0001085146-11-001048.txt : 20111027 0001085146-11-001048.hdr.sgml : 20111027 20111026175939 ACCESSION NUMBER: 0001085146-11-001048 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111027 DATE AS OF CHANGE: 20111026 EFFECTIVENESS DATE: 20111027 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: 111159829 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 hcbrown3q2011.txt HAROLD C. BROWN & CO., LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 09/30/2011 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: 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 October 24, 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: 129 Form13F Information Table Value Total: $392,191 (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 5012 69809 SH SOLE 23135 0 46674 ABAXIS INC COM 002567105 1195 52145 SH SOLE 17450 0 34695 ABBOTT LABS COM 002824100 10174 198936 SH SOLE 56113 0 142823 ABERDEEN ASIA PACIFIC INCOM COM 003009107 1715 248877 SH SOLE 131950 0 116927 AKAMAI TECHNOLOGIES INC COM 00971T101 502 25250 SH SOLE 9385 0 15865 APPLE INC COM 037833100 1126 2954 SH SOLE 1162 0 1792 APTARGROUP INC COM 038336103 3082 68998 SH SOLE 24078 0 44920 AQUA AMERICA INC COM 03836W103 4104 190284 SH SOLE 51716 0 138568 ARROW FINL CORP COM 042744102 260 11699 SH SOLE 11699 0 AT&T INC COM 00206R102 4330 151826 SH SOLE 29049 0 122777 AVON PRODS INC COM 054303102 2346 119695 SH SOLE 41775 0 77920 BANK OF AMERICA CORPORATION COM 060505104 62 10088 SH SOLE 3801 0 6287 BANK OF NEW YORK MELLON CORP COM 064058100 4622 248613 SH SOLE 73871 0 174742 BAXTER INTL INC COM 071813109 2013 35856 SH SOLE 11351 0 24505 BB&T CORP COM 054937107 1518 71148 SH SOLE 28990 0 42158 BECTON DICKINSON & CO COM 075887109 469 6400 SH SOLE 5600 0 800 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 4429 62339 SH SOLE 16058 0 46281 CANADIAN NAT RES LTD COM 136385101 1273 43505 SH SOLE 12792 0 30713 CHEVRON CORP NEW COM 166764100 2018 21794 SH SOLE 13268 0 8526 CHURCH & DWIGHT INC COM 171340102 283 6400 SH SOLE 6000 0 400 CISCO SYS INC COM 17275R102 3818 246465 SH SOLE 62910 0 183555 CLARCOR INC COM 179895107 3830 92561 SH SOLE 33440 0 59121 CLOROX CO DEL COM 189054109 4037 60868 SH SOLE 22990 0 37878 COCA COLA CO COM 191216100 341 5050 SH SOLE 2800 0 2250 COLGATE PALMOLIVE CO COM 194162103 11167 125930 SH SOLE 39992 0 85938 COMCAST CORP NEW CL A 20030N101 2489 119070 SH SOLE 62126 0 56944 CONOCOPHILLIPS COM 20825C104 250 3954 SH SOLE 3608 0 346 CORNING INC COM 219350105 1890 152901 SH SOLE 51355 0 101546 COSTCO WHSL CORP NEW COM 22160K105 5231 63705 SH SOLE 17733 0 45972 COVANCE INC COM 222816100 1360 29919 SH SOLE 10189 0 19730 DANAHER CORP DEL COM 235851102 9654 230184 SH SOLE 53485 0 176699 DEVON ENERGY CORP NEW COM 25179m103 4626 83434 SH SOLE 23919 0 59515 DIGIMARC CORP NEW COM 25381B101 511 20150 SH SOLE 13650 0 6500 DISNEY WALT CO COM DISNEY 254687106 6699 222106 SH SOLE 67624 0 154482 DOLBY LABORATORIES INC COM 25659T107 1135 41365 SH SOLE 14990 0 26375 DOMINION RES INC VA NEW COM 25746U109 8221 161924 SH SOLE 53937 0 107987 DU PONT E I DE NEMOURS & CO COM 263534109 563 14083 SH SOLE 7940 0 6143 DUKE ENERGY CORP NEW COM 26441C105 2333 116731 SH SOLE 39486 0 77245 E M C CORP MASS COM 268648102 4448 211910 SH SOLE 70990 0 140920 ECOLAB INC COM 278865100 5418 110825 SH SOLE 33885 0 76940 EMERSON ELEC CO COM 291011104 6653 161043 SH SOLE 62294 0 98749 ENDO PHARMACEUTICALS HLDGS I COM 29264F205 872 31140 SH SOLE 12575 0 18565 EXPEDITORS INTL WASH INC COM 302130109 1455 35875 SH SOLE 11725 0 24150 EXXON MOBIL CORP COM 30231G102 20930 288170 SH SOLE 117231 0 170939 FASTENAL CO COM 311900104 1519 45650 SH SOLE 14900 0 30750 FEDEX CORP COM 31428X106 419 6190 SH SOLE 2160 0 4030 FIRST NIAGARA FINL GP INC COM 33582V108 1547 169024 SH SOLE 46315 0 122709 FORD MTR CO DEL COM PAR $0.01 345370860 180 18576 SH SOLE 11256 0 7320 FORTUNE BRANDS INC COM 349631101 589 10889 SH SOLE 4700 0 6189 GENERAL ELECTRIC CO COM 369604103 1471 96630 SH SOLE 45375 0 51255 GENERAL MLS INC COM 370334104 1390 36126 SH SOLE 19028 0 17098 GENWORTH FINL INC COM CL A 37247D106 193 33615 SH SOLE 13210 0 20405 GOLDCORP INC NEW COM 380956409 7774 170334 SH SOLE 49570 0 120764 GOOGLE INC CL A 38259P508 350 681 SH SOLE 236 0 445 GREENHAVEN CONT CMDTY INDEX UNIT BEN INT 395258106 707 23305 SH SOLE 10800 0 12505 HAEMONETICS CORP COM 405024100 2739 46840 SH SOLE 15065 0 31775 HAIN CELESTIAL GROUP INC COM 405217100 2138 69980 SH SOLE 21580 0 48400 HEINZ H J CO COM 423074103 272 5383 SH SOLE 2200 0 3183 HELMERICH & PAYNE INC COM 423452101 1934 47625 SH SOLE 19175 0 28450 HEWLETT PACKARD CO COM 428236103 3089 137598 SH SOLE 43433 0 94165 HOME DEPOT INC COM 437076102 393 11945 SH SOLE 5764 0 6181 INTERNATIONAL BUSINESS MACHS COM 459200101 5137 29377 SH SOLE 13056 0 16321 IPASS INC COM 46261V108 391 313000 SH SOLE 246000 0 67000 ISHARES TR MSCI EAFE INDEX 464287465 8339 174528 SH SOLE 46400 0 128128 ISHARES TR RUSSELL 2000 464287655 13113 203929 SH SOLE 53174 0 150755 ISHARES TR RUSSELL MIDCAP 464287499 499 5656 SH SOLE 2118 0 3538 ISHARES TR S&P NA NAT RES 464287374 2237 66864 SH SOLE 16940 0 49924 ISHARES TR MSCI EMERG MKT 464287234 611 17406 SH SOLE 6090 0 11316 ISHARES TR DJ US REAL EST 464287739 2734 54073 SH SOLE 15349 0 38724 ISHARES TR RUSSELL 1000 464287622 3016 48219 SH SOLE 14119 0 34100 JOHNSON & JOHNSON COM 478160104 10635 166988 SH SOLE 72035 0 94953 JPMORGAN CHASE & CO COM 46625H100 970 32205 SH SOLE 27680 0 4525 KRAFT FOODS INC CL A 50075N104 295 8778 SH SOLE 3018 0 5760 LABORATORY CORP AMER HLDGS COM NEW 50540R409 3892 49236 SH SOLE 13328 0 35908 LILLY ELI & CO COM 532457108 265 7166 SH SOLE 4400 0 2766 M & T BK CORP COM 55261F104 1538 22010 SH SOLE 17995 0 4015 MCCORMICK & CO INC COM NON VTG 579780206 227 4915 SH SOLE 1675 0 3240 MCDONALDS CORP COM 580135101 3474 39562 SH SOLE 10102 0 29460 MEDTRONIC INC COM 585055106 6735 202610 SH SOLE 65977 0 136633 MERCK & CO INC NEW COM 58933Y105 1757 53732 SH SOLE 18636 0 35096 MICROSOFT CORP COM 594918104 6231 250327 SH SOLE 84590 0 165737 MOTOROLA MOBILITY HLDGS INC COM 620097105 327 8665 SH SOLE 5590 0 3075 MOTOROLA SOLUTIONS INC COM NEW 620076307 350 8352 SH SOLE 5254 0 3098 NATIONAL FUEL GAS CO N J COM 636180101 722 14833 SH SOLE 8198 0 6635 NEOGEN CORP COM 640491106 2242 64565 SH SOLE 21710 0 42855 NEXEN INC COM 65334H102 592 38225 SH SOLE 6175 0 32050 NORFOLK SOUTHERN CORP COM 655844108 2150 35227 SH SOLE 9517 0 25710 NOVARTIS A G SPONSORED ADR 66987V109 3464 62121 SH SOLE 20883 0 41238 NVIDIA CORP COM 67066G104 942 75365 SH SOLE 29400 0 45965 OMNICOM GROUP INC COM 681919106 1949 52918 SH SOLE 11679 0 41239 PAYCHEX INC COM 704326107 5829 221042 SH SOLE 56170 0 164872 PEPSICO INC COM 713448108 14212 229596 SH SOLE 73982 0 155614 PFIZER INC COM 717081103 2270 128369 SH SOLE 73166 0 55203 PHILIP MORRIS INTL INC COM 718172109 697 11175 SH SOLE 4225 0 6950 PPG INDS INC COM 693506107 212 3000 SH SOLE 3000 0 PREFORMED LINE PRODS CO COM 740444104 229 5006 SH SOLE 2158 0 2848 PROCTER & GAMBLE CO COM 742718109 19751 312614 SH SOLE 86924 0 225690 PROGRESS ENERGY INC COM 743263105 212 4090 SH SOLE 0 4090 QEP RES INC COM 74733V100 1531 56542 SH SOLE 15495 0 41047 QUALCOMM INC COM 747525103 322 6628 SH SOLE 4328 0 2300 QUESTAR CORP COM 748356102 1524 86046 SH SOLE 21274 0 64772 SCHEIN HENRY INC COM 806407102 4527 73006 SH SOLE 14527 0 58479 SCHLUMBERGER LTD COM 806857108 6961 116546 SH SOLE 33719 0 82827 SELECT SECTOR SPDR TR SBI INT-TECH 81369Y803 223 9430 SH SOLE 6920 0 2510 SIGMA ALDRICH CORP COM 826552101 5991 96952 SH SOLE 25821 0 71131 SONOCO PRODS CO COM 835495102 265 9380 SH SOLE 5000 0 4380 SOVRAN SELF STORAGE INC COM 84610H108 200 5375 SH SOLE 5375 0 SPDR GOLD TRUST GOLD SHS 78463V107 1439 9102 SH SOLE 3930 0 5172 SPECTRA ENERGY CORP COM 847560109 2270 92526 SH SOLE 30525 0 62001 STATE STR CORP COM 857477103 467 14510 SH SOLE 4725 0 9785 STERICYCLE INC COM 858912108 6492 80422 SH SOLE 18794 0 61628 STRYKER CORP COM 863667101 2979 63198 SH SOLE 20125 0 43073 SUNCOR ENERGY INC NEW COM 867224107 5837 229425 SH SOLE 69450 0 159975 SYMANTEC CORP COM 871503108 747 45800 SH SOLE 26025 0 19775 SYSCO CORP COM 871829107 3709 143215 SH SOLE 42685 0 100530 TARGET CORP COM 87612E106 767 15650 SH SOLE 3090 0 12560 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 5426 145777 SH SOLE 37876 0 107901 TEXAS INSTRS INC COM 882508104 1618 60729 SH SOLE 20300 0 40429 TIME WARNER INC COM NEW 887317303 717 23920 SH SOLE 17565 0 6355 TRAVELERS COMPANIES INC COM 89417E109 4843 99392 SH SOLE 26634 0 72758 UNITED NAT FOODS INC COM 911163103 1842 49735 SH SOLE 14525 0 35210 VALSPAR CORP COM 920355104 894 28637 SH SOLE 10400 0 18237 VANGUARD INDEX FDS STK MRK ETF 922908769 218 3775 SH SOLE 0 3775 VERIZON COMMUNICATIONS INC COM 92343V104 4045 109913 SH SOLE 29066 0 80847 WAL MART STORES INC COM 931142103 3584 69062 SH SOLE 33765 0 35297 WATERS CORP COM 941848103 3910 51789 SH SOLE 12646 0 39143 WELLS FARGO & CO NEW COM 949746101 2185 90581 SH SOLE 25034 0 65547 WEST PHARMACEUTICAL SVSC INC COM 955306105 1146 30880 SH SOLE 11325 0 19555 WOODWARD INC COM 980745103 2098 76565 SH SOLE 16450 0 60115