-----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, N8KqlFGFqePragQeuSaB+cuujA+PTlCPVL1wmFrXhpLJVzi+9FvwSaek1FR2kKxs TTEhHeSY3uG2Z/G1sy5Cvw== 0001085146-10-000031.txt : 20100125 0001085146-10-000031.hdr.sgml : 20100125 20100125172903 ACCESSION NUMBER: 0001085146-10-000031 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100125 DATE AS OF CHANGE: 20100125 EFFECTIVENESS DATE: 20100125 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: 10545526 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 hcb4q09.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: 12/31/09 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 January 21, 2009 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: 122 Form13F Information Table Value Total: $380,668 (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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579Y101 6981 84446 SH SOLE 24425 0 60021 ABAXIS INC COM 002567105 1225 47930 SH SOLE 13210 0 34720 ABBOTT LABS COM 002824100 7250 134278 SH SOLE 25495 0 108783 ALCON INC COM SHS H01301102 4248 25845 SH SOLE 8410 0 17435 APPLE INC COM 037833100 272 1290 SH SOLE 100 0 1190 APTARGROUP INC COM 038336103 2433 68080 SH SOLE 21385 0 46695 ARROW FINL CORP COM 042744102 276 11029 SH SOLE 11029 0 AT&T INC COM 00206R102 2175 77592 SH SOLE 18174 0 59418 AVON PRODS INC COM 054303102 2744 87100 SH SOLE 24425 0 62675 BANK OF AMERICA CORPORATION COM 060505104 200 13299 SH SOLE 3700 0 9599 BANK OF NEW YORK MELLON CORP COM 064058100 2411 86195 SH SOLE 26016 0 60179 BAXTER INTL INC COM 071813109 682 11615 SH SOLE 6226 0 5389 BB&T CORP COM 054937107 1698 66935 SH SOLE 22715 0 44220 BERKSHIRE HATHAWAY INC DEL CL B 084670207 4239 1290 SH SOLE 312 0 978 BP PLC SPONSORED ADR 055622104 5053 87169 SH SOLE 27309 0 59860 CANADIAN NAT RES LTD COM 136385101 1601 22250 SH SOLE 3620 0 18630 CHEVRON CORP NEW COM 166764100 1134 14731 SH SOLE 2678 0 12053 CHURCH & DWIGHT INC COM 171340102 206 3400 SH SOLE 3000 0 400 CISCO SYS INC COM 17275R102 5834 243695 SH SOLE 56258 0 187437 CITIGROUP INC COM 172967101 40 12152 SH SOLE 7466 0 4686 CLARCOR INC COM 179895107 3040 93716 SH SOLE 32825 0 60891 CLOROX CO DEL COM 189054109 4025 65981 SH SOLE 20430 0 45551 COLGATE PALMOLIVE CO COM 194162103 12027 146401 SH SOLE 36015 0 110386 COMCAST CORP NEW CL A 20030N101 2671 158397 SH SOLE 65953 0 92444 CONOCOPHILLIPS COM 20825C104 202 3948 SH SOLE 0 3948 CORNING INC COM 219350105 2966 153622 SH SOLE 41784 0 111838 COSTCO WHSL CORP NEW COM 22160K105 4247 71775 SH SOLE 18555 0 53220 COVANCE INC COM 222816100 1772 32464 SH SOLE 10869 0 21595 DANAHER CORP DEL COM 235851102 8947 118972 SH SOLE 23460 0 95512 DIGIMARC CORP NEW COM 25381B101 328 21850 SH SOLE 11650 0 10200 DISNEY WALT CO COM DISNEY 254687106 7745 240158 SH SOLE 63959 0 176199 DOMINION RES INC VA NEW COM 25746U109 7088 182123 SH SOLE 53823 0 128300 DU PONT E I DE NEMOURS & CO COM 263534109 524 15558 SH SOLE 5800 0 9758 DUKE ENERGY CORP NEW COM 26441C105 3251 188890 SH SOLE 43257 0 145633 E M C CORP MASS COM 268648102 2245 128532 SH SOLE 43765 0 84767 ECOLAB INC COM 278865100 4538 101795 SH SOLE 24940 0 76855 EMERSON ELEC CO COM 291011104 6234 146341 SH SOLE 29191 0 117150 ENDO PHARMACEUTICALS HLDGS I COM 29264F205 827 40340 SH SOLE 13275 0 27065 EXPEDITORS INTL WASH INC COM 302130109 340 9800 SH SOLE 3400 0 6400 EXXON MOBIL CORP COM 30231G102 14987 219785 SH SOLE 61156 0 158629 FASTENAL CO COM 311900104 807 19370 SH SOLE 6255 0 13115 FEDEX CORP COM 31428X106 793 9504 SH SOLE 3175 0 6329 FIRST NIAGARA FINL GP INC COM 33582V108 192 13778 SH SOLE 517 0 13261 FIRST SOUTH BANCORP INC VA COM 33646W100 107 10425 SH SOLE 3000 0 7425 FORD MTR CO DEL COM PAR $0.01 345370860 199 19900 SH SOLE 11000 0 8900 FORTUNE BRANDS INC COM 349631101 1581 36591 SH SOLE 12622 0 23969 GENERAL ELECTRIC CO COM 369604103 3569 235895 SH SOLE 53895 0 182000 GENERAL MLS INC COM 370334104 1089 15380 SH SOLE 3015 0 12365 GENWORTH FINL INC COM CL A 37247D106 3356 295725 SH SOLE 97130 0 198595 GOLDCORP INC NEW COM 380956409 7587 192867 SH SOLE 45866 0 147001 GREENHAVEN CONT CMDTY INDEX UNIT BEN INT 395258106 884 33575 SH SOLE 5250 0 28325 HAIN CELESTIAL GROUP INC COM 405217100 3376 198460 SH SOLE 49127 0 149333 HEINZ H J CO COM 423074103 283 6608 SH SOLE 2200 0 4408 HELMERICH & PAYNE INC COM 423452101 2590 64945 SH SOLE 25570 0 39375 HEWLETT PACKARD CO COM 428236103 2872 55760 SH SOLE 14963 0 40797 HOME DEPOT INC COM 437076102 761 26297 SH SOLE 10579 0 15718 HOSPIRA INC COM 441060100 260 5100 SH SOLE 2650 0 2450 INTERNATIONAL BUSINESS MACHS COM 459200101 3836 29305 SH SOLE 9931 0 19374 IPASS INC COM 46261V108 64 61600 SH SOLE 34100 0 27500 ISHARES TR INDEX MSCI EAFE IDX 464287465 9072 164114 SH SOLE 38050 0 126064 ISHARES TR INDEX RUSSELL 2000 464287655 11600 185778 SH SOLE 40846 0 144932 ISHARES TR INDEX RUSSELL MIDCAP 464287499 448 5434 SH SOLE 2329 0 3105 ISHARES TR INDEX S&P NA NAT RES 464287374 2489 72555 SH SOLE 18070 0 54485 ISHARES TR INDEX MSCI EMERG MKT 464287234 634 15289 SH SOLE 5058 0 10231 ISHARES TR INDEX RUSSELL 1000 464287622 1608 26228 SH SOLE 8498 0 17730 ISHARES TR INDEX DJ US REAL EST 464287739 2238 48738 SH SOLE 10835 0 37903 JOHNSON & JOHNSON COM 478160104 10915 169467 SH SOLE 44455 0 125012 KRAFT FOODS INC CL A 50075N104 282 10388 SH SOLE 3068 0 7320 LABORATORY CORP AMER HLDGS COM NEW 50540R409 5241 70035 SH SOLE 13980 0 56055 LINEAR TECHNOLOGY CORP COM 535678106 389 12735 SH SOLE 3930 0 8805 M & T BK CORP COM 55261F104 1270 18982 SH SOLE 12246 0 6736 MCDONALDS CORP COM 580135101 3986 63841 SH SOLE 13535 0 50306 MCGRAW HILL COS INC COM 580645109 1795 53580 SH SOLE 16625 0 36955 MEDTRONIC INC COM 585055106 8306 188864 SH SOLE 47521 0 141344 MERCK & CO INC NEW COM 58933Y105 2279 62383 SH SOLE 19493 0 42890 MICROSOFT CORP COM 594918104 7096 232740 SH SOLE 61455 0 171285 MOLEX INC CL A 608554200 588 30763 SH SOLE 9804 0 20959 MOLEX INC COM 608554101 792 36742 SH SOLE 12747 0 23995 MOTOROLA INC COM 620076109 1251 161175 SH SOLE 90625 0 70550 NATIONAL FUEL GAS CO N J COM 636180101 774 15476 SH SOLE 2666 0 12810 NEXEN INC COM 65334H102 1299 54300 SH SOLE 7275 0 47025 NOKIA CORP SPONSORED ADR 654902204 1657 128973 SH SOLE 31334 0 97639 NORFOLK SOUTHERN CORP COM 655844108 286 5459 SH SOLE 824 0 4635 OMNICOM GROUP INC COM 681919106 2569 65611 SH SOLE 12081 0 53530 ORACLE CORP COM 68389X105 481 19615 SH SOLE 7910 0 11705 PAYCHEX INC COM 704326107 5737 187229 SH SOLE 38991 0 148238 PEPSICO INC COM 713448108 13354 219639 SH SOLE 50827 0 168812 PFIZER INC COM 717081103 3893 214000 SH SOLE 88096 0 125904 PHILIP MORRIS INTL INC COM 718172109 604 12540 SH SOLE 4145 0 8395 PREFORMED LINE PRODS CO COM 740444104 226 5154 SH SOLE 1958 0 3196 PROCTER & GAMBLE CO COM 742718109 18751 309274 SH SOLE 70457 0 238817 QUALCOMM INC COM 747525103 321 6932 SH SOLE 4532 0 2400 QUESTAR CORP COM 748356102 3310 79620 SH SOLE 17460 0 62160 SCHEIN HENRY INC COM 806407102 4429 84208 SH SOLE 14170 0 70038 SCHLUMBERGER LTD COM 806857108 8394 128960 SH SOLE 30407 0 98553 SELECT SECTOR SPDR TR SBI INT-TECH 81369Y803 330 14410 SH SOLE 11305 0 3105 SIGMA ALDRICH CORP COM 826552101 5282 104528 SH SOLE 24830 0 79698 SONOCO PRODS CO COM 835495102 327 11191 SH SOLE 5000 0 6191 SOVRAN SELF STORAGE INC COM 84610H108 213 5975 SH SOLE 5975 0 SPDR GOLD TRUST GOLD SHS 78463V107 1126 10497 SH SOLE 4440 0 6057 SPECTRA ENERGY CORP COM 847560109 1659 80900 SH SOLE 17140 0 63760 STATE STR CORP COM 857477103 3364 77270 SH SOLE 13358 0 63912 STERICYCLE INC COM 858912108 4881 88480 SH SOLE 19295 0 69185 STRYKER CORP COM 863667101 3114 61827 SH SOLE 18845 0 42982 SUNCOR ENERGY INC NEW COM 867224107 7120 201654 SH SOLE 45325 0 156329 SYMANTEC CORP COM 871503108 839 46925 SH SOLE 19100 0 27825 SYSCO CORP COM 871829107 5590 200081 SH SOLE 55093 0 144989 TARGET CORP COM 87612E106 874 18071 SH SOLE 2875 0 15196 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 6402 113962 SH SOLE 21240 0 92722 TEXAS INSTRS INC COM 882508104 2044 78449 SH SOLE 23850 0 54599 TRAVELERS COMPANIES INC COM 89417E109 4899 98247 SH SOLE 18972 0 79275 UNITED NAT FOODS INC COM 911163103 2715 101520 SH SOLE 26625 0 74895 VALSPAR CORP COM 920355104 813 29940 SH SOLE 10815 0 19125 VERISIGN INC COM 92343E102 356 14685 SH SOLE 3700 0 10985 VERIZON COMMUNICATIONS INC COM 92343V104 3428 103476 SH SOLE 29019 0 74457 WAL MART STORES INC COM 931142103 2640 49388 SH SOLE 19150 0 30238 WALGREEN CO COM 931422109 1590 43295 SH SOLE 9100 0 34195 WATERS CORP COM 941848103 4553 73489 SH SOLE 14396 0 59093 WELLS FARGO & CO NEW COM 949746101 1272 47120 SH SOLE 10303 0 36817 WESTERN UN CO COM 959802109 846 44880 SH SOLE 15075 0 29805 WOODWARD GOVERNOR CO COM 980745103 624 24230 SH SOLE 6880 0 17350 XTO ENERGY INC COM 98385X106 2491 53528 SH SOLE 8655 0 44873
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