Chief Compliance Officer

0001085146-18-001381.txt : 20180514 0001085146-18-001381.hdr.sgml : 20180514 20180514090931 ACCESSION NUMBER: 0001085146-18-001381 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180514 DATE AS OF CHANGE: 20180514 EFFECTIVENESS DATE: 20180514 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: 18828888 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 03-31-2018 03-31-2018 false Brown Advisory Securities, LLC

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

13F HOLDINGS REPORT 028-12353 N Brett D. Rogers Chief Compliance Officer 410-537-5486 /s/ Brett D. Rogers Baltimore MD 05-09-2018 0 393 537561 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 2880 13099 SH DFND 0 0 13099 ABBOTT LABS COM 002824100 3252 54309 SH DFND 0 0 54309 ABBVIE INC COM 00287Y109 4516 47755 SH DFND 0 0 47755 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 5819 37926 SH DFND 0 0 37926 ACUITY BRANDS INC COM 00508Y102 209 1506 SH DFND 0 0 1506 ADOBE SYS INC COM 00724F101 1070 4959 SH DFND 0 0 4959 ADVANSIX INC COM 00773T101 208 5969 SH DFND 0 0 5969 AETNA INC NEW COM 00817Y108 715 4228 SH DFND 0 0 4228 AFLAC INC COM 001055102 272 6184 SH DFND 0 0 6184 AIR LEASE CORP NOTE 3.875%12/0 00912XAK0 54 38000 PRN DFND 0 0 38000 AIR PRODS & CHEMS INC COM 009158106 440 2761 SH DFND 0 0 2761 ALARM COM HLDGS INC COM 011642105 216 5731 SH DFND 0 0 5731 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 2676 14589 SH DFND 0 0 14589 ALLEGION PUB LTD CO ORD SHS G0176J109 319 3740 SH DFND 0 0 3740 ALLSTATE CORP COM 020002101 1512 15946 SH DFND 0 0 15946 ALPHABET INC CAP STK CL A 02079K305 10890 10504 SH DFND 0 0 10504 ALPHABET INC CAP STK CL C 02079K107 7418 7195 SH DFND 0 0 7195 ALTRIA GROUP INC COM 02209S103 1779 28650 SH DFND 0 0 28650 AMAZON COM INC COM 023135106 20126 13914 SH DFND 0 0 13914 AMERICAN EXPRESS CO COM 025816109 1646 17619 SH DFND 0 0 17619 AMERICAN INTL GROUP INC COM NEW 026874784 240 4456 SH DFND 0 0 4456 AMERICAN TOWER CORP NEW COM 03027X100 4475 30785 SH DFND 0 0 30785 AMERIPRISE FINL INC COM 03076C106 214 1448 SH DFND 0 0 1448 AMGEN INC COM 031162100 2841 16671 SH DFND 0 0 16671 AMPHENOL CORP NEW CL A 032095101 620 7219 SH DFND 0 0 7219 ANADARKO PETE CORP COM 032511107 725 12045 SH DFND 0 0 12045 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 308 2826 SH DFND 0 0 2826 ANNALY CAP MGMT INC COM 035710409 122 11722 SH DFND 0 0 11722 ANTARES PHARMA INC COM 036642106 605 275000 SH DFND 0 0 275000 ANTHEM INC COM 036752103 660 3003 SH DFND 0 0 3003 APACHE CORP COM 037411105 323 8399 SH DFND 0 0 8399 APPLE INC COM 037833100 26182 155996 SH DFND 0 0 155996 ARALEZ PHARMACEUTICALS INC COM 03852X100 408 272000 SH DFND 0 0 272000 ARES MGMT LP COM SHS REG INT 04014Y101 334 15600 SH DFND 0 0 15600 ASTRONICS CORP COM 046433108 681 18246 SH DFND 0 0 18246 AT&T INC COM 00206R102 2863 80226 SH DFND 0 0 80226 ATLAS AIR WORLDWIDE HLDGS IN NOTE 2.250% 6/0 049164BH8 39 35000 PRN DFND 0 0 35000 AUTOMATIC DATA PROCESSING IN COM 053015103 701 6186 SH DFND 0 0 6186 AVALONBAY CMNTYS INC COM 053484101 530 3222 SH DFND 0 0 3222 AVERY DENNISON CORP COM 053611109 401 3770 SH DFND 0 0 3770 BAIDU INC SPON ADR REP A 056752108 2376 10647 SH DFND 0 0 10647 BANK AMER CORP COM 060505104 2381 79373 SH DFND 0 0 79373 BANK NEW YORK MELLON CORP COM 064058100 605 11742 SH DFND 0 0 11742 BAXTER INTL INC COM 071813109 258 4001 SH DFND 0 0 4001 BB&T CORP COM 054937107 736 14138 SH DFND 0 0 14138 BBX CAP CORP NEW CL A 05491N104 141 15337 SH DFND 0 0 15337 BECTON DICKINSON & CO COM 075887109 221 1017 SH DFND 0 0 1017 BERKSHIRE HATHAWAY INC DEL CL A 084670108 299 1 SH DFND 0 0 1 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 8238 41229 SH DFND 0 0 41229 BEST BUY INC COM 086516101 504 7193 SH DFND 0 0 7193 BIOMARIN PHARMACEUTICAL INC NOTE 0.750%10/1 09061GAE1 26 26000 PRN DFND 0 0 26000 BLACKHAWK NETWORK HLDGS INC NOTE 1.500% 1/1 09238EAB0 37 35000 PRN DFND 0 0 35000 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 724 22709 SH DFND 0 0 22709 BOEING CO COM 097023105 1554 4730 SH DFND 0 0 4730 BOOKING HLDGS INC COM 09857L108 1402 675 SH DFND 0 0 675 BP PLC SPONSORED ADR 055622104 488 12021 SH DFND 0 0 12021 BRIGHT HORIZONS FAM SOL IN D COM 109194100 836 8373 SH DFND 0 0 8373 BRISTOL MYERS SQUIBB CO COM 110122108 1622 25639 SH DFND 0 0 25639 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 712 18251 SH DFND 0 0 18251 BROOKFIELD INFRAST PARTNERS LP INT UNIT G16252101 1079 25935 SH DFND 0 0 25935 CANADIAN NATL RY CO COM 136375102 576 7890 SH DFND 0 0 7890 CARLYLE GROUP L P COM UTS LTD PTN 14309L102 524 24510 SH DFND 0 0 24510 CARMAX INC COM 143130102 419 6750 SH DFND 0 0 6750 CATERPILLAR INC DEL COM 149123101 1378 9384 SH DFND 0 0 9384 CEDAR FAIR L P DEPOSITRY UNIT 150185106 272 4259 SH DFND 0 0 4259 CHART INDS INC NOTE 2.000% 8/0 16115QAC4 23 23000 PRN DFND 0 0 23000 CHESAPEAKE ENERGY CORP COM 165167107 127 41900 SH DFND 0 0 41900 CHEVRON CORP NEW COM 166764100 2551 22393 SH DFND 0 0 22393 CHUBB LIMITED COM H1467J104 490 3581 SH DFND 0 0 3581 CIGNA CORPORATION COM 125509109 721 4296 SH DFND 0 0 4296 CINCINNATI BELL INC NEW PFD CV DEP1/20 171871403 1296 26474 SH DFND 0 0 26474 CISCO SYS INC COM 17275R102 4384 102293 SH DFND 0 0 102293 CITRIX SYS INC NOTE 0.500% 4/1 177376AD2 38 28000 PRN DFND 0 0 28000 CLOROX CO DEL COM 189054109 668 5005 SH DFND 0 0 5005 COCA COLA CO COM 191216100 1858 42832 SH DFND 0 0 42832 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 1023 12713 SH DFND 0 0 12713 COLGATE PALMOLIVE CO COM 194162103 1022 14221 SH DFND 0 0 14221 COMCAST CORP NEW CL A 20030N101 929 27225 SH DFND 0 0 27225 CONAGRA BRANDS INC COM 205887102 514 13918 SH DFND 0 0 13918 CONOCOPHILLIPS COM 20825C104 693 11670 SH DFND 0 0 11670 COSTCO WHSL CORP NEW COM 22160K105 2153 11419 SH DFND 0 0 11419 CROWN CASTLE INTL CORP NEW COM 22822V101 861 7838 SH DFND 0 0 7838 CSX CORP COM 126408103 410 7394 SH DFND 0 0 7394 CUMMINS INC COM 231021106 297 1828 SH DFND 0 0 1828 CVS HEALTH CORP COM 126650100 1011 16313 SH DFND 0 0 16313 CYPRESS SEMICONDUCTOR CORP NOTE 4.500% 1/1 232806AM1 16 13000 PRN DFND 0 0 13000 DANAHER CORP DEL COM 235851102 3381 34582 SH DFND 0 0 34582 DANAHER CORP DEL DBCV 1/2 235851AF9 75 21000 PRN DFND 0 0 21000 DAVITA INC COM 23918K108 336 5084 SH DFND 0 0 5084 DEERE & CO COM 244199105 1154 7425 SH DFND 0 0 7425 DELTA AIR LINES INC DEL COM NEW 247361702 455 8364 SH DFND 0 0 8364 DIAGEO P L C SPON ADR NEW 25243Q205 997 7365 SH DFND 0 0 7365 DISH NETWORK CORP NOTE 3.375% 8/1 25470MAB5 48 48000 PRN DFND 0 0 48000 DISNEY WALT CO COM DISNEY 254687106 2609 25982 SH DFND 0 0 25982 DOMINION ENERGY INC COM 25746U109 1183 17555 SH DFND 0 0 17555 DOUBLELINE OPPORTUNISTIC CR COM 258623107 249 11450 SH DFND 0 0 11450 DOWDUPONT INC COM 26078J100 2154 33813 SH DFND 0 0 33813 DUKE ENERGY CORP NEW COM NEW 26441C204 1619 20965 SH DFND 0 0 20965 EASTERLY GOVT PPTYS INC COM 27616P103 334 16353 SH DFND 0 0 16353 EATON CORP PLC SHS G29183103 617 7710 SH DFND 0 0 7710 EATON VANCE TAX MNGD GBL DV COM 27829F108 113 12340 SH DFND 0 0 12340 EATON VANCE TX MGD DIV EQ IN COM 27828N102 119 10245 SH DFND 0 0 10245 EBAY INC COM 278642103 228 5664 SH DFND 0 0 5664 ECLIPSE RES CORP COM 27890G100 36 25000 SH DFND 0 0 25000 ECOLAB INC COM 278865100 819 5961 SH DFND 0 0 5961 EDWARDS LIFESCIENCES CORP COM 28176E108 684 4887 SH DFND 0 0 4887 EMERSON ELEC CO COM 291011104 1251 18356 SH DFND 0 0 18356 ENBRIDGE INC COM 29250N105 2051 65211 SH DFND 0 0 65211 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 157 11002 SH DFND 0 0 11002 ENTERPRISE PRODS PARTNERS L COM 293792107 1699 69516 SH DFND 0 0 69516 EQUIFAX INC COM 294429105 4030 34197 SH DFND 0 0 34197 EVERSOURCE ENERGY COM 30040W108 324 5492 SH DFND 0 0 5492 EXELIXIS INC COM 30161Q104 443 20000 SH DFND 0 0 20000 EXELON CORP COM 30161N101 469 11976 SH DFND 0 0 11976 EXPRESS SCRIPTS HLDG CO COM 30219G108 763 11043 SH DFND 0 0 11043 EXXON MOBIL CORP COM 30231G102 7243 97163 SH DFND 0 0 97163 FACEBOOK INC CL A 30303M102 5594 34982 SH DFND 0 0 34982 FAIR ISAAC CORP COM 303250104 339 2000 SH DFND 0 0 2000 FIAT CHRYSLER AUTOMOBILES N SHS N31738102 257 12500 SH DFND 0 0 12500 FIDELITY NATL INFORMATION SV COM 31620M106 1697 17620 SH DFND 0 0 17620 FIRST HORIZON NATL CORP COM 320517105 246 13039 SH DFND 0 0 13039 FIRST TR EXCHANGE TRADED FD FIRST TR ENH NEW 33739Q408 522 8700 SH DFND 0 0 8700 FIRST TR EXCHANGE TRADED FD NY ARCA BIOTECH 33733E203 2310 17365 SH DFND 0 0 17365 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 1582 81291 SH DFND 0 0 81291 FLEX LTD ORD Y2573F102 496 30568 SH DFND 0 0 30568 FORD MTR CO DEL COM PAR $0.01 345370860 619 55853 SH DFND 0 0 55853 FORTIVE CORP COM 34959J108 1530 19641 SH DFND 0 0 19641 GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 70 14150 SH DFND 0 0 14150 GAMESTOP CORP NEW CL A 36467W109 364 28575 SH DFND 0 0 28575 GENERAL DYNAMICS CORP COM 369550108 3803 17234 SH DFND 0 0 17234 GENERAL ELECTRIC CO COM 369604103 1745 129824 SH DFND 0 0 129824 GENERAL MLS INC COM 370334104 411 9136 SH DFND 0 0 9136 GILEAD SCIENCES INC COM 375558103 1897 25178 SH DFND 0 0 25178 GOLDMAN SACHS GROUP INC COM 38141G104 380 1512 SH DFND 0 0 1512 GOLUB CAP BDC INC COM 38173M102 801 44739 SH DFND 0 0 44739 GRAINGER W W INC COM 384802104 302 1066 SH DFND 0 0 1066 GUIDEWIRE SOFTWARE INC COM 40171V100 233 2910 SH DFND 0 0 2910 HALLIBURTON CO COM 406216101 202 4313 SH DFND 0 0 4313 HAMILTON BANCORP INC MD COM 407015106 143 10000 SH DFND 0 0 10000 HANCOCK JOHN PFD INCOME FD I COM 41021P103 210 11933 SH DFND 0 0 11933 HD SUPPLY HLDGS INC COM 40416M105 1314 34659 SH DFND 0 0 34659 HEICO CORP NEW COM 422806109 296 3416 SH DFND 0 0 3416 HELIX ENERGY SOLUTIONS GRP I NOTE 4.250% 5/0 42330PAH0 35 35000 PRN DFND 0 0 35000 HOME DEPOT INC COM 437076102 2588 14523 SH DFND 0 0 14523 HONEYWELL INTL INC COM 438516106 1003 6946 SH DFND 0 0 6946 HORIZON TECHNOLOGY FIN CORP COM 44045A102 209 19950 SH DFND 0 0 19950 HP INC COM 40434L105 274 12571 SH DFND 0 0 12571 ICON PLC SHS G4705A100 851 7200 SH DFND 0 0 7200 ILLINOIS TOOL WKS INC COM 452308109 398 2543 SH DFND 0 0 2543 ILLUMINA INC NOTE 0.500% 6/1 452327AH2 44 34000 PRN DFND 0 0 34000 INGERSOLL-RAND PLC SHS G47791101 538 6291 SH DFND 0 0 6291 INPHI CORP NOTE 1.125%12/0 45772FAB3 25 25000 PRN DFND 0 0 25000 INTEL CORP COM 458140100 6398 122805 SH DFND 0 0 122805 INTEL CORP SDCV 3.250% 8/0 458140AF7 64 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 4959 32310 SH DFND 0 0 32310 INTUIT COM 461202103 1160 6689 SH DFND 0 0 6689 INTUITIVE SURGICAL INC COM NEW 46120E602 2855 6914 SH DFND 0 0 6914 IONIS PHARMACEUTICALS INC COM 462222100 249 5675 SH DFND 0 0 5675 ISHARES GOLD TRUST ISHARES 464285105 534 41858 SH DFND 0 0 41858 ISHARES INC CORE MSCI EMKT 46434G103 898 15343 SH DFND 0 0 15343 ISHARES INC MSCI JPN ETF NEW 46434G822 325 5364 SH DFND 0 0 5364 ISHARES INC MSCI PAC JP ETF 464286665 598 12840 SH DFND 0 0 12840 ISHARES SILVER TRUST ISHARES 46428Q109 345 22405 SH DFND 0 0 22405 ISHARES TR 1 3 YR CR BD ETF 464288646 434 4179 SH DFND 0 0 4179 ISHARES TR 1 3 YR TREAS BD 464287457 258 3074 SH DFND 0 0 3074 ISHARES TR 20 YR TR BD ETF 464287432 2404 19707 SH DFND 0 0 19707 ISHARES TR 3 7 YR TREAS BD 464288661 401 3309 SH DFND 0 0 3309 ISHARES TR CORE HIGH DV ETF 46429B663 1175 13902 SH DFND 0 0 13902 ISHARES TR CORE MSCI TOTAL 46432F834 2482 39319 SH DFND 0 0 39319 ISHARES TR CORE S&P MCP ETF 464287507 4413 23524 SH DFND 0 0 23524 ISHARES TR CORE S&P SCP ETF 464287804 4380 56906 SH DFND 0 0 56906 ISHARES TR CORE S&P500 ETF 464287200 8001 30146 SH DFND 0 0 30146 ISHARES TR CORE US AGGBD ET 464287226 4754 44325 SH DFND 0 0 44325 ISHARES TR EAFE SML CP ETF 464288273 739 11377 SH DFND 0 0 11377 ISHARES TR FLTG RATE NT ETF 46429B655 1508 29567 SH DFND 0 0 29567 ISHARES TR IBOXX HI YD ETF 464288513 1596 18631 SH DFND 0 0 18631 ISHARES TR IBOXX INV CP ETF 464287242 538 4590 SH DFND 0 0 4590 ISHARES TR INTRM GOV CR ETF 464288612 374 3453 SH DFND 0 0 3453 ISHARES TR JPMORGAN USD EMG 464288281 251 2191 SH DFND 0 0 2191 ISHARES TR MSCI EAFE ETF 464287465 1554 22339 SH DFND 0 0 22339 ISHARES TR MSCI EMG MKT ETF 464287234 2064 42860 SH DFND 0 0 42860 ISHARES TR NASDAQ BIOTECH 464287556 418 3910 SH DFND 0 0 3910 ISHARES TR NATIONAL MUN ETF 464288414 1105 10128 SH DFND 0 0 10128 ISHARES TR RUS 1000 GRW ETF 464287614 1538 11295 SH DFND 0 0 11295 ISHARES TR RUS 1000 VAL ETF 464287598 2776 23154 SH DFND 0 0 23154 ISHARES TR RUS 2000 GRW ETF 464287648 1663 8712 SH DFND 0 0 8712 ISHARES TR RUS 2000 VAL ETF 464287630 681 5578 SH DFND 0 0 5578 ISHARES TR RUS MDCP VAL ETF 464287473 905 10489 SH DFND 0 0 10489 ISHARES TR RUSSELL 2000 ETF 464287655 921 6070 SH DFND 0 0 6070 ISHARES TR S&P MC 400GR ETF 464287606 1399 6409 SH DFND 0 0 6409 ISHARES TR S&P MC 400VL ETF 464287705 527 3428 SH DFND 0 0 3428 ISHARES TR S&P SML 600 GWT 464287887 434 2496 SH DFND 0 0 2496 ISHARES TR SELECT DIVID ETF 464287168 5178 54517 SH DFND 0 0 54517 ISHARES TR TIPS BD ETF 464287176 975 8612 SH DFND 0 0 8612 ISHARES TR U.S. ENERGY ETF 464287796 276 7550 SH DFND 0 0 7550 ISHARES TR U.S. UTILITS ETF 464287697 271 2133 SH DFND 0 0 2133 ISHARES TR US AER DEF ETF 464288760 226 1140 SH DFND 0 0 1140 ISHARES TR US CR BD ETF 464288620 614 5633 SH DFND 0 0 5633 ISHARES TR US HLTHCARE ETF 464287762 351 2032 SH DFND 0 0 2032 ISIS PHARMACEUTICALS INC DEL NOTE 1.000%11/1 464337AJ3 17 17000 PRN DFND 0 0 17000 JACOBS ENGR GROUP INC DEL COM 469814107 570 9634 SH DFND 0 0 9634 JOHNSON & JOHNSON COM 478160104 10419 81308 SH DFND 0 0 81308 JPMORGAN CHASE & CO COM 46625H100 7116 64717 SH DFND 0 0 64717 KAYNE ANDERSON MLP INVT CO COM 486606106 220 13485 SH DFND 0 0 13485 KELLOGG CO COM 487836108 345 5304 SH DFND 0 0 5304 KIMBERLY CLARK CORP COM 494368103 392 3559 SH DFND 0 0 3559 KINDER MORGAN INC DEL COM 49456B101 441 29151 SH DFND 0 0 29151 KINSALE CAP GROUP INC COM 49714P108 460 8968 SH DFND 0 0 8968 KRAFT HEINZ CO COM 500754106 548 8804 SH DFND 0 0 8804 LABORATORY CORP AMER HLDGS COM NEW 50540R409 209 1295 SH DFND 0 0 1295 LAM RESEARCH CORP NOTE 1.250% 5/1 512807AL2 79 23000 PRN DFND 0 0 23000 LAUDER ESTEE COS INC CL A 518439104 313 2094 SH DFND 0 0 2094 LIBERTY MEDIA CORP DELAWARE NOTE 1.375%10/1 531229AB8 39 35000 PRN DFND 0 0 35000 LILLY ELI & CO COM 532457108 811 10500 SH DFND 0 0 10500 LOCKHEED MARTIN CORP COM 539830109 480 1418 SH DFND 0 0 1418 LOWES COS INC COM 548661107 650 7400 SH DFND 0 0 7400 M & T BK CORP COM 55261F104 1196 6492 SH DFND 0 0 6492 MACQUARIE INFRASTRUCTURE COR NOTE 2.875% 7/1 55608BAA3 33 33000 PRN DFND 0 0 33000 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 452 7740 SH DFND 0 0 7740 MARKEL CORP COM 570535104 778 664 SH DFND 0 0 664 MARRIOTT INTL INC NEW CL A 571903202 986 7247 SH DFND 0 0 7247 MARSH & MCLENNAN COS INC COM 571748102 212 2549 SH DFND 0 0 2549 MARTEN TRANS LTD COM 573075108 342 15000 SH DFND 0 0 15000 MASIMO CORP COM 574795100 602 6830 SH DFND 0 0 6830 MASTERCARD INCORPORATED CL A 57636Q104 17714 101079 SH DFND 0 0 101079 MCCORMICK & CO INC COM NON VTG 579780206 3224 30277 SH DFND 0 0 30277 MCCORMICK & CO INC COM VTG 579780107 1436 13571 SH DFND 0 0 13571 MCDONALDS CORP COM 580135101 1911 12236 SH DFND 0 0 12236 MCKESSON CORP COM 58155Q103 468 3319 SH DFND 0 0 3319 MEDICINES CO NOTE 2.750% 7/1 584688AG0 17 17000 PRN DFND 0 0 17000 MEDIDATA SOLUTIONS INC COM 58471A105 353 5630 SH DFND 0 0 5630 MEDTRONIC PLC SHS G5960L103 455 5695 SH DFND 0 0 5695 MELCO RESORT ENTERTAINMENT L ADR 585464100 522 18000 SH DFND 0 0 18000 MERCK & CO INC COM 58933Y105 5372 98665 SH DFND 0 0 98665 METLIFE INC COM 59156R108 1734 37766 SH DFND 0 0 37766 MICROCHIP TECHNOLOGY INC COM 595017104 1027 11228 SH DFND 0 0 11228 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 62 36000 PRN DFND 0 0 36000 MICROSOFT CORP COM 594918104 15346 168109 SH DFND 0 0 168109 MOLINA HEALTHCARE INC DBCV 1.625% 8/1 60855RAD2 36 25000 PRN DFND 0 0 25000 MONDELEZ INTL INC CL A 609207105 1652 39631 SH DFND 0 0 39631 MORGAN STANLEY COM NEW 617446448 347 6431 SH DFND 0 0 6431 NETAPP INC COM 64110D104 450 7277 SH DFND 0 0 7277 NETFLIX INC COM 64110L106 5237 17732 SH DFND 0 0 17732 NEXTERA ENERGY INC COM 65339F101 953 5829 SH DFND 0 0 5829 NICE SYS INC NOTE 1.250% 1/1 65366HAB9 44 34000 PRN DFND 0 0 34000 NIKE INC CL B 654106103 972 14628 SH DFND 0 0 14628 NORFOLK SOUTHERN CORP COM 655844108 434 3190 SH DFND 0 0 3190 NORTHROP GRUMMAN CORP COM 666807102 218 625 SH DFND 0 0 625 NOVARTIS A G SPONSORED ADR 66987V109 471 5828 SH DFND 0 0 5828 NUSTAR GP HOLDINGS LLC UNIT RESTG LLC 67059L102 263 22662 SH DFND 0 0 22662 NUVASIVE INC NOTE 2.250% 3/1 670704AG0 36 35000 PRN DFND 0 0 35000 NUVEEN MARYLAND QLT MUN INC COM 67061Q107 165 13587 SH DFND 0 0 13587 NUVEEN MUN VALUE FD INC COM 670928100 113 12000 SH DFND 0 0 12000 NYMOX PHARMACEUTICAL CORP COM P73398102 118 28000 SH DFND 0 0 28000 OAKTREE SPECIALTY LENDING CO COM 67401P108 159 37579 SH DFND 0 0 37579 OASIS PETE INC NEW NOTE 2.625% 9/1 674215AJ7 46 46000 PRN DFND 0 0 46000 OCCIDENTAL PETE CORP DEL COM 674599105 409 6322 SH DFND 0 0 6322 OLIN CORP COM PAR $1 680665205 499 16377 SH DFND 0 0 16377 ON SEMICONDUCTOR CORP NOTE 1.000%12/0 682189AK1 46 33000 PRN DFND 0 0 33000 ONEOK INC NEW COM 682680103 863 15207 SH DFND 0 0 15207 ORACLE CORP COM 68389X105 314 6892 SH DFND 0 0 6892 PALO ALTO NETWORKS INC COM 697435105 933 5131 SH DFND 0 0 5131 PAYPAL HLDGS INC COM 70450Y103 7614 100358 SH DFND 0 0 100358 PEPSICO INC COM 713448108 4918 45062 SH DFND 0 0 45062 PFIZER INC COM 717081103 3138 88417 SH DFND 0 0 88417 PHILIP MORRIS INTL INC COM 718172109 1565 15721 SH DFND 0 0 15721 PHILLIPS 66 COM 718546104 1524 15894 SH DFND 0 0 15894 PNC FINL SVCS GROUP INC COM 693475105 1924 12736 SH DFND 0 0 12736 POWERSHARES ETF TR II PFD PORTFOLIO 73936T565 392 26854 SH DFND 0 0 26854 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 210 4477 SH DFND 0 0 4477 POWERSHARES ETF TRUST DWA MOMENTUM PTF 73935X153 253 4791 SH DFND 0 0 4791 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 2055 12857 SH DFND 0 0 12857 PPG INDS INC COM 693506107 316 2830 SH DFND 0 0 2830 PRICE T ROWE GROUP INC COM 74144T108 3354 31076 SH DFND 0 0 31076 PRICELINE GRP INC NOTE 0.350% 6/1 741503AS5 62 38000 PRN DFND 0 0 38000 PROCTER AND GAMBLE CO COM 742718109 6414 80839 SH DFND 0 0 80839 PROOFPOINT INC COM 743424103 587 5175 SH DFND 0 0 5175 PROOFPOINT INC DBCV 0.750% 6/1 743424AD5 41 28000 PRN DFND 0 0 28000 PUBLIC SVC ENTERPRISE GROUP COM 744573106 254 5067 SH DFND 0 0 5067 QUALCOMM INC COM 747525103 5257 94798 SH DFND 0 0 94798 RED HAT INC COM 756577102 363 2423 SH DFND 0 0 2423 RED HAT INC NOTE 0.250%10/0 756577AD4 76 38000 PRN DFND 0 0 38000 REGENERON PHARMACEUTICALS COM 75886F107 796 2316 SH DFND 0 0 2316 REGIONS FINL CORP NEW COM 7591EP100 654 35122 SH DFND 0 0 35122 RITE AID CORP COM 767754104 35 20955 SH DFND 0 0 20955 ROPER TECHNOLOGIES INC COM 776696106 266 948 SH DFND 0 0 948 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 7625 76623 SH DFND 0 0 76623 RYDEX ETF TRUST GUG S&P500EQWTFI 78355W858 252 5750 SH DFND 0 0 5750 S&P GLOBAL INC COM 78409V104 920 4818 SH DFND 0 0 4818 SALESFORCE COM INC COM 79466L302 3596 30892 SH DFND 0 0 30892 SALIENT MIDSTREAM & MLP FD SH BEN INT 79471V105 203 22300 SH DFND 0 0 22300 SBA COMMUNICATIONS CORP NEW CL A 78410G104 760 4451 SH DFND 0 0 4451 SCHLUMBERGER LTD COM 806857108 1442 22379 SH DFND 0 0 22379 SCHWAB CHARLES CORP NEW COM 808513105 9427 180528 SH DFND 0 0 180528 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 3042 47680 SH DFND 0 0 47680 SELECT SECTOR SPDR TR ENERGY 81369Y506 476 7056 SH DFND 0 0 7056 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 238 7671 SH DFND 0 0 7671 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 229 2254 SH DFND 0 0 2254 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 483 5936 SH DFND 0 0 5936 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 547 19826 SH DFND 0 0 19826 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 598 7992 SH DFND 0 0 7992 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 591 9037 SH DFND 0 0 9037 SERVICENOW INC NOTE 11/0 81762PAB8 78 34000 PRN DFND 0 0 34000 SIRIUS XM HLDGS INC COM 82968B103 90 14513 SH DFND 0 0 14513 SOUTHERN CO COM 842587107 394 8901 SH DFND 0 0 8901 SPDR GOLD TRUST GOLD SHS 78463V107 297 2362 SH DFND 0 0 2362 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 478 11883 SH DFND 0 0 11883 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 452 8646 SH DFND 0 0 8646 SPDR S&P 500 ETF TR TR UNIT 78462F103 2960 11239 SH DFND 0 0 11239 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 1442 40214 SH DFND 0 0 40214 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 2117 69812 SH DFND 0 0 69812 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 459 3710 SH DFND 0 0 3710 SPDR SERIES TRUST S&P BIOTECH 78464A870 404 4605 SH DFND 0 0 4605 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1162 12756 SH DFND 0 0 12756 SPECTRUM PHARMACEUTICALS INC COM 84763A108 402 25000 SH DFND 0 0 25000 STANLEY BLACK & DECKER INC COM 854502101 234 1527 SH DFND 0 0 1527 STARBUCKS CORP COM 855244109 5085 87770 SH DFND 0 0 87770 STRYKER CORP COM 863667101 2219 13792 SH DFND 0 0 13792 SUNCOR ENERGY INC NEW COM 867224107 1165 33710 SH DFND 0 0 33710 SUNTRUST BKS INC COM 867914103 549 8084 SH DFND 0 0 8084 SYSCO CORP COM 871829107 385 6477 SH DFND 0 0 6477 TARGET CORP COM 87612E106 267 3844 SH DFND 0 0 3844 TEXAS INSTRS INC COM 882508104 395 3784 SH DFND 0 0 3784 THERMO FISHER SCIENTIFIC INC COM 883556102 459 2231 SH DFND 0 0 2231 TJX COS INC NEW COM 872540109 268 3292 SH DFND 0 0 3292 TRANSDIGM GROUP INC COM 893641100 639 2083 SH DFND 0 0 2083 TRAVELERS COMPANIES INC COM 89417E109 297 2137 SH DFND 0 0 2137 TWITTER INC COM 90184L102 734 25198 SH DFND 0 0 25198 UBS AG JERSEY BRH CMCI ETN 38 902641778 430 27884 SH DFND 0 0 27884 ULTIMATE SOFTWARE GROUP INC COM 90385D107 357 1469 SH DFND 0 0 1469 UNDER ARMOUR INC CL A 904311107 242 14656 SH DFND 0 0 14656 UNDER ARMOUR INC CL C 904311206 264 18398 SH DFND 0 0 18398 UNILEVER N V N Y SHS NEW 904784709 1129 19979 SH DFND 0 0 19979 UNILEVER PLC SPON ADR NEW 904767704 427 7639 SH DFND 0 0 7639 UNION PAC CORP COM 907818108 1370 10195 SH DFND 0 0 10195 UNITED BANKSHARES INC WEST V COM 909907107 558 15807 SH DFND 0 0 15807 UNITED PARCEL SERVICE INC CL B 911312106 508 4848 SH DFND 0 0 4848 UNITED TECHNOLOGIES CORP COM 913017109 3472 27590 SH DFND 0 0 27590 UNITEDHEALTH GROUP INC COM 91324P102 954 4472 SH DFND 0 0 4472 US BANCORP DEL COM NEW 902973304 225 4418 SH DFND 0 0 4418 USA TECHNOLOGIES INC COM NO PAR 90328S500 449 49900 SH DFND 0 0 49900 VALERO ENERGY CORP NEW COM 91913Y100 315 3400 SH DFND 0 0 3400 VANECK VECTORS ETF TR AMT FREE INT ETF 92189F544 943 39933 SH DFND 0 0 39933 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 922 41974 SH DFND 0 0 41974 VANECK VECTORS ETF TR PFD SECS EX FINL 92189F429 226 11829 SH DFND 0 0 11829 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 1065 13577 SH DFND 0 0 13577 VANGUARD GROUP DIV APP ETF 921908844 752 7448 SH DFND 0 0 7448 VANGUARD INDEX FDS GROWTH ETF 922908736 452 3186 SH DFND 0 0 3186 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 208 1907 SH DFND 0 0 1907 VANGUARD INDEX FDS MID CAP ETF 922908629 934 6051 SH DFND 0 0 6051 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 911 12053 SH DFND 0 0 12053 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 342 1417 SH DFND 0 0 1417 VANGUARD INDEX FDS VALUE ETF 922908744 379 3675 SH DFND 0 0 3675 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 635 13547 SH DFND 0 0 13547 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 758 13034 SH DFND 0 0 13034 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 205 2602 SH DFND 0 0 2602 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 539 12122 SH DFND 0 0 12122 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 210 1324 SH DFND 0 0 1324 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 285 4102 SH DFND 0 0 4102 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 338 2211 SH DFND 0 0 2211 VANGUARD WORLD FDS INF TECH ETF 92204A702 427 2498 SH DFND 0 0 2498 VARIAN MED SYS INC COM 92220P105 270 2203 SH DFND 0 0 2203 VENTAS INC COM 92276F100 420 8500 SH DFND 0 0 8500 VERINT SYS INC NOTE 1.500% 6/0 92343XAA8 32 32000 PRN DFND 0 0 32000 VERISK ANALYTICS INC COM 92345Y106 700 6744 SH DFND 0 0 6744 VERIZON COMMUNICATIONS INC COM 92343V104 3787 79130 SH DFND 0 0 79130 VIAVI SOLUTIONS INC NOTE 1.000% 3/0 925550AB1 20 20000 PRN DFND 0 0 20000 VISA INC COM CL A 92826C839 8248 68896 SH DFND 0 0 68896 VORNADO RLTY TR SH BEN INT 929042109 282 4206 SH DFND 0 0 4206 VOYA FINL INC COM 929089100 387 7650 SH DFND 0 0 7650 W P CAREY INC COM 92936U109 777 12531 SH DFND 0 0 12531 WABASH NATL CORP NOTE 3.375% 5/0 929566AH0 43 23000 PRN DFND 0 0 23000 WALGREENS BOOTS ALLIANCE INC COM 931427108 220 3367 SH DFND 0 0 3367 WALMART INC COM 931142103 1023 11477 SH DFND 0 0 11477 WASTE CONNECTIONS INC COM 94106B101 1154 16089 SH DFND 0 0 16089 WASTE MGMT INC DEL COM 94106L109 208 2469 SH DFND 0 0 2469 WATERS CORP COM 941848103 228 1140 SH DFND 0 0 1140 WEATHERFORD INTL LTD NOTE 5.875% 7/0 947075AH0 46 50000 PRN DFND 0 0 50000 WEC ENERGY GROUP INC COM 92939U106 233 3714 SH DFND 0 0 3714 WELLS FARGO CO NEW COM 949746101 2468 47129 SH DFND 0 0 47129 WELLTOWER INC COM 95040Q104 315 5802 SH DFND 0 0 5802 WESTERN ASSET MUN HI INCM FD COM 95766N103 475 65883 SH DFND 0 0 65883 WEYERHAEUSER CO COM 962166104 482 13770 SH DFND 0 0 13770 WILLIS TOWERS WATSON PUB LTD SHS G96629103 282 1850 SH DFND 0 0 1850 WISDOMTREE TR EMG MKTS SMCAP 97717W281 1174 21662 SH DFND 0 0 21662 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 662 33640 SH DFND 0 0 33640 YUM BRANDS INC COM 988498101 624 7306 SH DFND 0 0 7306 YUM CHINA HLDGS INC COM 98850P109 244 5881 SH DFND 0 0 5881