0001085146-11-000749.txt : 20110715
0001085146-11-000749.hdr.sgml : 20110715
20110715073516
ACCESSION NUMBER: 0001085146-11-000749
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110630
FILED AS OF DATE: 20110715
DATE AS OF CHANGE: 20110715
EFFECTIVENESS DATE: 20110715
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: 11969073
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
hcb2q2011.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: 06/30/2011
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: 028-03624
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 July 14, 2011
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: 133
Form13F Information Table Value Total: $453,985 (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 6666 70279 SH SOLE 23160 0 47119
ABAXIS INC COM 002567105 1405 51570 SH SOLE 17750 0 33820
ABBOTT LABS COM 002824100 10299 195726 SH SOLE 56588 0 139138
ABERDEEN ASIA PACIFIC INCOM COM 003009107 1702 232142 SH SOLE 120300 0 111842
AKAMAI TECHNOLOGIES INC COM 00971T101 751 23875 SH SOLE 9010 0 14865
ANADARKO PETE CORP COM 032511107 214 2782 SH SOLE 0 2782
APPLE INC COM 037833100 842 2509 SH SOLE 907 0 1602
APTARGROUP INC COM 038336103 3540 67638 SH SOLE 23878 0 43760
AQUA AMERICA INC COM 03836W103 4124 187642 SH SOLE 51049 0 136593
ARROW FINL CORP COM 042744102 278 11359 SH SOLE 11359 0
AT&T INC COM 00206R102 4793 152584 SH SOLE 29537 0 123047
AVON PRODS INC COM 054303102 3298 117770 SH SOLE 39650 0 78120
BAKER HUGHES INC COM 057224107 281 3875 SH SOLE 348 0 3527
BANK OF AMERICA CORPORATION COM 060505104 111 10088 SH SOLE 3801 0 6287
BANK OF NEW YORK MELLON CORP COM 064058100 6233 243301 SH SOLE 74094 0 169207
BAXTER INTL INC COM 071813109 2127 35641 SH SOLE 11351 0 24290
BB&T CORP COM 054937107 2107 78516 SH SOLE 29598 0 48918
BECTON DICKINSON & CO COM 075887109 551 6400 SH SOLE 5600 0 800
BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 4860 62799 SH SOLE 16443 0 46356
CANADIAN NAT RES LTD COM 136385101 1846 44105 SH SOLE 12792 0 31313
CHEVRON CORP NEW COM 166764100 2362 22968 SH SOLE 13268 0 9700
CHURCH & DWIGHT INC COM 171340102 259 6400 SH SOLE 6000 0 400
CISCO SYS INC COM 17275R102 4001 256287 SH SOLE 70422 0 185865
CLARCOR INC COM 179895107 4321 91386 SH SOLE 33225 0 58161
CLOROX CO DEL COM 189054109 4203 62318 SH SOLE 23590 0 38728
COCA COLA CO COM 191216100 212 3150 SH SOLE 2150 0 1000
COLGATE PALMOLIVE CO COM 194162103 11176 127857 SH SOLE 40584 0 87273
COMCAST CORP NEW CL A 20030N101 3017 119062 SH SOLE 61451 0 57611
CONOCOPHILLIPS COM 20825C104 294 3906 SH SOLE 3608 0 298
CORNING INC COM 219350105 2808 154721 SH SOLE 53605 0 101116
COSTCO WHSL CORP NEW COM 22160K105 5268 64845 SH SOLE 17998 0 46847
COVANCE INC COM 222816100 1776 29919 SH SOLE 10189 0 19730
DANAHER CORP DEL COM 235851102 11825 223146 SH SOLE 52197 0 170949
DEVON ENERGY CORP NEW COM 25179m103 6191 78554 SH SOLE 21629 0 56925
DIGIMARC CORP NEW COM 25381B101 853 24350 SH SOLE 16650 0 7700
DISNEY WALT CO COM DISNEY 254687106 8608 220491 SH SOLE 68399 0 152092
DOLBY LABORATORIES INC COM 25659T107 1528 35990 SH SOLE 11790 0 24200
DOMINION RES INC VA NEW COM 25746U109 7880 163239 SH SOLE 54487 0 108752
DU PONT E I DE NEMOURS & CO COM 263534109 785 14523 SH SOLE 8040 0 6483
DUKE ENERGY CORP NEW COM 26441C105 2219 117855 SH SOLE 39386 0 78469
E M C CORP MASS COM 268648102 5150 186935 SH SOLE 58740 0 128195
ECOLAB INC COM 278865100 5921 105015 SH SOLE 32310 0 72705
EMERSON ELEC CO COM 291011104 8836 157081 SH SOLE 61352 0 95729
ENDO PHARMACEUTICALS HLDGS I COM 29264F205 1251 31140 SH SOLE 12575 0 18565
EXPEDITORS INTL WASH INC COM 302130109 1781 34800 SH SOLE 11250 0 23550
EXXON MOBIL CORP COM 30231G102 23499 288751 SH SOLE 119921 0 168830
FASTENAL CO COM 311900104 1643 45650 SH SOLE 14900 0 30750
FEDEX CORP COM 31428X106 644 6790 SH SOLE 2530 0 4260
FIRST NIAGARA FINL GP INC COM 33582V108 1531 115967 SH SOLE 32433 0 83534
FORD MTR CO DEL COM PAR $0.01 345370860 255 18476 SH SOLE 10956 0 7520
FORTUNE BRANDS INC COM 349631101 728 11419 SH SOLE 4700 0 6719
GENERAL ELECTRIC CO COM 369604103 1855 98378 SH SOLE 48808 0 49570
GENERAL MLS INC COM 370334104 1348 36206 SH SOLE 19028 0 17178
GENWORTH FINL INC COM CL A 37247D106 364 35365 SH SOLE 13710 0 21655
GOLDCORP INC NEW COM 380956409 8173 169326 SH SOLE 50152 0 119174
GOOGLE INC CL A 38259P508 342 675 SH SOLE 230 0 445
GREENHAVEN CONT CMDTY INDEX UNIT BEN INT 395258106 773 23080 SH SOLE 10800 0 12280
HAEMONETICS CORP COM 405024100 2966 46085 SH SOLE 14925 0 31160
HAIN CELESTIAL GROUP INC COM 405217100 2354 70555 SH SOLE 21130 0 49425
HEINZ H J CO COM 423074103 327 6133 SH SOLE 2200 0 3933
HELMERICH & PAYNE INC COM 423452101 3099 46870 SH SOLE 19075 0 27795
HEWLETT PACKARD CO COM 428236103 4725 129813 SH SOLE 40708 0 89105
HOME DEPOT INC COM 437076102 514 14195 SH SOLE 7314 0 6881
IDEX CORP COM 45167R104 279 6075 SH SOLE 6075 0
INTERNATIONAL BUSINESS MACHS COM 459200101 5170 30137 SH SOLE 13766 0 16371
IPASS INC COM 46261V108 369 243000 SH SOLE 191000 0 52000
ISHARES TR RUSSELL 1000 464287622 2584 34976 SH SOLE 13261 0 21715
ISHARES TR MSCI EAFE INDEX 464287465 10256 170528 SH SOLE 46555 0 123973
ISHARES TR RUSSELL 2000 464287655 16444 198598 SH SOLE 52798 0 145800
ISHARES TR RUSSELL MIDCAP 464287499 528 4826 SH SOLE 2273 0 2553
ISHARES TR S&P NA NAT RES 464287374 2885 66085 SH SOLE 17826 0 48259
ISHARES TR DJ US REAL EST 464287739 3225 53480 SH SOLE 15249 0 38231
ISHARES TR MSCI EMERG MKT 464287234 905 19016 SH SOLE 6940 0 12076
JOHNSON & JOHNSON COM 478160104 11154 167683 SH SOLE 71445 0 96238
JPMORGAN CHASE & CO COM 46625H100 1384 33805 SH SOLE 28480 0 5325
KRAFT FOODS INC CL A 50075N104 309 8778 SH SOLE 3018 0 5760
LABORATORY CORP AMER HLDGS COM NEW 50540R409 4776 49343 SH SOLE 13453 0 35890
LILLY ELI & CO COM 532457108 269 7166 SH SOLE 4400 0 2766
M & T BK CORP COM 55261F104 1927 21905 SH SOLE 17865 0 4040
MCCORMICK & CO INC COM NON VTG 579780206 246 4955 SH SOLE 1675 0 3280
MCDONALDS CORP COM 580135101 3423 40599 SH SOLE 10734 0 29865
MEDTRONIC INC COM 585055106 7596 197140 SH SOLE 62857 0 134283
MERCK & CO INC NEW COM 58933Y105 1905 53982 SH SOLE 18711 0 35271
MICROSOFT CORP COM 594918104 6328 243370 SH SOLE 82740 0 160630
MOTOROLA MOBILITY HLDGS INC COM 620097105 325 14735 SH SOLE 10526 0 4209
MOTOROLA SOLUTIONS INC COM NEW 620076307 420 9116 SH SOLE 5520 0 3596
NATIONAL FUEL GAS CO N J COM 636180101 1076 14783 SH SOLE 8148 0 6635
NEOGEN CORP COM 640491106 2627 58115 SH SOLE 18960 0 39155
NEXEN INC COM 65334H102 877 38975 SH SOLE 6975 0 32000
NORFOLK SOUTHERN CORP COM 655844108 2563 34202 SH SOLE 9572 0 24630
NOVARTIS A G SPONSORED ADR 66987V109 3753 61422 SH SOLE 20925 0 40497
NVIDIA CORP COM 67066G104 1074 67390 SH SOLE 22350 0 45040
OMNICOM GROUP INC COM 681919106 2574 53443 SH SOLE 12379 0 41064
PAYCHEX INC COM 704326107 6744 219543 SH SOLE 56286 0 163257
PEPSICO INC COM 713448108 16169 229576 SH SOLE 74582 0 154994
PFIZER INC COM 717081103 2697 130918 SH SOLE 73351 0 57567
PHILIP MORRIS INTL INC COM 718172109 741 11100 SH SOLE 4225 0 6875
PPG INDS INC COM 693506107 272 3000 SH SOLE 3000 0
PREFORMED LINE PRODS CO COM 740444104 356 5006 SH SOLE 2158 0 2848
PROCTER & GAMBLE CO COM 742718109 19610 308474 SH SOLE 81264 0 227210
PROGRESS ENERGY INC COM 743263105 223 4650 SH SOLE 0 4650
QEP RES INC COM 74733V100 2370 56657 SH SOLE 15510 0 41147
QUALCOMM INC COM 747525103 376 6628 SH SOLE 4328 0 2300
QUESTAR CORP COM 748356102 1526 86141 SH SOLE 21174 0 64967
SCHEIN HENRY INC COM 806407102 5313 74221 SH SOLE 14952 0 59269
SCHLUMBERGER LTD COM 806857108 9825 113711 SH SOLE 34349 0 79362
SELECT SECTOR SPDR TR SBI INT-TECH 81369Y803 273 10630 SH SOLE 8420 0 2210
SIGMA ALDRICH CORP COM 826552101 7121 97037 SH SOLE 26846 0 70191
SIRIUS XM RADIO INC COM 82967N108 28 12830 SH SOLE 100 0 12730
SONOCO PRODS CO COM 835495102 333 9380 SH SOLE 5000 0 4380
SOVRAN SELF STORAGE INC COM 84610H108 220 5375 SH SOLE 5375 0
SPDR GOLD TRUST GOLD SHS 78463V107 1318 9027 SH SOLE 3930 0 5097
SPECTRA ENERGY CORP COM 847560109 2692 98210 SH SOLE 31175 0 67035
STATE STR CORP COM 857477103 685 15200 SH SOLE 4925 0 10275
STERICYCLE INC COM 858912108 6937 77837 SH SOLE 18309 0 59528
STRYKER CORP COM 863667101 3687 62823 SH SOLE 20050 0 42773
SUNCOR ENERGY INC NEW COM 867224107 8938 228606 SH SOLE 69412 0 159194
SYMANTEC CORP COM 871503108 911 46200 SH SOLE 25325 0 20875
SYSCO CORP COM 871829107 4418 141678 SH SOLE 42085 0 99593
TARGET CORP COM 87612E106 741 15800 SH SOLE 3090 0 12710
TEVA PHARMACEUTICAL INDS LTD ADR 881624209 7335 152117 SH SOLE 40266 0 111851
TEXAS INSTRS INC COM 882508104 2016 61419 SH SOLE 20675 0 40744
TIME WARNER INC COM NEW 887317303 779 21420 SH SOLE 15140 0 6280
TRAVELERS COMPANIES INC COM 89417E109 5895 100976 SH SOLE 27368 0 73608
UNITED NAT FOODS INC COM 911163103 2116 49585 SH SOLE 14525 0 35060
VALSPAR CORP COM 920355104 1016 28187 SH SOLE 10350 0 17837
VANGUARD INDEX FDS STK MRK ETF 922908769 258 3775 SH SOLE 0 3775
VERIZON COMMUNICATIONS INC COM 92343V104 4120 110674 SH SOLE 30147 0 80527
WAL MART STORES INC COM 931142103 3504 65937 SH SOLE 33640 0 32297
WATERS CORP COM 941848103 4950 51704 SH SOLE 13291 0 38413
WELLS FARGO & CO NEW COM 949746101 2509 89426 SH SOLE 24984 0 64442
WEST PHARMACEUTICAL SVSC INC COM 955306105 1346 30755 SH SOLE 11325 0 19430
WOODWARD INC COM 980745103 2673 76665 SH SOLE 16450 0 60215