Chief Compliance Officer

0001085146-19-000693.txt : 20190213 0001085146-19-000693.hdr.sgml : 20190213 20190213172347 ACCESSION NUMBER: 0001085146-19-000693 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190213 DATE AS OF CHANGE: 20190213 EFFECTIVENESS DATE: 20190213 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: 19598787 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 false false 0001389479 XXXXXXXX 12-31-2018 12-31-2018 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 02-11-2019 0 389 523897 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 2818 14763 SH DFND 0 0 14763 ABBOTT LABS COM 002824100 3418 49210 SH DFND 0 0 49210 ABBVIE INC COM 00287Y109 3893 43554 SH DFND 0 0 43554 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 5297 37699 SH DFND 0 0 37699 ACUITY BRANDS INC COM 00508Y102 219 1896 SH DFND 0 0 1896 ADOBE INC COM 00724F101 1260 5606 SH DFND 0 0 5606 AEROJET ROCKETDYNE HLDGS INC NOTE 2.250%12/1 007800AB1 17 13000 PRN DFND 0 0 13000 AFLAC INC COM 001055102 270 5947 SH DFND 0 0 5947 AIR PRODS & CHEMS INC COM 009158106 417 2601 SH DFND 0 0 2601 ALARM COM HLDGS INC COM 011642105 257 4937 SH DFND 0 0 4937 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 3236 23644 SH DFND 0 0 23644 ALLEGION PUB LTD CO ORD SHS G0176J109 317 3904 SH DFND 0 0 3904 ALLSTATE CORP COM 020002101 583 7165 SH DFND 0 0 7165 ALPHABET INC CAP STK CL A 02079K305 10930 10355 SH DFND 0 0 10355 ALPHABET INC CAP STK CL C 02079K107 7829 7493 SH DFND 0 0 7493 ALPS ETF TR ALERIAN MLP 00162Q866 105 11770 SH DFND 0 0 11770 ALTRIA GROUP INC COM 02209S103 1257 25497 SH DFND 0 0 25497 AMAZON COM INC COM 023135106 22574 14668 SH DFND 0 0 14668 AMERICAN ELEC PWR INC COM 025537101 203 2812 SH DFND 0 0 2812 AMERICAN EXPRESS CO COM 025816109 1836 19199 SH DFND 0 0 19199 AMERICAN TOWER CORP NEW COM 03027X100 5080 32382 SH DFND 0 0 32382 AMGEN INC COM 031162100 1702 8867 SH DFND 0 0 8867 AMPHENOL CORP NEW CL A 032095101 629 7864 SH DFND 0 0 7864 ANADARKO PETE CORP COM 032511107 251 5631 SH DFND 0 0 5631 ANTARES PHARMA INC COM 036642106 781 275000 SH DFND 0 0 275000 ANTHEM INC COM 036752103 783 3067 SH DFND 0 0 3067 APPLE INC COM 037833100 23923 151427 SH DFND 0 0 151427 ARES MANAGEMENT CORPORATION CL A COM STK 03990B101 389 22100 SH DFND 0 0 22100 ARGENX SE SPONSORED ADR 04016X101 217 2200 SH DFND 0 0 2200 ARQULE INC COM 04269E107 30 10500 SH DFND 0 0 10500 ASTRONICS CORP COM 046433108 481 15678 SH DFND 0 0 15678 AT&T INC COM 00206R102 2550 86258 SH DFND 0 0 86258 ATLAS AIR WORLDWIDE HLDGS IN NOTE 2.250% 6/0 049164BH8 32 32000 PRN DFND 0 0 32000 AUTOMATIC DATA PROCESSING IN COM 053015103 756 5805 SH DFND 0 0 5805 AVALONBAY CMNTYS INC COM 053484101 563 3323 SH DFND 0 0 3323 AVERY DENNISON CORP COM 053611109 289 3214 SH DFND 0 0 3214 BAIDU INC SPON ADR REP A 056752108 1124 6926 SH DFND 0 0 6926 BANK AMER CORP COM 060505104 2010 80653 SH DFND 0 0 80653 BANK NEW YORK MELLON CORP COM 064058100 536 11219 SH DFND 0 0 11219 BAXTER INTL INC COM 071813109 267 4102 SH DFND 0 0 4102 BB&T CORP COM 054937107 575 12969 SH DFND 0 0 12969 BBX CAP CORP NEW CL A 05491N104 88 15337 SH DFND 0 0 15337 BECTON DICKINSON & CO COM 075887109 515 2344 SH DFND 0 0 2344 BERKSHIRE HATHAWAY INC DEL CL A 084670108 304 1 SH DFND 0 0 1 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 9464 46707 SH DFND 0 0 46707 BEST BUY INC COM 086516101 386 7193 SH DFND 0 0 7193 BIOMARIN PHARMACEUTICAL INC NOTE 0.599% 8/0 09061GAH4 34 34000 PRN DFND 0 0 34000 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 549 18292 SH DFND 0 0 18292 BOEING CO COM 097023105 1566 4838 SH DFND 0 0 4838 BOOKING HLDGS INC COM 09857L108 1289 750 SH DFND 0 0 750 BP PLC SPONSORED ADR 055622104 536 13902 SH DFND 0 0 13902 BRIGHT HORIZONS FAM SOL IN D COM 109194100 987 8939 SH DFND 0 0 8939 BRISTOL MYERS SQUIBB CO COM 110122108 1198 22890 SH DFND 0 0 22890 BROADCOM INC COM 11135F101 450 1776 SH DFND 0 0 1776 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 742 19548 SH DFND 0 0 19548 BROOKFIELD INFRAST PARTNERS LP INT UNIT G16252101 824 23609 SH DFND 0 0 23609 CANADIAN NATL RY CO COM 136375102 569 7705 SH DFND 0 0 7705 CARMAX INC COM 143130102 654 10413 SH DFND 0 0 10413 CATERPILLAR INC DEL COM 149123101 1221 9669 SH DFND 0 0 9669 CEDAR FAIR L P DEPOSITRY UNIT 150185106 202 4259 SH DFND 0 0 4259 CHEVRON CORP NEW COM 166764100 2607 23523 SH DFND 0 0 23523 CHUBB LIMITED COM H1467J104 410 3226 SH DFND 0 0 3226 CIGNA CORP NEW COM 125523100 1443 7715 SH DFND 0 0 7715 CINCINNATI BELL INC NEW PFD CV DEP1/20 171871403 800 26236 SH DFND 0 0 26236 CISCO SYS INC COM 17275R102 4576 106684 SH DFND 0 0 106684 CITIGROUP INC COM NEW 172967424 223 4092 SH DFND 0 0 4092 CITRIX SYS INC NOTE 0.500% 4/1 177376AD2 38 26000 PRN DFND 0 0 26000 CLOROX CO DEL COM 189054109 698 4637 SH DFND 0 0 4637 COCA COLA CO COM 191216100 2118 45125 SH DFND 0 0 45125 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 796 12689 SH DFND 0 0 12689 COLGATE PALMOLIVE CO COM 194162103 760 12852 SH DFND 0 0 12852 COMCAST CORP NEW CL A 20030N101 958 27837 SH DFND 0 0 27837 CONOCOPHILLIPS COM 20825C104 729 11503 SH DFND 0 0 11503 CORNING INC COM 219350105 202 6763 SH DFND 0 0 6763 COSTCO WHSL CORP NEW COM 22160K105 2351 11510 SH DFND 0 0 11510 CROWN CASTLE INTL CORP NEW COM 22822V101 854 8067 SH DFND 0 0 8067 CSX CORP COM 126408103 328 5275 SH DFND 0 0 5275 CUMMINS INC COM 231021106 209 1568 SH DFND 0 0 1568 CVS HEALTH CORP COM 126650100 5588 85154 SH DFND 0 0 85154 CYPRESS SEMICONDUCTOR CORP NOTE 4.500% 1/1 232806AM1 13 12000 PRN DFND 0 0 12000 DANAHER CORP DEL COM 235851102 3562 35466 SH DFND 0 0 35466 DANAHER CORP DEL DBCV 1/2 235851AF9 75 19000 PRN DFND 0 0 19000 DAVITA INC COM 23918K108 242 4678 SH DFND 0 0 4678 DEERE & CO COM 244199105 1423 9622 SH DFND 0 0 9622 DELTA AIR LINES INC DEL COM NEW 247361702 427 8501 SH DFND 0 0 8501 DIAGEO P L C SPON ADR NEW 25243Q205 947 6781 SH DFND 0 0 6781 DIREXION SHS ETF TR ALL CP INSIDER 25459Y769 218 6400 SH DFND 0 0 6400 DISH NETWORK CORP NOTE 3.375% 8/1 25470MAB5 34 43000 PRN DFND 0 0 43000 DISNEY WALT CO COM DISNEY 254687106 4102 37606 SH DFND 0 0 37606 DOLLAR TREE INC COM 256746108 519 5711 SH DFND 0 0 5711 DOMINION ENERGY INC COM 25746U109 1270 17820 SH DFND 0 0 17820 DOWDUPONT INC COM 26078J100 2415 44403 SH DFND 0 0 44403 DUKE ENERGY CORP NEW COM NEW 26441C204 1762 20808 SH DFND 0 0 20808 EASTERLY GOVT PPTYS INC COM 27616P103 311 20362 SH DFND 0 0 20362 EATON CORP PLC SHS G29183103 473 6881 SH DFND 0 0 6881 EATON VANCE TAX MNGD GBL DV COM 27829F108 94 12340 SH DFND 0 0 12340 EATON VANCE TX MGD DIV EQ IN COM 27828N102 106 10245 SH DFND 0 0 10245 ECLIPSE RES CORP COM 27890G100 26 25000 SH DFND 0 0 25000 ECOLAB INC COM 278865100 858 5925 SH DFND 0 0 5925 EDWARDS LIFESCIENCES CORP COM 28176E108 704 4713 SH DFND 0 0 4713 EMERSON ELEC CO COM 291011104 1037 17320 SH DFND 0 0 17320 ENBRIDGE INC COM 29250N105 1883 59658 SH DFND 0 0 59658 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 183 13836 SH DFND 0 0 13836 ENSCO JERSEY FIN LTD NOTE 3.000% 1/3 29359WAB1 26 39000 PRN DFND 0 0 39000 ENTERPRISE PRODS PARTNERS L COM 293792107 1619 64891 SH DFND 0 0 64891 EQUIFAX INC COM 294429105 3173 34099 SH DFND 0 0 34099 EVERBRIDGE INC COM 29978A104 468 8525 SH DFND 0 0 8525 EVERSOURCE ENERGY COM 30040W108 344 5391 SH DFND 0 0 5391 EXACT SCIENCES CORP DBCV 1.000% 1/1 30063PAA3 33 31000 PRN DFND 0 0 31000 EXELIXIS INC COM 30161Q104 399 20000 SH DFND 0 0 20000 EXELON CORP COM 30161N101 513 11645 SH DFND 0 0 11645 EXXON MOBIL CORP COM 30231G102 6214 89115 SH DFND 0 0 89115 FACEBOOK INC CL A 30303M102 4331 31950 SH DFND 0 0 31950 FAIR ISAAC CORP COM 303250104 361 1950 SH DFND 0 0 1950 FIAT CHRYSLER AUTOMOBILES N SHS N31738102 179 12500 SH DFND 0 0 12500 FIDELITY NATL INFORMATION SV COM 31620M106 1785 17608 SH DFND 0 0 17608 FIRST HORIZON NATL CORP COM 320517105 174 13039 SH DFND 0 0 13039 FIRST TR EXCHANGE TRADED FD NY ARCA BIOTECH 33733E203 1931 15553 SH DFND 0 0 15553 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 348 7604 SH DFND 0 0 7604 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 1336 74204 SH DFND 0 0 74204 FLOWSERVE CORP COM 34354P105 217 5700 SH DFND 0 0 5700 FORD MTR CO DEL COM PAR $0.01 345370860 387 48893 SH DFND 0 0 48893 FORTIVE CORP COM 34959J108 1436 21421 SH DFND 0 0 21421 GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 51 12960 SH DFND 0 0 12960 GAMESTOP CORP NEW CL A 36467W109 287 22003 SH DFND 0 0 22003 GENERAL DYNAMICS CORP COM 369550108 2583 16418 SH DFND 0 0 16418 GENERAL ELECTRIC CO COM 369604103 624 77928 SH DFND 0 0 77928 GENERAL MLS INC COM 370334104 266 6908 SH DFND 0 0 6908 GILEAD SCIENCES INC COM 375558103 1451 22855 SH DFND 0 0 22855 GLOBAL PMTS INC COM 37940X102 201 1966 SH DFND 0 0 1966 GOLDMAN SACHS GROUP INC COM 38141G104 240 1398 SH DFND 0 0 1398 GOLUB CAP BDC INC COM 38173M102 728 43735 SH DFND 0 0 43735 GRAINGER W W INC COM 384802104 237 854 SH DFND 0 0 854 GUIDEWIRE SOFTWARE INC COM 40171V100 251 3197 SH DFND 0 0 3197 HAMILTON BANCORP INC MD COM 407015106 139 10000 SH DFND 0 0 10000 HANCOCK JOHN PFD INCOME FD I COM 41021P103 185 11424 SH DFND 0 0 11424 HD SUPPLY HLDGS INC COM 40416M105 1269 34409 SH DFND 0 0 34409 HEICO CORP NEW COM 422806109 320 4217 SH DFND 0 0 4217 HELIX ENERGY SOLUTIONS GRP I NOTE 4.250% 5/0 42330PAH0 32 32000 PRN DFND 0 0 32000 HOME DEPOT INC COM 437076102 2896 16830 SH DFND 0 0 16830 HONEYWELL INTL INC COM 438516106 879 6653 SH DFND 0 0 6653 HORIZON TECHNOLOGY FIN CORP COM 44045A102 193 16900 SH DFND 0 0 16900 HP INC COM 40434L105 250 12010 SH DFND 0 0 12010 ICON PLC SHS G4705A100 920 7200 SH DFND 0 0 7200 ILLINOIS TOOL WKS INC COM 452308109 339 2663 SH DFND 0 0 2663 ILLUMINA INC NOTE 0.500% 6/1 452327AH2 40 31000 PRN DFND 0 0 31000 INGERSOLL-RAND PLC SHS G47791101 759 8278 SH DFND 0 0 8278 INPHI CORP NOTE 1.125%12/0 45772FAB3 22 22000 PRN DFND 0 0 22000 INTEL CORP COM 458140100 6429 136493 SH DFND 0 0 136493 INTERCEPT PHARMACEUTICALS IN NOTE 3.250% 7/0 45845PAA6 12 12000 PRN DFND 0 0 12000 INTERNATIONAL BUSINESS MACHS COM 459200101 3743 32484 SH DFND 0 0 32484 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 265 1970 SH DFND 0 0 1970 INTUIT COM 461202103 1296 6664 SH DFND 0 0 6664 INTUITIVE SURGICAL INC COM NEW 46120E602 3487 7476 SH DFND 0 0 7476 INVESCO EXCHANGE TRADED FD T DWA MOMENTUM 46137V837 221 4591 SH DFND 0 0 4591 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 5392 59007 SH DFND 0 0 59007 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 167 12215 SH DFND 0 0 12215 INVESCO EXCHNG TRADED FD TR S&P500 LOW VOL 46138E354 273 5946 SH DFND 0 0 5946 INVESCO QQQ TR UNIT SER 1 46090E103 2067 13392 SH DFND 0 0 13392 IONIS PHARMACEUTICALS INC COM 462222100 330 6151 SH DFND 0 0 6151 ISHARES GOLD TRUST ISHARES 464285105 482 39170 SH DFND 0 0 39170 ISHARES INC CORE MSCI EMKT 46434G103 3228 68219 SH DFND 0 0 68219 ISHARES INC MSCI PAC JP ETF 464286665 331 8200 SH DFND 0 0 8200 ISHARES TR 20 YR TR BD ETF 464287432 1339 10981 SH DFND 0 0 10981 ISHARES TR 3 7 YR TREAS BD 464288661 331 2702 SH DFND 0 0 2702 ISHARES TR CORE HIGH DV ETF 46429B663 1179 13995 SH DFND 0 0 13995 ISHARES TR CORE MSCI TOTAL 46432F834 2867 54791 SH DFND 0 0 54791 ISHARES TR CORE S&P MCP ETF 464287507 4150 25012 SH DFND 0 0 25012 ISHARES TR CORE S&P SCP ETF 464287804 4459 63913 SH DFND 0 0 63913 ISHARES TR CORE S&P500 ETF 464287200 11477 45587 SH DFND 0 0 45587 ISHARES TR CORE US AGGBD ET 464287226 1929 18088 SH DFND 0 0 18088 ISHARES TR EAFE SML CP ETF 464288273 466 8937 SH DFND 0 0 8937 ISHARES TR FLTG RATE NT ETF 46429B655 612 12200 SH DFND 0 0 12200 ISHARES TR IBOXX INV CP ETF 464287242 395 3481 SH DFND 0 0 3481 ISHARES TR INTRM GOV CR ETF 464288612 335 3102 SH DFND 0 0 3102 ISHARES TR MSCI ACWI EX US 464288240 637 15233 SH DFND 0 0 15233 ISHARES TR MSCI EAFE ETF 464287465 659 11272 SH DFND 0 0 11272 ISHARES TR MSCI EMG MKT ETF 464287234 1821 46386 SH DFND 0 0 46386 ISHARES TR NASDAQ BIOTECH 464287556 364 3735 SH DFND 0 0 3735 ISHARES TR NATIONAL MUN ETF 464288414 887 8128 SH DFND 0 0 8128 ISHARES TR RUS 1000 ETF 464287622 558 4025 SH DFND 0 0 4025 ISHARES TR RUS 1000 GRW ETF 464287614 636 4874 SH DFND 0 0 4874 ISHARES TR RUS 1000 VAL ETF 464287598 3354 30237 SH DFND 0 0 30237 ISHARES TR RUS 2000 GRW ETF 464287648 2038 12099 SH DFND 0 0 12099 ISHARES TR RUS 2000 VAL ETF 464287630 1772 16358 SH DFND 0 0 16358 ISHARES TR RUS MDCP VAL ETF 464287473 1105 14502 SH DFND 0 0 14502 ISHARES TR RUS MID CAP ETF 464287499 289 6246 SH DFND 0 0 6246 ISHARES TR RUSSELL 2000 ETF 464287655 630 4691 SH DFND 0 0 4691 ISHARES TR S&P MC 400GR ETF 464287606 1014 5351 SH DFND 0 0 5351 ISHARES TR S&P MC 400VL ETF 464287705 552 3989 SH DFND 0 0 3989 ISHARES TR S&P SML 600 GWT 464287887 397 2473 SH DFND 0 0 2473 ISHARES TR SELECT DIVID ETF 464287168 5201 58422 SH DFND 0 0 58422 ISHARES TR SH TR CRPORT ETF 464288646 296 5725 SH DFND 0 0 5725 ISHARES TR SHRT NAT MUN ETF 464288158 913 8679 SH DFND 0 0 8679 ISHARES TR TIPS BD ETF 464287176 751 6837 SH DFND 0 0 6837 ISHARES TR U.S. UTILITS ETF 464287697 280 2133 SH DFND 0 0 2133 ISHARES TR US HLTHCARE ETF 464287762 362 2019 SH DFND 0 0 2019 ISHARES TR USD INV GRDE ETF 464288620 311 5866 SH DFND 0 0 5866 ISIS PHARMACEUTICALS INC DEL NOTE 1.000%11/1 464337AJ3 15 15000 PRN DFND 0 0 15000 JACOBS ENGR GROUP INC DEL COM 469814107 524 8963 SH DFND 0 0 8963 JOHNSON & JOHNSON COM 478160104 9865 77192 SH DFND 0 0 77192 JPMORGAN CHASE & CO COM 46625H100 7109 71559 SH DFND 0 0 71559 KANSAS CITY SOUTHERN COM NEW 485170302 200 2078 SH DFND 0 0 2078 KAYNE ANDERSN MLP MIDS INVT COM 486606106 162 11430 SH DFND 0 0 11430 KIMBERLY CLARK CORP COM 494368103 385 3448 SH DFND 0 0 3448 KINDER MORGAN INC DEL COM 49456B101 735 46464 SH DFND 0 0 46464 KINSALE CAP GROUP INC COM 49714P108 499 8968 SH DFND 0 0 8968 KKR & CO INC CL A 48251W104 309 15635 SH DFND 0 0 15635 KRAFT HEINZ CO COM 500754106 332 7689 SH DFND 0 0 7689 LAUDER ESTEE COS INC CL A 518439104 314 2395 SH DFND 0 0 2395 LENDINGTREE INC NEW NOTE 0.625% 6/0 52603BAA5 17 13000 PRN DFND 0 0 13000 LIBERTY MEDIA CORP DELAWARE NOTE 1.375%10/1 531229AB8 33 32000 PRN DFND 0 0 32000 LILLY ELI & CO COM 532457108 1110 9676 SH DFND 0 0 9676 LOCKHEED MARTIN CORP COM 539830109 435 1640 SH DFND 0 0 1640 LOWES COS INC COM 548661107 787 8507 SH DFND 0 0 8507 LUMENTUM HLDGS INC NOTE 0.250% 3/1 55024UAB5 29 29000 PRN DFND 0 0 29000 M & T BK CORP COM 55261F104 899 6212 SH DFND 0 0 6212 MACQUARIE INFRASTRUCTURE COR NOTE 2.875% 7/1 55608BAA3 29 29000 PRN DFND 0 0 29000 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 374 6603 SH DFND 0 0 6603 MARKEL CORP COM 570535104 692 678 SH DFND 0 0 678 MARRIOTT INTL INC NEW CL A 571903202 731 6809 SH DFND 0 0 6809 MARRIOTT VACATIONS WRLDWDE C NOTE 1.500% 9/1 57164YAB3 19 20000 PRN DFND 0 0 20000 MARSH & MCLENNAN COS INC COM 571748102 214 2704 SH DFND 0 0 2704 MARTEN TRANS LTD COM 573075108 246 15000 SH DFND 0 0 15000 MASIMO CORP COM 574795100 705 6681 SH DFND 0 0 6681 MASTERCARD INCORPORATED CL A 57636Q104 18850 99379 SH DFND 0 0 99379 MCCORMICK & CO INC COM NON VTG 579780206 3096 22826 SH DFND 0 0 22826 MCDONALDS CORP COM 580135101 1712 9707 SH DFND 0 0 9707 MCKESSON CORP COM 58155Q103 304 2694 SH DFND 0 0 2694 MEDICINES CO NOTE 2.750% 7/1 584688AG0 10 15000 PRN DFND 0 0 15000 MEDIDATA SOLUTIONS INC COM 58471A105 423 6400 SH DFND 0 0 6400 MEDTRONIC PLC SHS G5960L103 472 5377 SH DFND 0 0 5377 MELCO RESORT ENTERTAINMENT L ADR 585464100 335 18000 SH DFND 0 0 18000 MERCK & CO INC COM 58933Y105 7632 100923 SH DFND 0 0 100923 METLIFE INC COM 59156R108 3085 74002 SH DFND 0 0 74002 MICROCHIP TECHNOLOGY INC COM 595017104 541 7572 SH DFND 0 0 7572 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 46 33000 PRN DFND 0 0 33000 MICROSOFT CORP COM 594918104 17283 170960 SH DFND 0 0 170960 MINERVA NEUROSCIENCES INC COM 603380106 75 10950 SH DFND 0 0 10950 MOLINA HEALTHCARE INC NOTE 1.125% 1/1 60855RAC4 52 18000 PRN DFND 0 0 18000 MONDELEZ INTL INC CL A 609207105 1223 30563 SH DFND 0 0 30563 MORGAN STANLEY COM NEW 617446448 286 7103 SH DFND 0 0 7103 MOTOROLA SOLUTIONS INC COM NEW 620076307 222 1927 SH DFND 0 0 1927 NETAPP INC COM 64110D104 374 6221 SH DFND 0 0 6221 NETFLIX INC COM 64110L106 1175 4388 SH DFND 0 0 4388 NEUROCRINE BIOSCIENCES INC NOTE 2.250% 5/1 64125CAD1 31 26000 PRN DFND 0 0 26000 NEW YORK TIMES CO CL A 650111107 787 36000 SH DFND 0 0 36000 NEXTERA ENERGY INC COM 65339F101 1060 6232 SH DFND 0 0 6232 NICE SYS INC NOTE 1.250% 1/1 65366HAB9 41 31000 PRN DFND 0 0 31000 NIKE INC CL B 654106103 797 10755 SH DFND 0 0 10755 NORFOLK SOUTHERN CORP COM 655844108 438 2930 SH DFND 0 0 2930 NOVARTIS A G SPONSORED ADR 66987V109 320 3802 SH DFND 0 0 3802 NUSTAR ENERGY LP UNIT COM 67058H102 235 10969 SH DFND 0 0 10969 NUVASIVE INC NOTE 2.250% 3/1 670704AG0 32 32000 PRN DFND 0 0 32000 NUVEEN MARYLAND QLT MUN INC COM 67061Q107 163 13587 SH DFND 0 0 13587 NXP SEMICONDUCTORS N V COM N6596X109 409 5438 SH DFND 0 0 5438 NYMOX PHARMACEUTICAL CORP COM P73398102 44 28000 SH DFND 0 0 28000 OAKTREE SPECIALTY LENDING CO COM 67401P108 119 27579 SH DFND 0 0 27579 OASIS PETE INC NEW NOTE 2.625% 9/1 674215AJ7 37 41000 PRN DFND 0 0 41000 OCCIDENTAL PETE CORP DEL COM 674599105 258 4199 SH DFND 0 0 4199 ON SEMICONDUCTOR CORP NOTE 1.000%12/0 682189AK1 30 29000 PRN DFND 0 0 29000 ONEOK INC NEW COM 682680103 832 15356 SH DFND 0 0 15356 ORACLE CORP COM 68389X105 384 8398 SH DFND 0 0 8398 PACIRA PHARMACEUTICALS INC NOTE 2.375% 4/0 695127AD2 20 20000 PRN DFND 0 0 20000 PALO ALTO NETWORKS INC COM 697435105 891 4863 SH DFND 0 0 4863 PAYPAL HLDGS INC COM 70450Y103 8552 99665 SH DFND 0 0 99665 PEPSICO INC COM 713448108 5079 46410 SH DFND 0 0 46410 PFIZER INC COM 717081103 3831 88545 SH DFND 0 0 88545 PHILIP MORRIS INTL INC COM 718172109 939 13971 SH DFND 0 0 13971 PHILLIPS 66 COM 718546104 2400 27287 SH DFND 0 0 27287 PNC FINL SVCS GROUP INC COM 693475105 1227 10299 SH DFND 0 0 10299 PPG INDS INC COM 693506107 312 3058 SH DFND 0 0 3058 PREMIER INC CL A 74051N102 236 6347 SH DFND 0 0 6347 PRICE T ROWE GROUP INC COM 74144T108 2544 27725 SH DFND 0 0 27725 PRICELINE GRP INC NOTE 0.350% 6/1 741503AS5 46 34000 PRN DFND 0 0 34000 PROCTER AND GAMBLE CO COM 742718109 6563 71916 SH DFND 0 0 71916 PROOFPOINT INC COM 743424103 500 6040 SH DFND 0 0 6040 PUBLIC SVC ENTERPRISE GROUP COM 744573106 265 5215 SH DFND 0 0 5215 QUALCOMM INC COM 747525103 5459 95263 SH DFND 0 0 95263 REALTY INCOME CORP COM 756109104 287 4637 SH DFND 0 0 4637 RED HAT INC NOTE 0.250%10/0 756577AD4 82 35000 PRN DFND 0 0 35000 REGENERON PHARMACEUTICALS COM 75886F107 843 2269 SH DFND 0 0 2269 REGIONS FINL CORP NEW COM 7591EP100 224 16341 SH DFND 0 0 16341 RITE AID CORP COM 767754104 9 10955 SH DFND 0 0 10955 ROPER TECHNOLOGIES INC COM 776696106 347 1297 SH DFND 0 0 1297 S&P GLOBAL INC COM 78409V104 595 3509 SH DFND 0 0 3509 SALESFORCE COM INC COM 79466L302 4410 32520 SH DFND 0 0 32520 SALIENT MIDSTREAM & MLP FD SH BEN INT 79471V105 125 16400 SH DFND 0 0 16400 SBA COMMUNICATIONS CORP NEW CL A 78410G104 789 4910 SH DFND 0 0 4910 SCHLUMBERGER LTD COM 806857108 631 16895 SH DFND 0 0 16895 SCHWAB CHARLES CORP NEW COM 808513105 7598 182820 SH DFND 0 0 182820 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 534 8900 SH DFND 0 0 8900 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 495 10025 SH DFND 0 0 10025 SELECT SECTOR SPDR TR ENERGY 81369Y506 246 4230 SH DFND 0 0 4230 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 208 6876 SH DFND 0 0 6876 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 263 3086 SH DFND 0 0 3086 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 451 18795 SH DFND 0 0 18795 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 546 8789 SH DFND 0 0 8789 SERVICENOW INC NOTE 6/0 81762PAC6 34 24000 PRN DFND 0 0 24000 SIERRA ONCOLOGY INC COM 82640U107 16 12400 SH DFND 0 0 12400 SILICON LABORATORIES INC NOTE 1.375% 3/0 826919AB8 13 13000 PRN DFND 0 0 13000 SIRIUS XM HLDGS INC COM 82968B103 86 14513 SH DFND 0 0 14513 SNAP INC CL A 83304A106 234 40500 SH DFND 0 0 40500 SOUTHERN CO COM 842587107 316 7244 SH DFND 0 0 7244 SPDR GOLD TRUST GOLD SHS 78463V107 444 3672 SH DFND 0 0 3672 SPDR S&P 500 ETF TR TR UNIT 78462F103 5481 21913 SH DFND 0 0 21913 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 564 1867 SH DFND 0 0 1867 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 2602 86072 SH DFND 0 0 86072 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 294 5400 SH DFND 0 0 5400 SPDR SERIES TRUST S&P BIOTECH 78464A870 488 6685 SH DFND 0 0 6685 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1175 13227 SH DFND 0 0 13227 SPECTRUM PHARMACEUTICALS INC COM 84763A108 231 25000 SH DFND 0 0 25000 SQUARE INC CL A 852234103 858 15000 SH DFND 0 0 15000 STARBUCKS CORP COM 855244109 5042 78340 SH DFND 0 0 78340 STRYKER CORP COM 863667101 2097 13571 SH DFND 0 0 13571 SUNCOR ENERGY INC NEW COM 867224107 397 14019 SH DFND 0 0 14019 SUNTRUST BKS INC COM 867914103 687 13267 SH DFND 0 0 13267 SYSCO CORP COM 871829107 430 6947 SH DFND 0 0 6947 TARGET CORP COM 87612E106 255 3811 SH DFND 0 0 3811 TELADOC HEALTH INC NOTE 3.000%12/1 87918AAB1 33 24000 PRN DFND 0 0 24000 TEXAS INSTRS INC COM 882508104 315 3339 SH DFND 0 0 3339 THERMO FISHER SCIENTIFIC INC COM 883556102 499 2271 SH DFND 0 0 2271 TJX COS INC NEW COM 872540109 356 7968 SH DFND 0 0 7968 TRANSDIGM GROUP INC COM 893641100 716 2113 SH DFND 0 0 2113 TRANSOCEAN INC DEB 0.500% 1/3 893830BJ7 13 13000 PRN DFND 0 0 13000 TRAVELERS COMPANIES INC COM 89417E109 358 3040 SH DFND 0 0 3040 TWITTER INC COM 90184L102 1078 37448 SH DFND 0 0 37448 UBS AG JERSEY BRH CMCI ETN 38 902641778 347 25759 SH DFND 0 0 25759 ULTIMATE SOFTWARE GROUP INC COM 90385D107 307 1261 SH DFND 0 0 1261 UNDER ARMOUR INC CL A 904311107 259 14382 SH DFND 0 0 14382 UNDER ARMOUR INC CL C 904311206 243 14734 SH DFND 0 0 14734 UNILEVER N V N Y SHS NEW 904784709 1164 21806 SH DFND 0 0 21806 UNILEVER PLC SPON ADR NEW 904767704 384 7403 SH DFND 0 0 7403 UNION PAC CORP COM 907818108 1525 11045 SH DFND 0 0 11045 UNITED PARCEL SERVICE INC CL B 911312106 468 4826 SH DFND 0 0 4826 UNITED TECHNOLOGIES CORP COM 913017109 4065 37568 SH DFND 0 0 37568 UNITEDHEALTH GROUP INC COM 91324P102 1455 5964 SH DFND 0 0 5964 VALERO ENERGY CORP NEW COM 91913Y100 220 2915 SH DFND 0 0 2915 VALERO ENERGY PARTNERS LP COM UNT REP LP 91914J102 223 5276 SH DFND 0 0 5276 VANECK VECTORS ETF TR AMT FREE INT ETF 92189H201 662 13862 SH DFND 0 0 13862 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 878 41510 SH DFND 0 0 41510 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 445 5656 SH DFND 0 0 5656 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 357 4495 SH DFND 0 0 4495 VANGUARD GROUP DIV APP ETF 921908844 750 7719 SH DFND 0 0 7719 VANGUARD INDEX FDS GROWTH ETF 922908736 2226 16576 SH DFND 0 0 16576 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 220 2302 SH DFND 0 0 2302 VANGUARD INDEX FDS MID CAP ETF 922908629 918 6679 SH DFND 0 0 6679 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 660 9054 SH DFND 0 0 9054 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 209 910 SH DFND 0 0 910 VANGUARD INDEX FDS SM CP VAL ETF 922908611 457 4019 SH DFND 0 0 4019 VANGUARD INDEX FDS SML CP GRW ETF 922908595 912 6091 SH DFND 0 0 6091 VANGUARD INDEX FDS VALUE ETF 922908744 359 3675 SH DFND 0 0 3675 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 730 19041 SH DFND 0 0 19041 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 267 5534 SH DFND 0 0 5534 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 1165 31464 SH DFND 0 0 31464 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 201 1326 SH DFND 0 0 1326 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 456 2865 SH DFND 0 0 2865 VARIAN MED SYS INC COM 92220P105 222 1973 SH DFND 0 0 1973 VENTAS INC COM 92276F100 417 7321 SH DFND 0 0 7321 VERINT SYS INC NOTE 1.500% 6/0 92343XAA8 28 28000 PRN DFND 0 0 28000 VERISK ANALYTICS INC COM 92345Y106 730 6731 SH DFND 0 0 6731 VERIZON COMMUNICATIONS INC COM 92343V104 4412 78767 SH DFND 0 0 78767 VIAVI SOLUTIONS INC NOTE 1.000% 3/0 925550AB1 18 18000 PRN DFND 0 0 18000 VISA INC COM CL A 92826C839 9946 74786 SH DFND 0 0 74786 VORNADO RLTY TR SH BEN INT 929042109 236 3906 SH DFND 0 0 3906 VOYA FINL INC COM 929089100 380 9500 SH DFND 0 0 9500 W P CAREY INC COM 92936U109 778 12093 SH DFND 0 0 12093 WALGREENS BOOTS ALLIANCE INC COM 931427108 263 3873 SH DFND 0 0 3873 WALMART INC COM 931142103 1113 11935 SH DFND 0 0 11935 WASTE CONNECTIONS INC COM 94106B101 1153 15647 SH DFND 0 0 15647 WASTE MGMT INC DEL COM 94106L109 324 3637 SH DFND 0 0 3637 WATERS CORP COM 941848103 203 1101 SH DFND 0 0 1101 WEATHERFORD INTL LTD NOTE 5.875% 7/0 947075AH0 29 44000 PRN DFND 0 0 44000 WEC ENERGY GROUP INC COM 92939U106 266 3948 SH DFND 0 0 3948 WELLS FARGO CO NEW COM 949746101 1370 29247 SH DFND 0 0 29247 WELLTOWER INC COM 95040Q104 439 6491 SH DFND 0 0 6491 WEST PHARMACEUTICAL SVSC INC COM 955306105 622 6440 SH DFND 0 0 6440 WESTERN ASSET MUN HI INCM FD COM 95766N103 279 39503 SH DFND 0 0 39503 WESTERN DIGITAL CORP COM 958102105 242 6358 SH DFND 0 0 6358 WEYERHAEUSER CO COM 962166104 281 13047 SH DFND 0 0 13047 WILLIS TOWERS WATSON PUB LTD SHS G96629103 271 1812 SH DFND 0 0 1812 WISDOMTREE TR EMG MKTS SMCAP 97717W281 594 14029 SH DFND 0 0 14029 WORKDAY INC NOTE 0.250%10/0 98138HAF8 41 32000 PRN DFND 0 0 32000 WRIGHT MED GROUP INC NOTE 2.000% 2/1 98235TAE7 33 33000 PRN DFND 0 0 33000 XENIA HOTELS & RESORTS INC COM 984017103 534 31826 SH DFND 0 0 31826 YUM BRANDS INC COM 988498101 759 8281 SH DFND 0 0 8281 YUM CHINA HLDGS INC COM 98850P109 240 6981 SH DFND 0 0 6981 ZEBRA TECHNOLOGIES CORP CL A 989207105 291 1860 SH DFND 0 0 1860 ZILLOW GROUP INC NOTE 2.000%12/0 98954MAB7 31 31000 PRN DFND 0 0 31000