Chief Compliance Officer

0001062993-20-005690.txt : 20201116 0001062993-20-005690.hdr.sgml : 20201116 20201116093236 ACCESSION NUMBER: 0001062993-20-005690 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201116 DATE AS OF CHANGE: 20201116 EFFECTIVENESS DATE: 20201116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FOUNDERS FINANCIAL SECURITIES LLC CENTRAL INDEX KEY: 0001342396 IRS NUMBER: 202052994 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15741 FILM NUMBER: 201314124 BUSINESS ADDRESS: STREET 1: 1020 CROMWELL BRIDGE ROAD STREET 2: SUITE 300 CITY: TOWSON STATE: MD ZIP: 21286 BUSINESS PHONE: 410 308-9988 MAIL ADDRESS: STREET 1: 1020 CROMWELL BRIDGE ROAD STREET 2: SUITE 300 CITY: TOWSON STATE: MD ZIP: 21286 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001342396 XXXXXXXX 09-30-2020 09-30-2020 FOUNDERS FINANCIAL SECURITIES LLC

1020 CROMWELL BRIDGE ROAD TOWSON MD 21286

13F COMBINATION REPORT 028-15741 0001560717 028-15165 Horizon Investments, LLC N Joseph V. Krcma Chief Compliance Officer 410-308-9988 Joseph V. Krcma Towson MD 11-10-2020 1 164 313950 false 1 0001560717 028-15165 Horizon Investments, LLC INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3M CO COM 88579Y101 336 2097 SH SOLE 1 0 0 2097 ABBVIE INC COM 00287Y109 215 2453 SH SOLE 1 0 0 2453 ADOBE SYSTEMS INCORPORATED COM 00724F101 363 740 SH SOLE 1 0 0 740 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 398 1354 SH SOLE 1 0 0 1354 ALLSTATE CORP COM 020002101 906 9629 SH SOLE 1 0 0 9629 ALTERYX INC COM CL A 02156B103 270 2374 SH SOLE 0 0 2374 AMAZON COM INC COM 023135106 916 291 SH SOLE 1 0 0 291 APPLE INC COM 037833100 4423 38190 SH SOLE 1 0 0 38190 ARK ETF TR GENOMIC REV ETF 00214Q302 631 9907 SH SOLE 0 0 9907 ARK ETF TR NEXT GNRTN INTER 00214Q401 542 4988 SH SOLE 0 0 4988 AT&T INC COM 00206R102 252 8837 SH SOLE 0 0 8837 BK OF AMERICA CORP COM 060505104 398 16513 SH SOLE 1 0 0 16513 BANK NOVA SCOTIA B C COM 064149107 843 20307 SH SOLE 1 0 0 20307 BECTON DICKINSON & CO COM 075887109 252 1082 SH SOLE 1 0 0 1082 BLACKSTONE GROUP INC COM CL A 09260D107 458 8766 SH SOLE 1 0 0 8766 BROADCOM INC COM 11135F101 308 846 SH SOLE 1 0 0 846 CISCO SYS INC COM 17275R102 654 16610 SH SOLE 1 0 0 16610 COMCAST CORP NEW CL A 20030N101 987 21344 SH SOLE 1 0 0 21344 COSTCO WHSL CORP NEW COM 22160K105 235 661 SH SOLE 1 0 0 661 DARE BIOSCIENCE INC COM 23666P101 50 50000 SH SOLE 0 0 50000 DISNEY WALT CO COM DISNEY 254687106 1037 8537 SH SOLE 1 0 0 8537 DOCUSIGN INC COM 256163106 441 2047 SH SOLE 0 0 2047 DUKE ENERGY CORP NEW COM NEW 26441C204 644 7267 SH SOLE 1 0 0 7267 EDISON INTL COM 281020107 251 4928 SH SOLE 1 0 0 4928 ENBRIDGE INC COM 29250N105 222 7617 SH SOLE 1 0 0 7617 EXXON MOBIL CORP COM 30231G102 954 27802 SH SOLE 0 0 27802 FACEBOOK INC CL A 30303M102 625 2385 SH SOLE 1 0 0 2385 FASTLY INC CL A 31188V100 447 4774 SH SOLE 0 0 4774 GARMIN LTD SHS H2906T109 237 3749 SH SOLE 0 0 3749 FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 33733E302 944 5013 SH SOLE 1 0 0 5013 FIRST TR VALUE LINE DIVID IN SHS 33734H106 6604 209910 SH SOLE 1 0 0 209910 FIRST TR NASDAQ 100 TECH IND SHS 337345102 476 4062 SH SOLE 1 0 0 4062 FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 33733E104 539 8516 SH SOLE 0 0 8516 FIRST TR EXCHANGE-TRADED FD NASDAQ TRANSN 33738R795 425 18230 SH SOLE 1 0 0 18230 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 8073 146697 SH SOLE 1 0 0 146697 FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 455 10695 SH SOLE 1 0 0 10695 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 451 4963 SH SOLE 1 0 0 4963 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 535 14212 SH SOLE 1 0 0 14212 GLOBALSTAR INC COM 378973408 21 67755 SH SOLE 0 0 67755 HANCOCK JOHN TAX-ADVANTAGED COM 41013V100 2608 136621 SH SOLE 0 0 136621 HUNTINGTON INGALLS INDS INC COM 446413106 658 4673 SH SOLE 1 0 0 4673 INNOVATOR ETFS TR NASDAQ 100 PWER 45782C276 204 4787 SH SOLE 0 0 4787 INTEL CORP COM 458140100 307 5928 SH SOLE 1 0 0 5928 INTERNATIONAL BUSINESS MACHS COM 459200101 888 7297 SH SOLE 1 0 0 7297 INTERNATIONAL PAPER CO COM 460146103 250 6171 SH SOLE 1 0 0 6171 INTUITIVE SURGICAL INC COM NEW 46120E602 241 339 SH SOLE 0 0 339 INVESCO EXCH TRADED FD TR II 1 30 LADER TRE 46138E107 353 8982 SH SOLE 0 0 8982 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 493 33465 SH SOLE 1 0 0 33465 INVESCO QQQ TR UNIT SER 1 46090E103 11606 41773 SH SOLE 1 0 0 41773 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 3755 34734 SH SOLE 1 0 0 34734 INVESCO EXCH TRADED FD TR II S&P SMLCP LOW 46138G102 1428 43018 SH SOLE 1 0 0 43018 INVESCO EXCH TRADED FD TR II SR LN ETF 46138G508 275 12633 SH SOLE 1 0 0 12633 ISHARES TR CORE S&P500 ETF 464287200 4242 12624 SH SOLE 1 0 0 12624 ISHARES TR CORE S&P SCP ETF 464287804 9643 137310 SH SOLE 1 0 0 137310 ISHARES TR CORE S&P TTL STK 464287150 308 4083 SH SOLE 0 0 4083 ISHARES TR CORE US AGGBD ET 464287226 12707 107629 SH SOLE 1 0 0 107629 ISHARES TR MSCI USA MIN VOL 46429B697 6488 101812 SH SOLE 1 0 0 101812 ISHARES TR MSCI USA MMENTM 46432F396 5398 36622 SH SOLE 1 0 0 36622 ISHARES GOLD TRUST ISHARES 464285105 202 11220 SH SOLE 0 0 11220 ISHARES INC CORE MSCI EMKT 46434G103 10132 191900 SH SOLE 1 0 0 191900 ISHARES INC MSCI EURZONE ETF 464286608 3660 96511 SH SOLE 1 0 0 96511 ISHARES TR JPMORGAN USD EMG 464288281 3931 35453 SH SOLE 1 0 0 35453 ISHARES TR MSCI EAFE MIN VL 46429B689 2637 38705 SH SOLE 1 0 0 38705 ISHARES TR S&P 500 GRWT ETF 464287309 522 2261 SH SOLE 0 0 2261 ISHARES TR ISHS 1-5YR INVS 464288646 983 17896 SH SOLE 1 0 0 17896 ISHARES TR 1 3 YR TREAS BD 464287457 2968 34304 SH SOLE 1 0 0 34304 ISHARES TR 20 YR TR BD ETF 464287432 807 4941 SH SOLE 1 0 0 4941 ISHARES TR BARCLAYS 7 10 YR 464287440 1225 10054 SH SOLE 0 0 10054 ISHARES TR U.S. MED DVC ETF 464288810 936 3123 SH SOLE 0 0 3123 ISHARES TR EXPANDED TECH 464287515 1240 3985 SH SOLE 0 0 3985 ISHARES TR IBOXX HI YD ETF 464288513 2040 24311 SH SOLE 1 0 0 24311 ISHARES TR NATIONAL MUN ETF 464288414 1434 12368 SH SOLE 1 0 0 12368 ISHARES TR RUS MID CAP ETF 464287499 1304 22730 SH SOLE 1 0 0 22730 ISHARES TR S&P MC 400GR ETF 464287606 488 2040 SH SOLE 0 0 2040 ISHARES TR PFD AND INCM SEC 464288687 1199 32894 SH SOLE 0 0 32894 JOHNSON & JOHNSON COM 478160104 1399 9395 SH SOLE 1 0 0 9395 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 2681 52784 SH SOLE 0 0 52784 KINDER MORGAN INC DEL COM 49456B101 244 19756 SH SOLE 1 0 0 19756 LINDE PLC SHS G5494J103 552 2317 SH SOLE 1 0 0 2317 LIVONGO HEALTH INC COM 539183103 341 2438 SH SOLE 0 0 2438 LOCKHEED MARTIN CORP COM 539830109 1075 2805 SH SOLE 1 0 0 2805 MASTERCARD INCORPORATED CL A 57636Q104 510 1508 SH SOLE 1 0 0 1508 MCCORMICK & CO INC COM NON VTG 579780206 306 1579 SH SOLE 1 0 0 1579 MCDONALDS CORP COM 580135101 297 1353 SH SOLE 0 0 1353 MEDTRONIC PLC SHS G5960L103 1019 9801 SH SOLE 1 0 0 9801 MERCK & CO. INC COM 58933Y105 470 5669 SH SOLE 1 0 0 5669 METLIFE INC COM 59156R108 218 5865 SH SOLE 1 0 0 5865 MICROSOFT CORP COM 594918104 2197 10445 SH SOLE 1 0 0 10445 MONDELEZ INTL INC CL A 609207105 440 7662 SH SOLE 1 0 0 7662 NEW AMER HIGH INCOME FD INC COM NEW 641876800 910 111275 SH SOLE 0 0 111275 NEXTERA ENERGY INC COM 65339F101 404 1457 SH SOLE 1 0 0 1457 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 209 25457 SH SOLE 0 0 25457 NVIDIA CORPORATION COM 67066G104 764 1411 SH SOLE 1 0 0 1411 OKTA INC CL A 679295105 318 1485 SH SOLE 0 0 1485 ORACLE CORP COM 68389X105 982 16443 SH SOLE 1 0 0 16443 PACER FDS TR BNCHMRK INFRA 69374H741 544 15390 SH SOLE 0 0 15390 PACER FDS TR TRENDP US LAR CP 69374H105 457 15478 SH SOLE 0 0 15478 PACER FDS TR TRENDPILOT US BD 69374H642 277 10627 SH SOLE 0 0 10627 PACWEST BANCORP DEL COM 695263103 631 36924 SH SOLE 1 0 0 36924 PFIZER INC COM 717081103 545 14847 SH SOLE 1 0 0 14847 PIMCO ETF TR ACTIVE BD ETF 72201R775 4075 36241 SH SOLE 1 0 0 36241 PIMCO INCOME OPPORTUNITY FD COM 72202B100 614 26575 SH SOLE 0 0 26575 PPG INDS INC COM 693506107 467 3823 SH SOLE 1 0 0 3823 PROCTER AND GAMBLE CO COM 742718109 1799 12946 SH SOLE 1 0 0 12946 PROSHARES TR S&P 500 DV ARIST 74348A467 325 4506 SH SOLE 0 0 4506 PROSHARES TR S&P MDCP 400 DIV 74347B680 310 5847 SH SOLE 0 0 5847 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 216 3929 SH SOLE 1 0 0 3929 QUALCOMM INC COM 747525103 465 3953 SH SOLE 1 0 0 3953 RAYTHEON TECHNOLOGIES CORP COM 75513E101 637 11079 SH SOLE 1 0 0 11079 ROCKWELL AUTOMATION INC COM 773903109 221 1000 SH SOLE 0 0 1000 SALESFORCE COM INC COM 79466L302 392 1559 SH SOLE 1 0 0 1559 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 744 11603 SH SOLE 0 0 11603 SHERWIN WILLIAMS CO COM 824348106 1792 2572 SH SOLE 0 0 2572 SHOPIFY INC CL A 82509L107 1847 1806 SH SOLE 1 0 0 1806 SPDR SER TR BLMBRG BRC CNVRT 78464A359 648 9413 SH SOLE 1 0 0 9413 SPDR SER TR PORTFOLIO AGRGTE 78464A649 4118 133670 SH SOLE 1 0 0 133670 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 5429 148484 SH SOLE 1 0 0 148484 SPDR SER TR PORTFOLIO LN COR 78464A367 266 8370 SH SOLE 1 0 0 8370 SPDR SER TR PRTFLO S&P500 VL 78464A508 22885 757777 SH SOLE 1 0 0 757777 SPDR SER TR PORTFOLIO S&P400 78464A847 9549 292647 SH SOLE 1 0 0 292647 SPDR SER TR PRTFLO S&P500 GW 78464A409 31489 628392 SH SOLE 1 0 0 628392 SPDR S&P 500 ETF TR TR UNIT 78462F103 889 2656 SH SOLE 1 0 0 2656 SPDR S&P 500 ETF TR TR UNIT 78462F103 634 1892 SH SOLE 0 0 1892 SPDR S&P 500 ETF TR TR UNIT 78462F103 1523 4548 SH SOLE 1 0 0 4548 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1371 4047 SH SOLE 1 0 0 4047 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 6 18 SH SOLE 0 0 18 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1377 4065 SH SOLE 1 0 0 4065 SPDR SER TR BLOMBRG BRC INTL 78464A151 284 7985 SH SOLE 1 0 0 7985 SPDR SER TR WELLS FG PFD ETF 78464A292 273 6287 SH SOLE 1 0 0 6287 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 3733 75695 SH SOLE 1 0 0 75695 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 11927 407620 SH SOLE 1 0 0 407620 STONECO LTD COM CL A G85158106 34 642 SH SOLE 1 0 0 642 STONECO LTD COM CL A G85158106 177 3350 SH SOLE 0 0 3350 STONECO LTD COM CL A G85158106 211 3992 SH SOLE 1 0 0 3992 TELADOC HEALTH INC COM 87918A105 217 991 SH SOLE 0 0 991 TEXAS INSTRS INC COM 882508104 585 4098 SH SOLE 1 0 0 4098 THERMO FISHER SCIENTIFIC INC COM 883556102 474 1073 SH SOLE 1 0 0 1073 THE TRADE DESK INC COM CL A 88339J105 261 504 SH SOLE 0 0 504 TRAVELERS COMPANIES INC COM 89417E109 259 2394 SH SOLE 1 0 0 2394 TRIMTABS ETF TR ALL CAP US FREE 89628W302 396 9626 SH SOLE 0 0 9626 UNILEVER PLC SPON ADR NEW 904767704 906 14694 SH SOLE 0 0 14694 UNION PAC CORP COM 907818108 325 1653 SH SOLE 1 0 0 1653 UNITED PARCEL SERVICE INC CL B 911312106 720 4323 SH SOLE 1 0 0 4323 UNITEDHEALTH GROUP INC COM 91324P102 1162 3726 SH SOLE 1 0 0 3726 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 244 6225 SH SOLE 1 0 0 6225 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 338 5815 SH SOLE 1 0 0 5815 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 8870 68942 SH SOLE 1 0 0 68942 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 207 1266 SH SOLE 1 0 0 1266 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 1253 20188 SH SOLE 0 0 20188 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 14857 363258 SH SOLE 1 0 0 363258 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1072 6294 SH SOLE 0 0 6294 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 10007 113427 SH SOLE 1 0 0 113427 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 1233 15241 SH SOLE 0 0 15241 VERIZON COMMUNICATIONS INC COM 92343V104 590 9919 SH SOLE 1 0 0 9919 VISA INC COM CL A 92826C839 793 3964 SH SOLE 1 0 0 3964 VULCAN MATLS CO COM 929160109 274 2022 SH SOLE 1 0 0 2022 WALMART INC COM 931142103 1068 7636 SH SOLE 1 0 0 7636 WASTE MGMT INC DEL COM 94106L109 332 2931 SH SOLE 1 0 0 2931 WELLS FARGO CO NEW COM 949746101 625 26585 SH SOLE 1 0 0 26585 WILLIAMS COS INC COM 969457100 326 16581 SH SOLE 1 0 0 16581 WISDOMTREE TR YIELD ENHANCD US 97717X511 1727 32081 SH SOLE 1 0 0 32081 DBX ETF TR XTRCKR MSCI US 233051150 1002 32642 SH SOLE 1 0 0 32642 DBX ETF TR XTRACK USD HIGH 233051432 336 6977 SH SOLE 1 0 0 6977 ZOETIS INC CL A 98978V103 598 3615 SH SOLE 1 0 0 3615