0001085146-18-000515.txt : 20180212 0001085146-18-000515.hdr.sgml : 20180212 20180212120551 ACCESSION NUMBER: 0001085146-18-000515 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180212 DATE AS OF CHANGE: 20180212 EFFECTIVENESS DATE: 20180212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Brown Advisory Securities, LLC CENTRAL INDEX KEY: 0001389479 IRS NUMBER: 753014089 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12353 FILM NUMBER: 18595089 BUSINESS ADDRESS: STREET 1: 901 SOUTH BOND STREET, SUITE 400 CITY: BALTIMORE STATE: MD ZIP: 21231-3340 BUSINESS PHONE: (410) 537-5502 MAIL ADDRESS: STREET 1: 901 SOUTH BOND STREET, SUITE 400 CITY: BALTIMORE STATE: MD ZIP: 21231-3340 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001389479 XXXXXXXX 12-31-2017 12-31-2017 false Brown Advisory Securities, LLC

901 SOUTH BOND STREET, SUITE 400 BALTIMORE MD 21231-3340

13F HOLDINGS REPORT 028-12353 N Brett D. Rogers 410-537-5486 /s/ Brett D. Rogers Baltimore MD 02-07-2018 0 396 518580 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 2838 12041 SH DFND 0 0 12041 ABBOTT LABS COM 002824100 3187 55841 SH DFND 0 0 55841 ABBVIE INC COM 00287Y109 4601 47549 SH DFND 0 0 47549 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 5822 38062 SH DFND 0 0 38062 ACNB CORP COM 000868109 495 16746 SH DFND 0 0 16746 ACUITY BRANDS INC COM 00508Y102 265 1505 SH DFND 0 0 1505 ADOBE SYS INC COM 00724F101 879 5001 SH DFND 0 0 5001 ADVANCED MICRO DEVICES INC NOTE 2.125% 9/0 007903BD8 19 10000 PRN DFND 0 0 10000 ADVANSIX INC COM 00773T101 297 7089 SH DFND 0 0 7089 AETNA INC NEW COM 00817Y108 750 4165 SH DFND 0 0 4165 AFLAC INC COM 001055102 340 3861 SH DFND 0 0 3861 AIR LEASE CORP NOTE 3.875%12/0 00912XAK0 65 39000 PRN DFND 0 0 39000 AIR PRODS & CHEMS INC COM 009158106 442 2698 SH DFND 0 0 2698 ALARM COM HLDGS INC COM 011642105 219 5810 SH DFND 0 0 5810 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 2495 14470 SH DFND 0 0 14470 ALLSTATE CORP COM 020002101 1366 13058 SH DFND 0 0 13058 ALPHABET INC CAP STK CL A 02079K305 10777 10224 SH DFND 0 0 10224 ALPHABET INC CAP STK CL C 02079K107 7452 7131 SH DFND 0 0 7131 ALTRIA GROUP INC COM 02209S103 2032 28490 SH DFND 0 0 28490 AMAZON COM INC COM 023135106 15865 13569 SH DFND 0 0 13569 AMERICAN ELEC PWR INC COM 025537101 248 3376 SH DFND 0 0 3376 AMERICAN EXPRESS CO COM 025816109 1766 17768 SH DFND 0 0 17768 AMERICAN TOWER CORP NEW COM 03027X100 4351 30439 SH DFND 0 0 30439 AMERIPRISE FINL INC COM 03076C106 244 1448 SH DFND 0 0 1448 AMGEN INC COM 031162100 2411 13868 SH DFND 0 0 13868 AMPHENOL CORP NEW CL A 032095101 640 7293 SH DFND 0 0 7293 ANADARKO PETE CORP COM 032511107 623 11633 SH DFND 0 0 11633 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 323 2882 SH DFND 0 0 2882 ANNALY CAP MGMT INC COM 035710409 138 11568 SH DFND 0 0 11568 ANTARES PHARMA INC COM 036642106 547 275000 SH DFND 0 0 275000 ANTHEM INC COM 036752103 676 3002 SH DFND 0 0 3002 APACHE CORP COM 037411105 363 8594 SH DFND 0 0 8594 APPLE INC COM 037833100 24446 144452 SH DFND 0 0 144452 ARALEZ PHARMACEUTICALS INC COM 03852X100 244 172000 SH DFND 0 0 172000 ASTRONICS CORP COM 046433108 757 18246 SH DFND 0 0 18246 AT&T INC COM 00206R102 3025 77730 SH DFND 0 0 77730 ATHERSYS INC COM 04744L106 24 13630 SH DFND 0 0 13630 ATLAS AIR WORLDWIDE HLDGS IN NOTE 2.250% 6/0 049164BH8 40 36000 PRN DFND 0 0 36000 AUTOMATIC DATA PROCESSING IN COM 053015103 777 6636 SH DFND 0 0 6636 AVALONBAY CMNTYS INC COM 053484101 593 3317 SH DFND 0 0 3317 AVERY DENNISON CORP COM 053611109 530 4630 SH DFND 0 0 4630 BAIDU INC SPON ADR REP A 056752108 2486 10616 SH DFND 0 0 10616 BALL CORP COM 058498106 264 6970 SH DFND 0 0 6970 BANK AMER CORP COM 060505104 2185 73946 SH DFND 0 0 73946 BANK NEW YORK MELLON CORP COM 064058100 210 3884 SH DFND 0 0 3884 BAXTER INTL INC COM 071813109 259 4022 SH DFND 0 0 4022 BB&T CORP COM 054937107 698 14038 SH DFND 0 0 14038 BBX CAP CORP NEW CL A 05491N104 122 15337 SH DFND 0 0 15337 BECTON DICKINSON & CO COM 075887109 333 1549 SH DFND 0 0 1549 BERKSHIRE HATHAWAY INC DEL CL A 084670108 298 1 SH DFND 0 0 1 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 6521 32854 SH DFND 0 0 32854 BEST BUY INC COM 086516101 493 7193 SH DFND 0 0 7193 BIOMARIN PHARMACEUTICAL INC NOTE 0.750%10/1 09061GAE1 28 27000 PRN DFND 0 0 27000 BLACKHAWK NETWORK HLDGS INC NOTE 1.500% 1/1 09238EAB0 36 36000 PRN DFND 0 0 36000 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 541 16967 SH DFND 0 0 16967 BOEING CO COM 097023105 1328 4515 SH DFND 0 0 4515 BP PLC SPONSORED ADR 055622104 506 12021 SH DFND 0 0 12021 BRIGHT HORIZONS FAM SOL IN D COM 109194100 833 8823 SH DFND 0 0 8823 BRISTOL MYERS SQUIBB CO COM 110122108 1513 24659 SH DFND 0 0 24659 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 971 22281 SH DFND 0 0 22281 BROOKFIELD INFRAST PARTNERS LP INT UNIT G16252101 1246 27805 SH DFND 0 0 27805 CANADIAN NATL RY CO COM 136375102 671 8126 SH DFND 0 0 8126 CARLYLE GROUP L P COM UTS LTD PTN 14309L102 596 26010 SH DFND 0 0 26010 CARMAX INC COM 143130102 390 6100 SH DFND 0 0 6100 CATERPILLAR INC DEL COM 149123101 1454 9174 SH DFND 0 0 9174 CDW CORP COM 12514G108 238 3449 SH DFND 0 0 3449 CEDAR FAIR L P DEPOSITRY UNIT 150185106 276 4259 SH DFND 0 0 4259 CHART INDS INC NOTE 2.000% 8/0 16115QAC4 23 23000 PRN DFND 0 0 23000 CHEVRON CORP NEW COM 166764100 2898 23116 SH DFND 0 0 23116 CHUBB LIMITED COM H1467J104 455 3126 SH DFND 0 0 3126 CIGNA CORPORATION COM 125509109 931 4584 SH DFND 0 0 4584 CINCINNATI BELL INC NEW PFD CV DEP1/20 171871403 1193 23486 SH DFND 0 0 23486 CISCO SYS INC COM 17275R102 3680 96173 SH DFND 0 0 96173 CITRIX SYS INC NOTE 0.500% 4/1 177376AD2 39 29000 PRN DFND 0 0 29000 CLOROX CO DEL COM 189054109 749 5025 SH DFND 0 0 5025 COCA COLA CO COM 191216100 2009 43848 SH DFND 0 0 43848 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 979 13797 SH DFND 0 0 13797 COLGATE PALMOLIVE CO COM 194162103 1106 14631 SH DFND 0 0 14631 COMCAST CORP NEW CL A 20030N101 837 20923 SH DFND 0 0 20923 CONOCOPHILLIPS COM 20825C104 643 11747 SH DFND 0 0 11747 COSTCO WHSL CORP NEW COM 22160K105 2120 11364 SH DFND 0 0 11364 CROWN CASTLE INTL CORP NEW COM 22822V101 890 8026 SH DFND 0 0 8026 CSX CORP COM 126408103 436 7920 SH DFND 0 0 7920 CUMMINS INC COM 231021106 286 1623 SH DFND 0 0 1623 CVS HEALTH CORP COM 126650100 1484 20345 SH DFND 0 0 20345 DANAHER CORP DEL COM 235851102 3067 33032 SH DFND 0 0 33032 DANAHER CORP DEL DBCV 1/2 235851AF9 78 22000 PRN DFND 0 0 22000 DAVITA INC COM 23918K108 664 9171 SH DFND 0 0 9171 DEERE & CO COM 244199105 1165 7445 SH DFND 0 0 7445 DELTA AIR LINES INC DEL COM NEW 247361702 287 5144 SH DFND 0 0 5144 DIAGEO P L C SPON ADR NEW 25243Q205 1089 7458 SH DFND 0 0 7458 DISH NETWORK CORP NOTE 3.375% 8/1 25470MAB5 57 54000 PRN DFND 0 0 54000 DISNEY WALT CO COM DISNEY 254687106 2935 27215 SH DFND 0 0 27215 DOLLAR GEN CORP NEW COM 256677105 262 2809 SH DFND 0 0 2809 DOMINION ENERGY INC COM 25746U109 1405 17346 SH DFND 0 0 17346 DOUBLELINE OPPORTUNISTIC CR COM 258623107 252 11450 SH DFND 0 0 11450 DOWDUPONT INC COM 26078J100 2379 33411 SH DFND 0 0 33411 DUKE ENERGY CORP NEW COM NEW 26441C204 1801 21439 SH DFND 0 0 21439 EASTERLY GOVT PPTYS INC COM 27616P103 730 34224 SH DFND 0 0 34224 EATON CORP PLC SHS G29183103 521 6582 SH DFND 0 0 6582 EATON VANCE TAX MNGD GBL DV COM 27829F108 116 12340 SH DFND 0 0 12340 EATON VANCE TX MGD DIV EQ IN COM 27828N102 125 10245 SH DFND 0 0 10245 EBAY INC COM 278642103 204 5400 SH DFND 0 0 5400 ECLIPSE RES CORP COM 27890G100 60 25000 SH DFND 0 0 25000 ECOLAB INC COM 278865100 818 6103 SH DFND 0 0 6103 EDWARDS LIFESCIENCES CORP COM 28176E108 519 4621 SH DFND 0 0 4621 ELECTRONIC ARTS INC COM 285512109 760 7231 SH DFND 0 0 7231 EMERSON ELEC CO COM 291011104 1268 18195 SH DFND 0 0 18195 ENBRIDGE INC COM 29250N105 1600 40955 SH DFND 0 0 40955 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 179 10502 SH DFND 0 0 10502 ENTERPRISE PRODS PARTNERS L COM 293792107 1748 65764 SH DFND 0 0 65764 EQUIFAX INC COM 294429105 4034 34206 SH DFND 0 0 34206 EVERSOURCE ENERGY COM 30040W108 397 6284 SH DFND 0 0 6284 EXELIXIS INC COM 30161Q104 608 20000 SH DFND 0 0 20000 EXELON CORP COM 30161N101 431 10980 SH DFND 0 0 10980 EXPEDITORS INTL WASH INC COM 302130109 205 3170 SH DFND 0 0 3170 EXPRESS SCRIPTS HLDG CO COM 30219G108 868 11673 SH DFND 0 0 11673 EXXON MOBIL CORP COM 30231G102 7850 93827 SH DFND 0 0 93827 FACEBOOK INC CL A 30303M102 5860 33199 SH DFND 0 0 33199 FAIR ISAAC CORP COM 303250104 308 2000 SH DFND 0 0 2000 FEDEX CORP COM 31428X106 374 1505 SH DFND 0 0 1505 FIAT CHRYSLER AUTOMOBILES N SHS N31738102 223 12500 SH DFND 0 0 12500 FIDELITY NATL INFORMATION SV COM 31620M106 1658 17621 SH DFND 0 0 17621 FIRST HORIZON NATL CORP COM 320517105 261 13039 SH DFND 0 0 13039 FIRST TR EXCHANGE TRADED FD FIRST TR ENH NEW 33739Q408 492 8200 SH DFND 0 0 8200 FIRST TR EXCHANGE TRADED FD NY ARCA BIOTECH 33733E203 2158 17340 SH DFND 0 0 17340 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 462 9604 SH DFND 0 0 9604 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 884 44187 SH DFND 0 0 44187 FLEX LTD ORD Y2573F102 494 27385 SH DFND 0 0 27385 FORD MTR CO DEL COM PAR $0.01 345370860 724 58066 SH DFND 0 0 58066 FORTIVE CORP COM 34959J108 1401 19403 SH DFND 0 0 19403 GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 74 14150 SH DFND 0 0 14150 GAMESTOP CORP NEW CL A 36467W109 478 26485 SH DFND 0 0 26485 GENERAL DYNAMICS CORP COM 369550108 3197 15746 SH DFND 0 0 15746 GENERAL ELECTRIC CO COM 369604103 2913 167103 SH DFND 0 0 167103 GENERAL MLS INC COM 370334104 659 11090 SH DFND 0 0 11090 GILEAD SCIENCES INC COM 375558103 1909 26621 SH DFND 0 0 26621 GOLDMAN SACHS GROUP INC COM 38141G104 379 1494 SH DFND 0 0 1494 GOLUB CAP BDC INC COM 38173M102 848 46726 SH DFND 0 0 46726 GRAINGER W W INC COM 384802104 324 1381 SH DFND 0 0 1381 GRAMERCY PPTY TR COM NEW 385002308 647 24273 SH DFND 0 0 24273 GUIDEWIRE SOFTWARE INC COM 40171V100 223 2995 SH DFND 0 0 2995 HALLIBURTON CO COM 406216101 207 4273 SH DFND 0 0 4273 HAMILTON BANCORP INC MD COM 407015106 154 10000 SH DFND 0 0 10000 HANCOCK JOHN PFD INCOME FD I COM 41021P103 245 13004 SH DFND 0 0 13004 HD SUPPLY HLDGS INC COM 40416M105 1522 38059 SH DFND 0 0 38059 HEICO CORP NEW COM 422806109 273 2896 SH DFND 0 0 2896 HELIX ENERGY SOLUTIONS GRP I NOTE 4.250% 5/0 42330PAH0 36 36000 PRN DFND 0 0 36000 HOLOGIC INC DEBT 2.000% 3/0 436440AC5 53 39000 PRN DFND 0 0 39000 HOME DEPOT INC COM 437076102 2329 12270 SH DFND 0 0 12270 HONEYWELL INTL INC COM 438516106 956 6236 SH DFND 0 0 6236 HORIZON TECHNOLOGY FIN CORP COM 44045A102 224 19950 SH DFND 0 0 19950 HP INC COM 40434L105 268 12636 SH DFND 0 0 12636 HUBBELL INC COM 443510607 237 1750 SH DFND 0 0 1750 ICON PLC SHS G4705A100 807 7200 SH DFND 0 0 7200 ILLINOIS TOOL WKS INC COM 452308109 443 2635 SH DFND 0 0 2635 ILLUMINA INC NOTE 0.500% 6/1 452327AH2 44 35000 PRN DFND 0 0 35000 INGERSOLL-RAND PLC SHS G47791101 606 6791 SH DFND 0 0 6791 INPHI CORP NOTE 1.125%12/0 45772FAB3 28 26000 PRN DFND 0 0 26000 INTEL CORP COM 458140100 5249 113816 SH DFND 0 0 113816 INTEL CORP SDCV 3.250% 8/0 458140AF7 56 26000 PRN DFND 0 0 26000 INTERCEPT PHARMACEUTICALS IN NOTE 3.250% 7/0 45845PAA6 12 13000 PRN DFND 0 0 13000 INTERNATIONAL BUSINESS MACHS COM 459200101 3106 20240 SH DFND 0 0 20240 INTUIT COM 461202103 1071 6785 SH DFND 0 0 6785 INTUITIVE SURGICAL INC COM NEW 46120E602 2479 6797 SH DFND 0 0 6797 IONIS PHARMACEUTICALS INC COM 462222100 285 5675 SH DFND 0 0 5675 ISHARES GOLD TRUST ISHARES 464285105 477 38020 SH DFND 0 0 38020 ISHARES INC CORE MSCI EMKT 46434G103 397 6981 SH DFND 0 0 6981 ISHARES INC MSCI PAC JP ETF 464286665 594 12454 SH DFND 0 0 12454 ISHARES SILVER TRUST ISHARES 46428Q109 359 22405 SH DFND 0 0 22405 ISHARES TR 1 3 YR CR BD ETF 464288646 448 4281 SH DFND 0 0 4281 ISHARES TR 1 3 YR TREAS BD 464287457 255 3038 SH DFND 0 0 3038 ISHARES TR 10-20 YR TRS ETF 464288653 440 3233 SH DFND 0 0 3233 ISHARES TR 20 YR TR BD ETF 464287432 4085 32224 SH DFND 0 0 32224 ISHARES TR 3 7 YR TREAS BD 464288661 398 3243 SH DFND 0 0 3243 ISHARES TR CORE HIGH DV ETF 46429B663 1311 14532 SH DFND 0 0 14532 ISHARES TR CORE MSCI TOTAL 46432F834 2383 37724 SH DFND 0 0 37724 ISHARES TR CORE S&P MCP ETF 464287507 4412 23256 SH DFND 0 0 23256 ISHARES TR CORE S&P SCP ETF 464287804 4239 55222 SH DFND 0 0 55222 ISHARES TR CORE S&P500 ETF 464287200 7720 28741 SH DFND 0 0 28741 ISHARES TR CORE US AGGBD ET 464287226 7120 65131 SH DFND 0 0 65131 ISHARES TR EAFE SML CP ETF 464288273 529 8201 SH DFND 0 0 8201 ISHARES TR FLTG RATE NT ETF 46429B655 1498 29511 SH DFND 0 0 29511 ISHARES TR IBOXX HI YD ETF 464288513 861 9876 SH DFND 0 0 9876 ISHARES TR IBOXX INV CP ETF 464287242 738 6077 SH DFND 0 0 6077 ISHARES TR INTRM GOV CR ETF 464288612 363 3305 SH DFND 0 0 3305 ISHARES TR JPMORGAN USD EMG 464288281 247 2123 SH DFND 0 0 2123 ISHARES TR MSCI EAFE ETF 464287465 637 9078 SH DFND 0 0 9078 ISHARES TR MSCI EMG MKT ETF 464287234 2466 52423 SH DFND 0 0 52423 ISHARES TR NASDAQ BIOTECH 464287556 404 3780 SH DFND 0 0 3780 ISHARES TR NATIONAL MUN ETF 464288414 1090 9834 SH DFND 0 0 9834 ISHARES TR RUS 1000 GRW ETF 464287614 1536 11394 SH DFND 0 0 11394 ISHARES TR RUS 1000 VAL ETF 464287598 2395 19261 SH DFND 0 0 19261 ISHARES TR RUS 2000 GRW ETF 464287648 1293 6942 SH DFND 0 0 6942 ISHARES TR RUS 2000 VAL ETF 464287630 432 3430 SH DFND 0 0 3430 ISHARES TR RUS MDCP VAL ETF 464287473 853 9541 SH DFND 0 0 9541 ISHARES TR RUSSELL 2000 ETF 464287655 939 6161 SH DFND 0 0 6161 ISHARES TR S&P MC 400GR ETF 464287606 1454 6726 SH DFND 0 0 6726 ISHARES TR S&P MC 400VL ETF 464287705 500 3115 SH DFND 0 0 3115 ISHARES TR S&P SML 600 GWT 464287887 417 2437 SH DFND 0 0 2437 ISHARES TR SELECT DIVID ETF 464287168 5426 54996 SH DFND 0 0 54996 ISHARES TR TIPS BD ETF 464287176 926 8097 SH DFND 0 0 8097 ISHARES TR U.S. UTILITS ETF 464287697 283 2133 SH DFND 0 0 2133 ISHARES TR US CR BD ETF 464288620 632 5633 SH DFND 0 0 5633 ISHARES TR US HLTHCARE ETF 464287762 296 1704 SH DFND 0 0 1704 ISIS PHARMACEUTICALS INC DEL NOTE 1.000%11/1 464337AJ3 17 17000 PRN DFND 0 0 17000 JACOBS ENGR GROUP INC DEL COM 469814107 635 9634 SH DFND 0 0 9634 JOHNSON & JOHNSON COM 478160104 11182 79993 SH DFND 0 0 79993 JPMORGAN CHASE & CO COM 46625H100 6871 64245 SH DFND 0 0 64245 KAYNE ANDERSON MLP INVT CO COM 486606106 201 10485 SH DFND 0 0 10485 KELLOGG CO COM 487836108 434 6395 SH DFND 0 0 6395 KIMBERLY CLARK CORP COM 494368103 443 3681 SH DFND 0 0 3681 KINDER MORGAN INC DEL COM 49456B101 595 32992 SH DFND 0 0 32992 KRAFT HEINZ CO COM 500754106 857 11074 SH DFND 0 0 11074 LAM RESEARCH CORP NOTE 1.250% 5/1 512807AL2 69 23000 PRN DFND 0 0 23000 LAUDER ESTEE COS INC CL A 518439104 301 2351 SH DFND 0 0 2351 LIBERTY MEDIA CORP DELAWARE NOTE 1.375%10/1 531229AB8 40 36000 PRN DFND 0 0 36000 LILLY ELI & CO COM 532457108 881 10435 SH DFND 0 0 10435 LOCKHEED MARTIN CORP COM 539830109 455 1418 SH DFND 0 0 1418 LOWES COS INC COM 548661107 821 8795 SH DFND 0 0 8795 M & T BK CORP COM 55261F104 1096 6408 SH DFND 0 0 6408 MACQUARIE INFRASTRUCTURE COR NOTE 2.875% 7/1 55608BAA3 34 34000 PRN DFND 0 0 34000 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 580 8185 SH DFND 0 0 8185 MARKEL CORP COM 570535104 802 706 SH DFND 0 0 706 MARRIOTT INTL INC NEW CL A 571903202 1036 7634 SH DFND 0 0 7634 MARTEN TRANS LTD COM 573075108 305 15000 SH DFND 0 0 15000 MASIMO CORP COM 574795100 578 6830 SH DFND 0 0 6830 MASTERCARD INCORPORATED CL A 57636Q104 13334 88066 SH DFND 0 0 88066 MCCORMICK & CO INC COM NON VTG 579780206 3170 31107 SH DFND 0 0 31107 MCCORMICK & CO INC COM VTG 579780107 1364 13571 SH DFND 0 0 13571 MCDONALDS CORP COM 580135101 1990 11551 SH DFND 0 0 11551 MCKESSON CORP COM 58155Q103 259 1667 SH DFND 0 0 1667 MEDICINES CO NOTE 2.750% 7/1 584688AG0 17 17000 PRN DFND 0 0 17000 MEDIDATA SOLUTIONS INC COM 58471A105 356 5630 SH DFND 0 0 5630 MEDTRONIC PLC SHS G5960L103 267 3326 SH DFND 0 0 3326 MELCO RESORT ENTERTAINMENT L ADR 585464100 541 18600 SH DFND 0 0 18600 MERCK & CO INC COM 58933Y105 5193 92324 SH DFND 0 0 92324 METLIFE INC COM 59156R108 2085 41249 SH DFND 0 0 41249 MICROCHIP TECHNOLOGY INC COM 595017104 1047 11923 SH DFND 0 0 11923 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 62 36000 PRN DFND 0 0 36000 MICROSOFT CORP COM 594918104 13878 162103 SH DFND 0 0 162103 MOLINA HEALTHCARE INC DBCV 1.625% 8/1 60855RAD2 36 26000 PRN DFND 0 0 26000 MONDELEZ INTL INC CL A 609207105 1691 39504 SH DFND 0 0 39504 NETAPP INC COM 64110D104 410 7407 SH DFND 0 0 7407 NETFLIX INC COM 64110L106 1796 9364 SH DFND 0 0 9364 NEXTERA ENERGY INC COM 65339F101 878 5633 SH DFND 0 0 5633 NIKE INC CL B 654106103 937 14930 SH DFND 0 0 14930 NORFOLK SOUTHERN CORP COM 655844108 401 2787 SH DFND 0 0 2787 NORTHROP GRUMMAN CORP COM 666807102 213 698 SH DFND 0 0 698 NOVARTIS A G SPONSORED ADR 66987V109 457 5433 SH DFND 0 0 5433 NUSTAR GP HOLDINGS LLC UNIT RESTG LLC 67059L102 204 12921 SH DFND 0 0 12921 NUVASIVE INC NOTE 2.250% 3/1 670704AG0 45 36000 PRN DFND 0 0 36000 NUVEEN MARYLAND QLT MUN INC COM 67061Q107 171 13587 SH DFND 0 0 13587 NUVEEN MUN VALUE FD INC COM 670928100 148 14597 SH DFND 0 0 14597 NXP SEMICONDUCTORS N V COM N6596X109 583 4972 SH DFND 0 0 4972 NYMOX PHARMACEUTICAL CORP COM P73398102 92 28000 SH DFND 0 0 28000 OAKTREE SPECIALTY LENDING CO COM 67401P108 169 34850 SH DFND 0 0 34850 OASIS PETE INC NEW NOTE 2.625% 9/1 674215AJ7 51 49000 PRN DFND 0 0 49000 OCCIDENTAL PETE CORP DEL COM 674599105 620 8420 SH DFND 0 0 8420 OLIN CORP COM PAR $1 680665205 340 9570 SH DFND 0 0 9570 ON SEMICONDUCTOR CORP NOTE 1.000%12/0 682189AK1 44 34000 PRN DFND 0 0 34000 ONEOK INC NEW COM 682680103 275 5171 SH DFND 0 0 5171 ORACLE CORP COM 68389X105 334 7028 SH DFND 0 0 7028 PACCAR INC COM 693718108 209 2947 SH DFND 0 0 2947 PALO ALTO NETWORKS INC COM 697435105 754 5208 SH DFND 0 0 5208 PAYPAL HLDGS INC COM 70450Y103 7444 101171 SH DFND 0 0 101171 PEPSICO INC COM 713448108 5350 44574 SH DFND 0 0 44574 PEREGRINE PHARMACEUTICALS IN COM PAR 713661502 149 38299 SH DFND 0 0 38299 PFIZER INC COM 717081103 2605 72085 SH DFND 0 0 72085 PHILIP MORRIS INTL INC COM 718172109 1752 16571 SH DFND 0 0 16571 PHILLIPS 66 COM 718546104 1682 16641 SH DFND 0 0 16641 PNC FINL SVCS GROUP INC COM 693475105 1938 13412 SH DFND 0 0 13412 POWERSHARES ETF TR II PFD PORTFOLIO 73936T565 536 35939 SH DFND 0 0 35939 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 693 14520 SH DFND 0 0 14520 POWERSHARES ETF TRUST DWA MOMENTUM PTF 73935X153 278 5398 SH DFND 0 0 5398 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 1949 12504 SH DFND 0 0 12504 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 216 9000 SH DFND 0 0 9000 PPG INDS INC COM 693506107 320 2740 SH DFND 0 0 2740 PRICE T ROWE GROUP INC COM 74144T108 2959 28319 SH DFND 0 0 28319 PRICELINE GRP INC COM NEW 741503403 1173 675 SH DFND 0 0 675 PRICELINE GRP INC NOTE 0.350% 6/1 741503AS5 53 39000 PRN DFND 0 0 39000 PROCTER AND GAMBLE CO COM 742718109 7644 83164 SH DFND 0 0 83164 PROOFPOINT INC COM 743424103 442 4925 SH DFND 0 0 4925 PROOFPOINT INC DBCV 0.750% 6/1 743424AD5 39 29000 PRN DFND 0 0 29000 PUBLIC SVC ENTERPRISE GROUP COM 744573106 261 5067 SH DFND 0 0 5067 QUALCOMM INC COM 747525103 5660 88390 SH DFND 0 0 88390 RED HAT INC COM 756577102 325 2706 SH DFND 0 0 2706 RED HAT INC NOTE 0.250%10/0 756577AD4 65 39000 PRN DFND 0 0 39000 REGIONS FINL CORP NEW COM 7591EP100 633 36573 SH DFND 0 0 36573 RITE AID CORP COM 767754104 31 15965 SH DFND 0 0 15965 ROPER TECHNOLOGIES INC COM 776696106 247 948 SH DFND 0 0 948 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 258 3858 SH DFND 0 0 3858 RPM INTL INC NOTE 2.250%12/1 749685AT0 10 10000 PRN DFND 0 0 10000 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 8231 81480 SH DFND 0 0 81480 RYDEX ETF TRUST GUG S&P500EQWTFI 78355W858 254 5750 SH DFND 0 0 5750 S&P GLOBAL INC COM 78409V104 818 4825 SH DFND 0 0 4825 SALESFORCE COM INC COM 79466L302 3157 30901 SH DFND 0 0 30901 SALESFORCE COM INC NOTE 0.250% 4/0 79466LAD6 43 28000 PRN DFND 0 0 28000 SBA COMMUNICATIONS CORP NEW CL A 78410G104 776 4746 SH DFND 0 0 4746 SCHEIN HENRY INC COM 806407102 202 2888 SH DFND 0 0 2888 SCHLUMBERGER LTD COM 806857108 1516 22541 SH DFND 0 0 22541 SCHWAB CHARLES CORP NEW COM 808513105 9092 177011 SH DFND 0 0 177011 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 3076 47680 SH DFND 0 0 47680 SELECT SECTOR SPDR TR ENERGY 81369Y506 367 5085 SH DFND 0 0 5085 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 220 6702 SH DFND 0 0 6702 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 337 12046 SH DFND 0 0 12046 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 281 3720 SH DFND 0 0 3720 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 266 4200 SH DFND 0 0 4200 SERVICENOW INC NOTE 11/0 81762PAB8 58 34000 PRN DFND 0 0 34000 SIRIUS XM HLDGS INC COM 82968B103 77 14513 SH DFND 0 0 14513 SMUCKER J M CO COM NEW 832696405 235 1888 SH DFND 0 0 1888 SOUTHERN CO COM 842587107 411 8591 SH DFND 0 0 8591 SOUTHWEST AIRLS CO COM 844741108 223 3401 SH DFND 0 0 3401 SPDR GOLD TRUST GOLD SHS 78463V107 279 2262 SH DFND 0 0 2262 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 756 18599 SH DFND 0 0 18599 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 426 8196 SH DFND 0 0 8196 SPDR S&P 500 ETF TR TR UNIT 78462F103 2762 10369 SH DFND 0 0 10369 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 720 19598 SH DFND 0 0 19598 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 2047 67009 SH DFND 0 0 67009 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 417 3310 SH DFND 0 0 3310 SPDR SERIES TRUST S&P BIOTECH 78464A870 380 4460 SH DFND 0 0 4460 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1093 11573 SH DFND 0 0 11573 SPECTRUM PHARMACEUTICALS INC COM 84763A108 474 25000 SH DFND 0 0 25000 STANLEY BLACK & DECKER INC COM 854502101 262 1537 SH DFND 0 0 1537 STARBUCKS CORP COM 855244109 3554 61840 SH DFND 0 0 61840 STATE STR CORP COM 857477103 311 3199 SH DFND 0 0 3199 STRYKER CORP COM 863667101 2134 13792 SH DFND 0 0 13792 SUNCOR ENERGY INC NEW COM 867224107 918 25044 SH DFND 0 0 25044 SUNTRUST BKS INC COM 867914103 522 8084 SH DFND 0 0 8084 SYSCO CORP COM 871829107 418 6932 SH DFND 0 0 6932 TARGET CORP COM 87612E106 254 3876 SH DFND 0 0 3876 TEXAS INSTRS INC COM 882508104 392 3741 SH DFND 0 0 3741 THERMO FISHER SCIENTIFIC INC COM 883556102 407 2154 SH DFND 0 0 2154 TJX COS INC NEW COM 872540109 252 3283 SH DFND 0 0 3283 TRANSDIGM GROUP INC COM 893641100 617 2253 SH DFND 0 0 2253 TRAVELERS COMPANIES INC COM 89417E109 290 2136 SH DFND 0 0 2136 TWITTER INC COM 90184L102 556 23198 SH DFND 0 0 23198 UBS AG JERSEY BRH CMCI ETN 38 902641778 276 17884 SH DFND 0 0 17884 ULTIMATE SOFTWARE GROUP INC COM 90385D107 339 1544 SH DFND 0 0 1544 UNDER ARMOUR INC CL A 904311107 228 15831 SH DFND 0 0 15831 UNDER ARMOUR INC CL C 904311206 269 20187 SH DFND 0 0 20187 UNILEVER N V N Y SHS NEW 904784709 690 12216 SH DFND 0 0 12216 UNILEVER PLC SPON ADR NEW 904767704 440 7919 SH DFND 0 0 7919 UNION PAC CORP COM 907818108 1181 8797 SH DFND 0 0 8797 UNITED PARCEL SERVICE INC CL B 911312106 597 4981 SH DFND 0 0 4981 UNITED TECHNOLOGIES CORP COM 913017109 1320 10315 SH DFND 0 0 10315 UNITEDHEALTH GROUP INC COM 91324P102 1318 5985 SH DFND 0 0 5985 UNIVERSAL DISPLAY CORP COM 91347P105 1554 9000 SH DFND 0 0 9000 US BANCORP DEL COM NEW 902973304 253 4673 SH DFND 0 0 4673 USA TECHNOLOGIES INC COM NO PAR 90328S500 487 49900 SH DFND 0 0 49900 VALERO ENERGY CORP NEW COM 91913Y100 314 3418 SH DFND 0 0 3418 VANECK VECTORS ETF TR AMT FREE INT ETF 92189F544 984 40741 SH DFND 0 0 40741 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 894 38383 SH DFND 0 0 38383 VANECK VECTORS ETF TR PFD SECS EX FINL 92189F429 338 17219 SH DFND 0 0 17219 VANGUARD INDEX FDS GROWTH ETF 922908736 427 3038 SH DFND 0 0 3038 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 292 2283 SH DFND 0 0 2283 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 570 5121 SH DFND 0 0 5121 VANGUARD INDEX FDS MID CAP ETF 922908629 1000 6464 SH DFND 0 0 6464 VANGUARD INDEX FDS REIT ETF 922908553 1813 21852 SH DFND 0 0 21852 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 305 1242 SH DFND 0 0 1242 VANGUARD INDEX FDS VALUE ETF 922908744 376 3537 SH DFND 0 0 3537 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 521 11358 SH DFND 0 0 11358 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 567 9596 SH DFND 0 0 9596 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 248 3122 SH DFND 0 0 3122 VANGUARD SCOTTSDALE FDS VNG RUS2000GRW 92206C623 345 2540 SH DFND 0 0 2540 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 761 7446 SH DFND 0 0 7446 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 456 10158 SH DFND 0 0 10158 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 329 2147 SH DFND 0 0 2147 VENTAS INC COM 92276F100 518 8631 SH DFND 0 0 8631 VERINT SYS INC NOTE 1.500% 6/0 92343XAA8 34 34000 PRN DFND 0 0 34000 VERISK ANALYTICS INC COM 92345Y106 658 6846 SH DFND 0 0 6846 VERIZON COMMUNICATIONS INC COM 92343V104 3783 71576 SH DFND 0 0 71576 VISA INC COM CL A 92826C839 7793 68283 SH DFND 0 0 68283 VMWARE INC CL A COM 928563402 304 2424 SH DFND 0 0 2424 VOYA FINL INC COM 929089100 402 8150 SH DFND 0 0 8150 W P CAREY INC COM 92936U109 879 12719 SH DFND 0 0 12719 WABASH NATL CORP NOTE 3.375% 5/0 929566AH0 45 23000 PRN DFND 0 0 23000 WABTEC CORP COM 929740108 284 3507 SH DFND 0 0 3507 WALGREENS BOOTS ALLIANCE INC COM 931427108 248 3391 SH DFND 0 0 3391 WAL-MART STORES INC COM 931142103 1142 11550 SH DFND 0 0 11550 WASTE CONNECTIONS INC COM 94106B101 1144 16144 SH DFND 0 0 16144 WASTE MGMT INC DEL COM 94106L109 215 2469 SH DFND 0 0 2469 WATERS CORP COM 941848103 202 1050 SH DFND 0 0 1050 WEATHERFORD INTL LTD NOTE 5.875% 7/0 947075AH0 59 55000 PRN DFND 0 0 55000 WEC ENERGY GROUP INC COM 92939U106 247 3714 SH DFND 0 0 3714 WELLS FARGO CO NEW COM 949746101 3983 65829 SH DFND 0 0 65829 WELLTOWER INC COM 95040Q104 370 5817 SH DFND 0 0 5817 WESTERN ASSET MUN HI INCM FD COM 95766N103 517 69793 SH DFND 0 0 69793 WILLIS TOWERS WATSON PUB LTD SHS G96629103 279 1850 SH DFND 0 0 1850 WISDOMTREE TR EMG MKTS SMCAP 97717W281 1393 26745 SH DFND 0 0 26745 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 301 4728 SH DFND 0 0 4728 WRIGHT MED GROUP INC NOTE 2.000% 2/1 98235TAE7 36 36000 PRN DFND 0 0 36000 WSFS FINL CORP COM 929328102 230 4800 SH DFND 0 0 4800 XENIA HOTELS & RESORTS INC COM 984017103 727 33640 SH DFND 0 0 33640 YUM BRANDS INC COM 988498101 609 7461 SH DFND 0 0 7461 YUM CHINA HLDGS INC COM 98850P109 238 5961 SH DFND 0 0 5961