DFND 0 0 4820 PALO ALTO NETWORKS INC COM 697435105 304 1254 SH DFND 0 0 1254 PAYPAL HLDGS INC COM 70450Y103 7506 72304 SH DFND 0 0 72304 PEPSICO INC COM 713448108 2283 18625 SH DFND 0 0 18625 PFIZER INC COM 717081103 2832 66703 SH DFND 0 0 66703 PHILIP MORRIS INTL INC COM 718172109 710 8041 SH DFND 0 0 8041 PHILLIPS 66 COM 718546104 2854 29982 SH DFND 0 0 29982 PNC FINL SVCS GROUP INC COM 693475105 953 7758 SH DFND 0 0 7758 PPG INDS INC COM 693506107 310 2747 SH DFND 0 0 2747 PREMIER INC CL A 74051N102 212 6147 SH DFND 0 0 6147 PRICE T ROWE GROUP INC COM 74144T108 1427 14238 SH DFND 0 0 14238 PRICELINE GRP INC NOTE 0.350% 6/1 741503AS5 19 14000 PRN DFND 0 0 14000 PROCTER AND GAMBLE CO COM 742718109 5375 51684 SH DFND 0 0 51684 QUALCOMM INC COM 747525103 5200 91185 SH DFND 0 0 91185 REALTY INCOME CORP COM 756109104 269 3647 SH DFND 0 0 3647 RED HAT INC NOTE 0.250%10/0 756577AD4 34 14000 PRN DFND 0 0 14000 REGENERON PHARMACEUTICALS COM 75886F107 917 2234 SH DFND 0 0 2234 REGIONS FINL CORP NEW COM 7591EP100 199 14123 SH DFND 0 0 14123 ROPER TECHNOLOGIES INC COM 776696106 259 758 SH DFND 0 0 758 SALESFORCE COM INC COM 79466L302 2862 18054 SH DFND 0 0 18054 SALIENT MIDSTREAM & MLP FD SH BEN INT 79471V105 126 13700 SH DFND 0 0 13700 SBA COMMUNICATIONS CORP NEW CL A 78410G104 537 2683 SH DFND 0 0 2683 SCHLUMBERGER LTD COM 806857108 486 11213 SH DFND 0 0 11213 SELECT SECTOR SPDR TR ENERGY 81369Y506 279 4238 SH DFND 0 0 4238 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 201 5514 SH DFND 0 0 5514 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 278 3040 SH DFND 0 0 3040 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 441 17207 SH DFND 0 0 17207 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 608 8239 SH DFND 0 0 8239 SERVICENOW INC NOTE 6/0 81762PAC6 19 10000 PRN DFND 0 0 10000 SOUTHERN CO COM 842587107 247 4738 SH DFND 0 0 4738 SPDR GOLD TRUST GOLD SHS 78463V107 418 3426 SH DFND 0 0 3426 SPDR S&P 500 ETF TR TR UNIT 78462F103 4250 15055 SH DFND 0 0 15055 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 645 1867 SH DFND 0 0 1867 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 1469 47993 SH DFND 0 0 47993 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 324 5400 SH DFND 0 0 5400 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1330 13377 SH DFND 0 0 13377 SPECTRUM PHARMACEUTICALS INC COM 84763A108 267 25000 SH DFND 0 0 25000 SPIRIT AEROSYSTEMS HLDGS INC COM CL A 848574109 642 7009 SH DFND 0 0 7009 STARBUCKS CORP COM 855244109 4508 60644 SH DFND 0 0 60644 STRYKER CORP COM 863667101 1445 7311 SH DFND 0 0 7311 SUNTRUST BKS INC COM 867914103 764 12895 SH DFND 0 0 12895 SYSCO CORP COM 871829107 347 5221 SH DFND 0 0 5221 TELADOC HEALTH INC NOTE 3.000%12/1 87918AAB1 15 10000 PRN DFND 0 0 10000 TEXAS INSTRS INC COM 882508104 629 5930 SH DFND 0 0 5930 THE CHARLES SCHWAB CORPORATI COM 808513105 6491 151726 SH DFND 0 0 151726 THERMO FISHER SCIENTIFIC INC COM 883556102 334 1225 SH DFND 0 0 1225 TJX COS INC NEW COM 872540109 288 5412 SH DFND 0 0 5412 TRANSDIGM GROUP INC COM 893641100 400 881 SH DFND 0 0 881 TRAVELERS COMPANIES INC COM 89417E109 237 1722 SH DFND 0 0 1722 TWITTER INC COM 90184L102 658 20038 SH DFND 0 0 20038 UBS AG JERSEY BRH CMCI ETN 38 902641778 201 13454 SH DFND 0 0 13454 UNDER ARMOUR INC CL A 904311107 200 9692 SH DFND 0 0 9692 UNILEVER N V N Y SHS NEW 904784709 467 8031 SH DFND 0 0 8031 UNILEVER PLC SPON ADR NEW 904767704 281 4866 SH DFND 0 0 4866 UNION PACIFIC CORP COM 907818108 1489 8900 SH DFND 0 0 8900 UNITED PARCEL SERVICE INC CL B 911312106 337 3022 SH DFND 0 0 3022 UNITED TECHNOLOGIES CORP COM 913017109 4507 34956 SH DFND 0 0 34956 UNITEDHEALTH GROUP INC COM 91324P102 1043 4207 SH DFND 0 0 4207 VANECK VECTORS ETF TR AMT FREE INT ETF 92189H201 501 10266 SH DFND 0 0 10266 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 1190 53402 SH DFND 0 0 53402 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 425 5341 SH DFND 0 0 5341 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 318 3915 SH DFND 0 0 3915 VANGUARD GROUP DIV APP ETF 921908844 539 4900 SH DFND 0 0 4900 VANGUARD INDEX FDS GROWTH ETF 922908736 2560 16376 SH DFND 0 0 16376 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 238 2200 SH DFND 0 0 2200 VANGUARD INDEX FDS MID CAP ETF 922908629 994 6180 SH DFND 0 0 6180 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 627 7230 SH DFND 0 0 7230 VANGUARD INDEX FDS SM CP VAL ETF 922908611 432 3356 SH DFND 0 0 3356 VANGUARD INDEX FDS SML CP GRW ETF 922908595 1095 6091 SH DFND 0 0 6091 VANGUARD INDEX FDS VALUE ETF 922908744 363 3375 SH DFND 0 0 3375 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 698 16441 SH DFND 0 0 16441 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 987 24203 SH DFND 0 0 24203 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 229 1326 SH DFND 0 0 1326 VARIAN MED SYS INC COM 92220P105 279 1973 SH DFND 0 0 1973 VENTAS INC COM 92276F100 437 6850 SH DFND 0 0 6850 VERINT SYS INC NOTE 1.500% 6/0 92343XAA8 12 11000 PRN DFND 0 0 11000 VERIZON COMMUNICATIONS INC COM 92343V104 3009 50875 SH DFND 0 0 50875 VISA INC COM CL A 92826C839 9186 58822 SH DFND 0 0 58822 VOYA FINL INC COM 929089100 475 9500 SH DFND 0 0 9500 W P CAREY INC COM 92936U109 474 6077 SH DFND 0 0 6077 WALMART INC COM 931142103 809 8291 SH DFND 0 0 8291 WASTE CONNECTIONS INC COM 94106B101 468 5295 SH DFND 0 0 5295 WASTE MGMT INC DEL COM 94106L109 258 2479 SH DFND 0 0 2479 WEATHERFORD INTL LTD NOTE 5.875% 7/0 947075AH0 13 17000 PRN DFND 0 0 17000 WELLS FARGO CO NEW COM 949746101 963 19997 SH DFND 0 0 19997 WELLTOWER INC COM 95040Q104 312 4000 SH DFND 0 0 4000 WESTERN ASSET MUN HI INCM FD COM 95766N103 132 17809 SH DFND 0 0 17809 WESTERN DIGITAL CORP COM 958102105 240 5000 SH DFND 0 0 5000 WEYERHAEUSER CO COM 962166104 307 11641 SH DFND 0 0 11641 WILLIS TOWERS WATSON PUB LTD SHS G96629103 318 1812 SH DFND 0 0 1812 WISDOMTREE TR EMG MKTS SMCAP 97717W281 300 6407 SH DFND 0 0 6407 WORKDAY INC NOTE 0.250%10/0 98138HAF8 18 13000 PRN DFND 0 0 13000 WRIGHT MED GROUP INC NOTE 2.000% 2/1 98235TAE7 15 14000 PRN DFND 0 0 14000 XENIA HOTELS & RESORTS INC COM 984017103 655 29936 SH DFND 0 0 29936 YUM BRANDS INC COM 988498101 642 6431 SH DFND 0 0 6431 YUM CHINA HLDGS INC COM 98850P109 244 5431 SH DFND 0 0 5431 ZILLOW GROUP INC NOTE 2.000%12/0 98954MAB7 13 13000 PRN DFND 0 0 13000