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