Chief Compliance Officer

0001085146-21-001691.txt : 20210514 0001085146-21-001691.hdr.sgml : 20210514 20210514161050 ACCESSION NUMBER: 0001085146-21-001691 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210514 DATE AS OF CHANGE: 20210514 EFFECTIVENESS DATE: 20210514 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: 21924670 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 false false 0001389479 XXXXXXXX 03-31-2021 03-31-2021 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. 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DFND 0 0 63732 DOMINION ENERGY INC COM 25746U109 735 9676 SH DFND 0 0 9676 DOW INC COM 260557103 445 6961 SH DFND 0 0 6961 DUKE ENERGY CORP NEW COM NEW 26441C204 442 4581 SH DFND 0 0 4581 DUPONT DE NEMOURS INC COM 26614N102 228 2945 SH DFND 0 0 2945 DYNATRACE INC COM NEW 268150109 3228 66919 SH DFND 0 0 66919 EASTERLY GOVT PPTYS INC COM 27616P103 293 14120 SH DFND 0 0 14120 EASTMAN CHEM CO COM 277432100 204 1856 SH DFND 0 0 1856 EATON CORP PLC SHS G29183103 219 1581 SH DFND 0 0 1581 EATON VANCE TAX-MANAGED DIVE COM 27828N102 136 10640 SH DFND 0 0 10640 EATON VANCE TAX-MANAGED GLOB COM 27829F108 117 12605 SH DFND 0 0 12605 ECOLAB INC COM 278865100 1155 5396 SH DFND 0 0 5396 EDWARDS LIFESCIENCES CORP COM 28176E108 625 7467 SH DFND 0 0 7467 EMERSON ELEC CO COM 291011104 3760 41674 SH DFND 0 0 41674 ENBRIDGE INC COM 29250N105 1687 46344 SH DFND 0 0 46344 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 126 16386 SH DFND 0 0 16386 ENTERPRISE PRODS PARTNERS L COM 293792107 312 14174 SH DFND 0 0 14174 EQUIFAX INC COM 294429105 9112 50304 SH DFND 0 0 50304 EVERQUOTE INC COM CL A 30041R108 457 12597 SH DFND 0 0 12597 EXELIXIS INC COM 30161Q104 452 20000 SH DFND 0 0 20000 EXXON MOBIL CORP COM 30231G102 1945 34830 SH DFND 0 0 34830 F5 NETWORKS INC COM 315616102 589 2823 SH DFND 0 0 2823 FACEBOOK INC CL A 30303M102 4037 13707 SH DFND 0 0 13707 FERRARI N V COM N3167Y103 262 1250 SH DFND 0 0 1250 FIDELITY NATL INFORMATION SV COM 31620M106 2364 16809 SH DFND 0 0 16809 FIRST HORIZON CORPORATION COM 320517105 220 13039 SH DFND 0 0 13039 FIRST TR EXCH TRADED FD III PFD SECS INC ETF 33739E108 1722 85438 SH DFND 0 0 85438 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 404 6734 SH DFND 0 0 6734 FIRST TR EXCHANGE-TRADED FD NY ARCA BIOTECH 33733E203 1916 11940 SH DFND 0 0 11940 FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 253 5280 SH DFND 0 0 5280 FORD MTR CO DEL COM 345370860 699 57093 SH DFND 0 0 57093 FORTIVE CORP COM 34959J108 782 11077 SH DFND 0 0 11077 FTI CONSULTING INC COM 302941109 218 1556 SH DFND 0 0 1556 GENERAL DYNAMICS CORP COM 369550108 265 1458 SH DFND 0 0 1458 GENERAL ELECTRIC CO COM 369604103 277 21129 SH DFND 0 0 21129 GENERAL MLS INC COM 370334104 304 4958 SH DFND 0 0 4958 GENERAL MTRS CO COM 37045V100 320 5568 SH DFND 0 0 5568 GILEAD SCIENCES INC COM 375558103 1987 30750 SH DFND 0 0 30750 GOLUB CAP BDC INC COM 38173M102 174 11911 SH DFND 0 0 11911 HEWLETT PACKARD ENTERPRISE C COM 42824C109 220 13960 SH DFND 0 0 13960 HOME DEPOT INC COM 437076102 3118 10213 SH DFND 0 0 10213 HONEYWELL INTL INC COM 438516106 998 4597 SH DFND 0 0 4597 HORIZON TECHNOLOGY FIN CORP COM 44045A102 235 16362 SH DFND 0 0 16362 HP INC COM 40434L105 443 13960 SH DFND 0 0 13960 ICON PLC SHS G4705A100 1414 7200 SH DFND 0 0 7200 IDEXX LABS INC COM 45168D104 259 529 SH DFND 0 0 529 INTEL CORP COM 458140100 7606 118850 SH DFND 0 0 118850 INTERNATIONAL BUSINESS MACHS COM 459200101 3809 28581 SH DFND 0 0 28581 INTUIT COM 461202103 2525 6592 SH DFND 0 0 6592 INTUITIVE 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0 11195 ISHARES TR GL CLEAN ENE ETF 464288224 401 16515 SH DFND 0 0 16515 ISHARES TR ISHS 1-5YR INVS 464288646 233 4255 SH DFND 0 0 4255 ISHARES TR MSCI EAFE ETF 464287465 255 3362 SH DFND 0 0 3362 ISHARES TR MSCI EMG MKT ETF 464287234 240 4495 SH DFND 0 0 4495 ISHARES TR RUS 1000 ETF 464287622 976 4360 SH DFND 0 0 4360 ISHARES TR RUS 1000 GRW ETF 464287614 388 1596 SH DFND 0 0 1596 ISHARES TR RUS 1000 VAL ETF 464287598 1191 7861 SH DFND 0 0 7861 ISHARES TR RUS 2000 VAL ETF 464287630 350 2193 SH DFND 0 0 2193 ISHARES TR RUSSELL 2000 ETF 464287655 942 4264 SH DFND 0 0 4264 ISHARES TR SELECT DIVID ETF 464287168 1587 13911 SH DFND 0 0 13911 ISHARES TR SHRT NAT MUN ETF 464288158 509 4725 SH DFND 0 0 4725 ISHARES TR TIPS BD ETF 464287176 428 3411 SH DFND 0 0 3411 ISHARES TR U.S. UTILITS ETF 464287697 334 4200 SH DFND 0 0 4200 JACOBS ENGR GROUP INC COM 469814107 498 3851 SH DFND 0 0 3851 JOHNSON & JOHNSON COM 478160104 4882 29704 SH DFND 0 0 29704 JPMORGAN CHASE & CO COM 46625H100 9885 64932 SH DFND 0 0 64932 KIMBERLY-CLARK CORP COM 494368103 398 2860 SH DFND 0 0 2860 KNIGHT-SWIFT TRANSN HLDGS IN CL A 499049104 2585 53756 SH DFND 0 0 53756 KRAFT HEINZ CO COM 500754106 10321 258021 SH DFND 0 0 258021 L3HARRIS TECHNOLOGIES INC COM 502431109 370 1828 SH DFND 0 0 1828 LOCKHEED MARTIN CORP COM 539830109 531 1436 SH DFND 0 0 1436 LOWES COS INC COM 548661107 1100 5782 SH DFND 0 0 5782 MARTEN TRANS LTD COM 573075108 382 22500 SH DFND 0 0 22500 MASIMO CORP COM 574795100 1805 7861 SH DFND 0 0 7861 MASTERCARD INCORPORATED CL A 57636Q104 22493 63173 SH DFND 0 0 63173 MCCORMICK & CO INC COM NON VTG 579780206 2260 25351 SH DFND 0 0 25351 MCDONALDS CORP COM 580135101 1561 6965 SH DFND 0 0 6965 MEDTRONIC PLC SHS G5960L103 454 3843 SH DFND 0 0 3843 MEI PHARMA INC COM NEW 55279B202 51 15000 SH DFND 0 0 15000 MERCADOLIBRE INC COM 58733R102 259 176 SH DFND 0 0 176 MERCK & CO. INC COM 58933Y105 7505 97355 SH DFND 0 0 97355 METLIFE INC COM 59156R108 2701 44430 SH DFND 0 0 44430 MICROSOFT CORP COM 594918104 32382 137347 SH DFND 0 0 137347 MONDELEZ INTL INC CL A 609207105 337 5754 SH DFND 0 0 5754 NETFLIX INC COM 64110L106 210 402 SH DFND 0 0 402 NEXTERA ENERGY INC COM 65339F101 917 12123 SH DFND 0 0 12123 NIKE INC CL B 654106103 269 2027 SH DFND 0 0 2027 NOMAD FOODS LTD USD ORD SHS G6564A105 394 14334 SH DFND 0 0 14334 NORFOLK SOUTHN CORP COM 655844108 339 1261 SH DFND 0 0 1261 NUVEEN MARYLAND QLT MUN INC COM 67061Q107 217 15310 SH DFND 0 0 15310 NVIDIA CORPORATION COM 67066G104 318 595 SH DFND 0 0 595 NXP SEMICONDUCTORS N V COM N6596X109 483 2400 SH DFND 0 0 2400 NYMOX PHARMACEUTICAL CORP COM P73398102 62 28000 SH DFND 0 0 28000 OAKTREE SPECIALTY LENDING CO COM 67401P108 723 116533 SH DFND 0 0 116533 ONEOK INC NEW COM 682680103 863 17033 SH DFND 0 0 17033 OTIS WORLDWIDE CORP COM 68902V107 547 7993 SH DFND 0 0 7993 PARK NATL CORP COM 700658107 223 1721 SH DFND 0 0 1721 PAYCHEX INC COM 704326107 249 2536 SH DFND 0 0 2536 PAYPAL HLDGS INC COM 70450Y103 22517 92723 SH DFND 0 0 92723 PEPSICO INC COM 713448108 1063 7516 SH DFND 0 0 7516 PFIZER INC COM 717081103 2062 56909 SH DFND 0 0 56909 PHILIP MORRIS INTL INC COM 718172109 587 6613 SH DFND 0 0 6613 PHILLIPS 66 COM 718546104 784 9612 SH DFND 0 0 9612 PNC FINL SVCS GROUP INC COM 693475105 642 3658 SH DFND 0 0 3658 PPG INDS INC COM 693506107 878 5840 SH DFND 0 0 5840 PRICE T ROWE GROUP INC COM 74144T108 1529 8911 SH DFND 0 0 8911 PROCTER AND GAMBLE CO COM 742718109 4050 29907 SH DFND 0 0 29907 QUALCOMM INC COM 747525103 10347 78037 SH DFND 0 0 78037 RAYTHEON TECHNOLOGIES CORP COM 75513E101 2728 35299 SH DFND 0 0 35299 REGENERON PHARMACEUTICALS COM 75886F107 676 1429 SH DFND 0 0 1429 ROPER TECHNOLOGIES INC COM 776696106 1911 4737 SH DFND 0 0 4737 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 603 16360 SH DFND 0 0 16360 S&P GLOBAL INC COM 78409V104 612 1733 SH DFND 0 0 1733 SALESFORCE COM INC COM 79466L302 2713 12806 SH DFND 0 0 12806 SALIENT MIDSTREAM & MLP FD SH BEN INT 79471V105 68 13242 SH DFND 0 0 13242 SBA COMMUNICATIONS CORP NEW CL A 78410G104 390 1406 SH DFND 0 0 1406 SCHWAB CHARLES CORP COM 808513105 9175 140764 SH DFND 0 0 140764 SEAGATE TECHNOLOGY PLC SHS G7945M107 207 2700 SH DFND 0 0 2700 SELECT SECTOR SPDR TR ENERGY 81369Y506 354 7225 SH DFND 0 0 7225 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 316 2706 SH DFND 0 0 2706 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 450 13212 SH DFND 0 0 13212 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 591 4451 SH DFND 0 0 4451 SHERWIN WILLIAMS CO COM 824348106 825 1118 SH DFND 0 0 1118 SHOPIFY INC CL A 82509L107 507 458 SH DFND 0 0 458 SPDR GOLD TR GOLD SHS 78463V107 727 4546 SH DFND 0 0 4546 SPDR S&P 500 ETF TR TR UNIT 78462F103 1793 4525 SH DFND 0 0 4525 SPDR SER TR PORTFOLIO SHORT 78464A474 872 27860 SH DFND 0 0 27860 SPDR SER TR S&P 600 SMCP VAL 78464A300 870 10607 SH DFND 0 0 10607 SPDR SER TR S&P DIVID ETF 78464A763 1842 15606 SH DFND 0 0 15606 STARBUCKS CORP COM 855244109 5118 46836 SH DFND 0 0 46836 STERICYCLE INC COM 858912108 448 6630 SH DFND 0 0 6630 STRYKER CORPORATION COM 863667101 1566 6430 SH DFND 0 0 6430 SYSCO CORP COM 871829107 2934 37261 SH DFND 0 0 37261 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 256 2163 SH DFND 0 0 2163 TARGET CORP COM 87612E106 224 1129 SH DFND 0 0 1129 TELEDYNE TECHNOLOGIES INC COM 879360105 238 575 SH DFND 0 0 575 TELEFLEX INCORPORATED COM 879369106 353 850 SH DFND 0 0 850 TESLA INC COM 88160R101 206 308 SH DFND 0 0 308 TEXAS INSTRS INC COM 882508104 445 2353 SH DFND 0 0 2353 THERMO FISHER SCIENTIFIC INC COM 883556102 333 730 SH DFND 0 0 730 TRANE TECHNOLOGIES PLC SHS G8994E103 538 3249 SH DFND 0 0 3249 TRUIST FINL CORP COM 89832Q109 593 10170 SH DFND 0 0 10170 TWITTER INC COM 90184L102 741 11638 SH DFND 0 0 11638 UNILEVER PLC SPON ADR NEW 904767704 358 6413 SH DFND 0 0 6413 UNION PAC CORP COM 907818108 1248 5660 SH DFND 0 0 5660 UNITED RENTALS INC COM 911363109 761 2311 SH DFND 0 0 2311 UNITEDHEALTH GROUP INC COM 91324P102 1886 5069 SH DFND 0 0 5069 VALERO ENERGY CORP COM 91913Y100 419 5850 SH DFND 0 0 5850 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 1757 54051 SH DFND 0 0 54051 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 439 5341 SH DFND 0 0 5341 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 352 4150 SH DFND 0 0 4150 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 762 5651 SH DFND 0 0 5651 VANGUARD INDEX FDS MID CAP ETF 922908629 593 2679 SH DFND 0 0 2679 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 202 2196 SH DFND 0 0 2196 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 997 2737 SH DFND 0 0 2737 VANGUARD INDEX FDS SM CP VAL ETF 922908611 338 2042 SH DFND 0 0 2042 VANGUARD INDEX FDS SMALL CP ETF 922908751 673 3143 SH DFND 0 0 3143 VANGUARD INDEX FDS SML CP GRW ETF 922908595 287 1045 SH DFND 0 0 1045 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 818 5561 SH DFND 0 0 5561 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 288 974 SH DFND 0 0 974 VENTAS INC COM 92276F100 332 6220 SH DFND 0 0 6220 VERIZON COMMUNICATIONS INC COM 92343V104 2081 35783 SH DFND 0 0 35783 VISA INC COM CL A 92826C839 9520 44962 SH DFND 0 0 44962 VOYA FINANCIAL INC COM 929089100 2532 39790 SH DFND 0 0 39790 WALMART INC COM 931142103 783 5764 SH DFND 0 0 5764 WASTE MGMT INC DEL COM 94106L109 375 2907 SH DFND 0 0 2907 WEC ENERGY GROUP INC COM 92939U106 225 2406 SH DFND 0 0 2406 WHEATON PRECIOUS METALS CORP COM 962879102 232 6080 SH DFND 0 0 6080 WILLIS TOWERS WATSON PLC LTD SHS G96629103 1256 5486 SH DFND 0 0 5486 WP CAREY INC COM 92936U109 665 9391 SH DFND 0 0 9391 YUM BRANDS INC COM 988498101 685 6331 SH DFND 0 0 6331 YUM CHINA HLDGS INC COM 98850P109 274 4631 SH DFND 0 0 4631 ZYNGA INC CL A 98986T108 357 34929 SH DFND 0 0 34929