-----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, Hv99S7z7T1Wh3cTqe59bwHgH7l1qBuVnMLHZFs+o7+6bIZCqWFjve6iHKhvOq7+h SUHAb4C0klarRf+VtRuF1Q== 0001085146-08-001509.txt : 20081110 0001085146-08-001509.hdr.sgml : 20081110 20081110072248 ACCESSION NUMBER: 0001085146-08-001509 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081110 DATE AS OF CHANGE: 20081110 EFFECTIVENESS DATE: 20081110 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HAROLD C BROWN & CO LLC CENTRAL INDEX KEY: 0000898433 IRS NUMBER: 161445544 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03624 FILM NUMBER: 081173406 BUSINESS ADDRESS: STREET 1: ONE HSBC CENTER STREET 2: STE 3800 CITY: BUFFALO STATE: NY ZIP: 14203 BUSINESS PHONE: 7168542500 MAIL ADDRESS: STREET 1: ONE HSBC CENTER STREET 2: STE 3800 CITY: BUFFALO STATE: NY ZIP: 14203-2898 FORMER COMPANY: FORMER CONFORMED NAME: HAROLD C BROWN & CO INC DATE OF NAME CHANGE: 19990430 13F-HR 1 hcb3q08.txt HAROLD C BROWN & CO UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 09/30/2008 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: Harold C. Brown & Co., LLC Address: One HSBC Center Suite 3800 Buffalo, New York 14203 13F File Number: 28-03624 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: Barbara L. Klucik Title: Chief Compliance Officer Phone: 716-854-2500 Signature, Place, and Date of Signing: Barbara L. Klucik Buffalo, NY/USA November 06, 2008 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 143 Form13F Information Table Value Total: $430,176 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ABAXIS INC COM 002567105 1175 59620 SH SOLE 11750 0 47870 ABBOTT LABS COM 002824100 5660 98293 SH SOLE 15062 0 83231 ALCON INC COM SHS H01301102 4298 26610 SH SOLE 7900 0 18710 ANHEUSER BUSCH COS INC COM 035229103 6175 95180 SH SOLE 25165 0 70015 APTARGROUP INC COM 038336103 3028 77425 SH SOLE 23550 0 53875 ARROW FINL CORP COM 042744102 377 12808 SH SOLE 0 12808 ASTRAZENECA PLC SPONSORED ADR 046353108 285 6500 SH SOLE 0 6500 AT&T INC COM 00206R102 2583 92508 SH SOLE 19470 0 73038 AVON PRODS INC COM 054303102 2034 48925 SH SOLE 17650 0 31275 BAKER HUGHES INC COM 057224107 397 6558 SH SOLE 996 0 5562 BANK OF AMERICA CORPORATION COM 060505104 808 23095 SH SOLE 8274 0 14821 BANK OF NEW YORK MELLON CORP COM 064058100 1906 58507 SH SOLE 6901 0 51606 BAXTER INTL INC COM 071813109 1282 19540 SH SOLE 6426 0 13114 BB&T CORP COM 054937107 2761 73031 SH SOLE 29675 0 43356 BERKSHIRE HATHAWAY INC DEL CL B 084670207 3041 692 SH SOLE 222 0 470 BP PLC SPONSORED ADR 055622104 4619 92067 SH SOLE 23974 0 68093 BRISTOL MYERS SQUIBB CO COM 110122108 285 13656 SH SOLE 400 0 13256 CANADIAN NAT RES LTD COM 136385101 1587 23185 SH SOLE 2685 0 20500 CARDINAL HEALTH INC COM 14149Y108 400 8112 SH SOLE 0 8112 CHEVRON CORP NEW COM 166764100 1440 17456 SH SOLE 2502 0 14954 CHURCH & DWIGHT INC COM 171340102 584 9400 SH SOLE 3000 0 6400 CISCO SYS INC COM 17275R102 4607 204213 SH SOLE 43761 0 160452 CITIGROUP INC COM 172967101 964 47008 SH SOLE 14016 0 32992 CLARCOR INC COM 179895107 3631 95666 SH SOLE 27150 0 68516 CLOROX CO DEL COM 189054109 3990 63651 SH SOLE 19130 0 44521 COLGATE PALMOLIVE CO COM 194162103 14169 188044 SH SOLE 32997 0 155047 COMCAST CORP NEW CL A 20030N101 3081 156953 SH SOLE 56723 0 100230 COMFORT SYS USA INC COM 199908104 171 12800 SH SOLE 0 12800 COMPUTER SCIENCES CORP COM 205363104 484 12045 SH SOLE 2600 0 9445 CONOCOPHILLIPS COM 20825C104 363 4950 SH SOLE 0 4950 CONSTELLATION BRANDS INC CL A 21036P108 1989 92685 SH SOLE 12335 0 80350 CORNING INC COM 219350105 3181 203399 SH SOLE 52283 0 151116 COSTCO WHSL CORP NEW COM 22160K105 4234 65203 SH SOLE 15433 0 49770 COVANCE INC COM 222816100 2801 31684 SH SOLE 10224 0 21460 DANAHER CORP DEL COM 235851102 7593 109410 SH SOLE 18092 0 91318 DISNEY WALT CO COM DISNEY 254687106 7230 235593 SH SOLE 55286 0 180307 DOMINION RES INC VA NEW COM 25746U109 5209 121770 SH SOLE 35500 0 86270 DU PONT E I DE NEMOURS & CO COM 263534109 788 19543 SH SOLE 6900 0 12643 DUKE ENERGY CORP NEW COM 26441C105 3466 198871 SH SOLE 43503 0 155368 E M C CORP MASS COM 268648102 2159 180524 SH SOLE 53741 0 126783 ECOLAB INC COM 278865100 5237 107935 SH SOLE 26250 0 81685 EMERSON ELEC CO COM 291011104 4604 112865 SH SOLE 16687 0 96178 ENDO PHARMACEUTICALS HLDGS I COM 29264F205 1225 61236 SH SOLE 16046 0 45190 EXXON MOBIL CORP COM 30231G102 17983 231560 SH SOLE 44940 0 186620 FEDEX CORP COM 31428X106 931 11779 SH SOLE 3175 0 8604 FIRST NIAGARA FINL GP INC COM 33582V108 215 13678 SH SOLE 517 0 13161 FORTUNE BRANDS INC COM 349631101 2545 44367 SH SOLE 11423 0 32944 GENERAL ELECTRIC CO COM 369604103 10553 413862 SH SOLE 92704 0 321158 GENERAL MLS INC COM 370334104 4848 70547 SH SOLE 17155 0 53392 GENWORTH FINL INC COM CL A 37247D106 2670 310055 SH SOLE 92850 0 217205 GOLDCORP INC NEW COM 380956409 5436 171863 SH SOLE 39666 0 132197 HAIN CELESTIAL GROUP INC COM 405217100 3186 115730 SH SOLE 26684 0 89046 HANSEN NAT CORP COM 411310105 217 7175 SH SOLE 2400 0 4775 HEINZ H J CO COM 423074103 332 6635 SH SOLE 0 6635 HELMERICH & PAYNE INC COM 423452101 2870 66460 SH SOLE 25725 0 40735 HEWLETT PACKARD CO COM 428236103 2506 54188 SH SOLE 11473 0 42715 HOME DEPOT INC COM 437076102 2694 104038 SH SOLE 30671 0 73367 HOSPIRA INC COM 441060100 1577 41276 SH SOLE 10000 0 31276 HSBC HLDGS PLC SPON ADR NEW 404280406 1095 13550 SH SOLE 13500 0 50 ILLINOIS TOOL WKS INC COM 452308109 951 21391 SH SOLE 4495 0 16896 INTEL CORP COM 458140100 191 10187 SH SOLE 4575 0 5612 INTERNATIONAL BUSINESS MACHS COM 459200101 3130 26764 SH SOLE 7399 0 19365 IPASS INC COM 46261V108 51 23500 SH SOLE 0 23500 ISHARES TR MSCI EMERG MKT 464287234 585 17129 SH SOLE 6589 0 10540 ISHARES TR 1-3 YR TRS BD 464287457 474 5675 SH SOLE 2200 0 3475 ISHARES TR MSCI EAFE IDX 464287465 7701 136779 SH SOLE 24674 0 112105 ISHARES TR NASDQ BIO INDX 464287556 213 2615 SH SOLE 340 0 2275 ISHARES TR RUSSELL 2000 464287655 10186 149797 SH SOLE 26170 0 123627 ISHARES TR RUSSELL MIDCAP 464287499 463 5634 SH SOLE 1714 0 3920 ISHARES TR RUSSELL 1000 464287622 1236 19443 SH SOLE 5203 0 14240 ISHARES TR DJ US REAL EST 464287739 1942 31354 SH SOLE 4455 0 26899 ISHARES TR US TIPS BD FD 464287176 330 3260 SH SOLE 1600 0 1660 ISHARES TR S&P NA NAT RES 464287374 2193 60968 SH SOLE 9698 0 51270 JDS UNIPHASE CORP COM PAR $0.001 46612j507 204 24090 SH SOLE 5318 0 18772 JOHNSON & JOHNSON COM 478160104 12805 184826 SH SOLE 42470 0 142356 KIMBERLY CLARK CORP COM 494368103 218 3359 SH SOLE 1075 0 2284 KRAFT FOODS INC CL A 50075N104 262 8015 SH SOLE 300 0 7715 LABORATORY CORP AMER HLDGS COM NEW 50540R409 4488 64570 SH SOLE 10750 0 53820 LINEAR TECHNOLOGY CORP COM 535678106 431 14065 SH SOLE 3855 0 10210 M & T BK CORP COM 55261F104 2637 29542 SH SOLE 15731 0 13811 MCCORMICK & CO INC COM NON VTG 579780206 205 5330 SH SOLE 1805 0 3525 MCDONALDS CORP COM 580135101 3976 64443 SH SOLE 9640 0 54803 MCGRAW HILL COS INC COM 580645109 3891 123085 SH SOLE 29060 0 94025 MEDTRONIC INC COM 585055106 9687 193348 SH SOLE 41927 0 151421 MERCK & CO INC COM 589331107 3093 97999 SH SOLE 16660 0 81339 MET PRO CORP COM 590876306 166 11352 SH SOLE 6438 0 4914 MICROSOFT CORP COM 594918104 6768 253576 SH SOLE 58215 0 195361 MOLEX INC COM 608554101 1113 49593 SH SOLE 13315 0 36278 MOLEX INC CL A 608554200 3153 151505 SH SOLE 33580 0 117925 MOTOROLA INC COM 620076109 1231 172404 SH SOLE 71540 0 100864 NATIONAL FUEL GAS CO N J COM 636180101 709 16801 SH SOLE 2916 0 13885 NEXEN INC COM 65334H102 1101 47400 SH SOLE 7000 0 40400 NOKIA CORP SPONSORED ADR 654902204 3158 169342 SH SOLE 37589 0 131753 NOVARTIS A G SPONSORED ADR 66987V109 473 8955 SH SOLE 750 0 8205 OMNICOM GROUP INC COM 681919106 3479 90227 SH SOLE 15136 0 75091 ORACLE CORP COM 68389X105 702 34540 SH SOLE 8385 0 26155 PAYCHEX INC COM 704326107 4756 143984 SH SOLE 24991 0 118993 PEAPACK-GLADSTONE FINL CORP COM 704699107 392 11705 SH SOLE 11705 0 PEPSICO INC COM 713448108 14561 204303 SH SOLE 43082 0 161221 PETRO-CDA COM 71644E102 3322 99607 SH SOLE 17542 0 82065 PFIZER INC COM 717081103 4483 243113 SH SOLE 83345 0 159768 PHILIP MORRIS INTL INC COM 718172109 436 9070 SH SOLE 0 9070 PREFORMED LINE PRODS CO COM 740444104 359 6154 SH SOLE 2958 0 3196 PROCTER & GAMBLE CO COM 742718109 20487 293978 SH SOLE 34180 0 259798 QUALCOMM INC COM 747525103 236 5500 SH SOLE 1250 0 4250 QUESTAR CORP COM 748356102 3422 83635 SH SOLE 13990 0 69645 RESEARCH FRONTIERS INC COM 760911107 163 39466 SH SOLE 39088 0 378 SCHEIN HENRY INC COM 806407102 4696 87215 SH SOLE 12845 0 74370 SCHERING PLOUGH CORP COM 806605101 713 38614 SH SOLE 12400 0 26214 SCHLUMBERGER LTD COM 806857108 9992 127959 SH SOLE 27363 0 100596 SCHWAB CHARLES CORP NEW COM 808513105 229 8800 SH SOLE 6100 0 2700 SEALED AIR CORP NEW COM 81211K100 408 18560 SH SOLE 3500 0 15060 SELECT SECTOR SPDR TR SBI INT-TECH 81369Y803 308 15505 SH SOLE 9050 0 6455 SIGMA ALDRICH CORP COM 826552101 7066 134800 SH SOLE 30487 0 104313 SONOCO PRODS CO COM 835495102 538 18133 SH SOLE 5000 0 13133 SPDR GOLD TRUST GOLD SHS 78463V107 1131 13292 SH SOLE 4760 0 8532 SPECTRA ENERGY CORP COM 847560109 1201 50471 SH SOLE 10905 0 39566 STATE STR CORP COM 857477103 5963 104838 SH SOLE 19025 0 85813 STERICYCLE INC COM 858912108 4389 74510 SH SOLE 12655 0 61855 STRYKER CORP COM 863667101 3882 62315 SH SOLE 19335 0 42980 SUNCOR ENERGY INC COM 867229106 2491 59110 SH SOLE 15280 0 43830 SUNOPTA INC COM 8676EP108 424 68750 SH SOLE 7100 0 61650 SYMANTEC CORP COM 871503108 705 36011 SH SOLE 14700 0 21311 SYSCO CORP COM 871829107 7384 239517 SH SOLE 53958 0 185559 TARGET CORP COM 87612E106 3905 79611 SH SOLE 17270 0 62341 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 3500 76445 SH SOLE 13413 0 63032 TEXAS INSTRS INC COM 882508104 3125 145338 SH SOLE 33978 0 111360 TOMPKINS FINANCIAL CORPORATI COM 890110109 348 6887 SH SOLE 0 6887 TOTAL S A SPONSORED ADR 89151E109 249 4100 SH SOLE 850 0 3250 TRAVELERS COMPANIES INC COM 89417E109 5173 114438 SH SOLE 18727 0 95711 UNITED NAT FOODS INC COM 911163103 5648 225995 SH SOLE 44282 0 181713 UNITED TECHNOLOGIES CORP COM 913017109 317 5282 SH SOLE 100 0 5182 VALSPAR CORP COM 920355104 1245 55850 SH SOLE 15915 0 39935 VERISIGN INC COM 92343E102 339 12985 SH SOLE 1700 0 11285 VERIZON COMMUNICATIONS INC COM 92343V104 2415 75256 SH SOLE 18130 0 57126 WACHOVIA CORP NEW COM 929903102 41 11589 SH SOLE 2600 0 8989 WAL MART STORES INC COM 931142103 2861 47770 SH SOLE 17800 0 29970 WALGREEN CO COM 931422109 2574 83135 SH SOLE 24405 0 58730 WATERS CORP COM 941848103 3716 63872 SH SOLE 11439 0 52433 WELLS FARGO & CO NEW COM 949746101 4721 125804 SH SOLE 23414 0 102390 WESTERN UN CO COM 959802109 1688 68440 SH SOLE 22425 0 46015 WOODWARD GOVERNOR CO COM 980745103 3174 89985 SH SOLE 4880 0 85105 XTO ENERGY INC COM 98385x106 1845 39667 SH SOLE 5245 0 34422
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