Chief Compliance Officer

0001085146-20-002241.txt : 20200814 0001085146-20-002241.hdr.sgml : 20200814 20200814110202 ACCESSION NUMBER: 0001085146-20-002241 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200630 FILED AS OF DATE: 20200814 DATE AS OF CHANGE: 20200814 EFFECTIVENESS DATE: 20200814 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: 201102606 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 06-30-2020 06-30-2020 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 08-11-2020 0 232 468872 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 3M CO COM 88579Y101 341 2148 SH DFND 0 0 2148 ABBOTT LABS COM 002824100 2776 29309 SH DFND 0 0 29309 ABBVIE INC COM 00287Y109 4734 47893 SH DFND 0 0 47893 ABERDEEN STD GOLD ETF TR PHYSCL GOLD SHS 00326A104 214 12305 SH DFND 0 0 12305 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 6678 30490 SH DFND 0 0 30490 ADOBE INC COM 00724F101 819 1885 SH DFND 0 0 1885 AIR PRODS & CHEMS INC COM 009158106 632 2250 SH DFND 0 0 2250 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 6594 26530 SH DFND 0 0 26530 ALLSTATE CORP COM 020002101 270 3006 SH DFND 0 0 3006 ALPHABET INC CAP STK CL C 02079K107 9569 6296 SH DFND 0 0 6296 ALPHABET INC CAP STK CL A 02079K305 10938 7191 SH DFND 0 0 7191 ALTRIA GROUP INC COM 02209S103 925 22453 SH DFND 0 0 22453 AMAZON COM INC COM 023135106 46568 15101 SH DFND 0 0 15101 AMERICAN EXPRESS CO COM 025816109 993 10489 SH DFND 0 0 10489 AMERICAN TOWER CORP NEW COM 03027X100 3091 11921 SH DFND 0 0 11921 AMGEN INC COM 031162100 3544 14004 SH DFND 0 0 14004 AMPHENOL CORP NEW CL A 032095101 209 2149 SH DFND 0 0 2149 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 685 12909 SH DFND 0 0 12909 ANTARES PHARMA INC COM 036642106 729 275000 SH DFND 0 0 275000 ANTHEM INC COM 036752103 340 1287 SH DFND 0 0 1287 APPLE INC COM 037833100 44871 115547 SH DFND 0 0 115547 ARES MANAGEMENT CORPORATION CL A COM STK 03990B101 817 20500 SH DFND 0 0 20500 AT&T INC COM 00206R102 1892 63410 SH DFND 0 0 63410 AUTODESK INC COM 052769106 833 3555 SH DFND 0 0 3555 AUTOMATIC DATA PROCESSING IN COM 053015103 2852 19606 SH DFND 0 0 19606 AVALONBAY CMNTYS INC COM 053484101 432 2794 SH DFND 0 0 2794 BAXTER INTL INC COM 071813109 284 3342 SH DFND 0 0 3342 BECTON DICKINSON & CO COM 075887109 575 2185 SH DFND 0 0 2185 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2668 14084 SH DFND 0 0 14084 BERKSHIRE HATHAWAY INC DEL CL A 084670108 285 1 SH DFND 0 0 1 BK OF AMERICA CORP COM 060505104 2541 105398 SH DFND 0 0 105398 BLACKSTONE GROUP INC COM CL A 09260D107 3520 64574 SH DFND 0 0 64574 BOEING CO COM 097023105 409 2278 SH DFND 0 0 2278 BOOKING HOLDINGS INC COM 09857L108 207 122 SH DFND 0 0 122 BRISTOL-MYERS SQUIBB CO COM 110122108 2789 48125 SH DFND 0 0 48125 BROADCOM INC COM 11135F101 881 2793 SH DFND 0 0 2793 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 1980 15612 SH DFND 0 0 15612 CARMAX INC COM 143130102 205 2238 SH DFND 0 0 2238 CARRIER GLOBAL CORPORATION COM 14448C104 577 22999 SH DFND 0 0 22999 CATERPILLAR INC DEL COM 149123101 227 1666 SH DFND 0 0 1666 CDK GLOBAL INC COM 12508E101 858 20914 SH DFND 0 0 20914 CHEVRON CORP NEW COM 166764100 702 7942 SH DFND 0 0 7942 CIGNA CORP NEW COM 125523100 657 3603 SH DFND 0 0 3603 CINCINNATI BELL INC NEW PFD CV DEP1/20 171871403 1363 28623 SH DFND 0 0 28623 CINTAS CORP COM 172908105 320 1180 SH DFND 0 0 1180 CISCO SYS INC COM 17275R102 5082 109776 SH DFND 0 0 109776 CITIGROUP INC COM NEW 172967424 1124 22392 SH DFND 0 0 22392 COCA COLA CO COM 191216100 2220 48362 SH DFND 0 0 48362 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 385 6807 SH DFND 0 0 6807 COMCAST CORP NEW CL A 20030N101 767 18670 SH DFND 0 0 18670 CONSOLIDATED EDISON INC COM 209115104 270 3725 SH DFND 0 0 3725 COSTCO WHSL CORP NEW COM 22160K105 1187 3621 SH DFND 0 0 3621 CVS HEALTH CORP COM 126650100 6934 108875 SH DFND 0 0 108875 DANAHER CORPORATION COM 235851102 3807 20538 SH DFND 0 0 20538 DEERE & CO COM 244199105 1244 7332 SH DFND 0 0 7332 DIAGEO P L C SPON ADR NEW 25243Q205 527 3749 SH DFND 0 0 3749 DISNEY WALT CO COM DISNEY 254687106 5439 45779 SH DFND 0 0 45779 DOMINION ENERGY INC COM 25746U109 952 12884 SH DFND 0 0 12884 DOW INC COM 260557103 421 9915 SH DFND 0 0 9915 DUKE ENERGY CORP NEW COM NEW 26441C204 554 6753 SH DFND 0 0 6753 EASTERLY GOVT PPTYS INC COM 27616P103 340 14810 SH DFND 0 0 14810 EATON VANCE TAX-MANAGED GLOB COM 27829F108 84 11302 SH DFND 0 0 11302 EATON VANCE TX MGD DIV EQ IN COM 27828N102 112 10380 SH DFND 0 0 10380 ECOLAB INC COM 278865100 1157 5677 SH DFND 0 0 5677 EDWARDS LIFESCIENCES CORP COM 28176E108 565 7932 SH DFND 0 0 7932 EMERSON ELEC CO COM 291011104 2323 37420 SH DFND 0 0 37420 ENBRIDGE INC COM 29250N105 3155 103100 SH DFND 0 0 103100 ENTERPRISE PRODS PARTNERS L COM 293792107 283 16648 SH DFND 0 0 16648 EOG RES INC COM 26875P101 206 4354 SH DFND 0 0 4354 EQUIFAX INC COM 294429105 8218 50277 SH DFND 0 0 50277 EVERQUOTE INC COM CL A 30041R108 782 14466 SH DFND 0 0 14466 EXELIXIS INC COM 30161Q104 476 20000 SH DFND 0 0 20000 EXXON MOBIL CORP COM 30231G102 1476 33513 SH DFND 0 0 33513 F5 NETWORKS INC COM 315616102 406 2823 SH DFND 0 0 2823 FACEBOOK INC CL A 30303M102 3799 15836 SH DFND 0 0 15836 FERRARI N V COM N3167Y103 223 1250 SH DFND 0 0 1250 FIAT CHRYSLER AUTOMOBILES N SHS N31738102 129 12500 SH DFND 0 0 12500 FIDELITY NATL INFORMATION SV COM 31620M106 4895 35886 SH DFND 0 0 35886 FIRST HORIZON NATL CORP COM 320517105 114 13039 SH DFND 0 0 13039 FIRST TR EXCH TRADED FD III PFD SECS INC ETF 33739E108 1676 90438 SH DFND 0 0 90438 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 680 11334 SH DFND 0 0 11334 FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 242 5280 SH DFND 0 0 5280 FIRST TR NASDAQ-100 TECH IND NY ARCA BIOTECH 33733E203 2382 13765 SH DFND 0 0 13765 FORD MTR CO DEL COM 345370860 400 63093 SH DFND 0 0 63093 FORTIVE CORP COM 34959J108 685 9926 SH DFND 0 0 9926 GAMESTOP CORP NEW CL A 36467W109 94 23203 SH DFND 0 0 23203 GENERAL DYNAMICS CORP COM 369550108 223 1558 SH DFND 0 0 1558 GENERAL ELECTRIC CO COM 369604103 205 29598 SH DFND 0 0 29598 GENERAL MLS INC COM 370334104 292 4484 SH DFND 0 0 4484 GILEAD SCIENCES INC COM 375558103 2328 30210 SH DFND 0 0 30210 GOLUB CAP BDC INC COM 38173M102 186 15878 SH DFND 0 0 15878 HANCOCK JOHN PFD INCOME FD I COM 41021P103 202 12680 SH DFND 0 0 12680 HD SUPPLY HLDGS INC COM 40416M105 952 27459 SH DFND 0 0 27459 HEICO CORP NEW COM 422806109 202 2133 SH DFND 0 0 2133 HEWLETT PACKARD ENTERPRISE C COM 42824C109 134 13960 SH DFND 0 0 13960 HOME DEPOT INC COM 437076102 3090 11985 SH DFND 0 0 11985 HONEYWELL INTL INC COM 438516106 713 4817 SH DFND 0 0 4817 HORIZON TECHNOLOGY FIN CORP COM 44045A102 186 16163 SH DFND 0 0 16163 HP INC COM 40434L105 248 13960 SH DFND 0 0 13960 ICON PLC SHS G4705A100 1292 7200 SH DFND 0 0 7200 IDEXX LABS INC COM 45168D104 239 706 SH DFND 0 0 706 ILLUMINA INC COM 452327109 622 1651 SH DFND 0 0 1651 INTEL CORP COM 458140100 8072 136856 SH DFND 0 0 136856 INTERNATIONAL BUSINESS MACHS COM 459200101 2975 24711 SH DFND 0 0 24711 INTUIT COM 461202103 1878 6580 SH DFND 0 0 6580 INTUITIVE SURGICAL INC COM NEW 46120E602 4807 8211 SH DFND 0 0 8211 INVESCO EXCHANGE TRADED FD T S&P 500 TOP 50 46137V233 652 2619 SH DFND 0 0 2619 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 4103 39721 SH DFND 0 0 39721 INVESCO QQQ TR UNIT SER 1 46090E103 376 1445 SH DFND 0 0 1445 IONIS PHARMACEUTICALS INC COM 462222100 295 4800 SH DFND 0 0 4800 ISHARES INC CORE MSCI EMKT 46434G103 663 12916 SH DFND 0 0 12916 ISHARES TR TIPS BD ETF 464287176 410 3307 SH DFND 0 0 3307 ISHARES TR MSCI ACWI EX US 464288240 373 8271 SH DFND 0 0 8271 ISHARES TR RUS 1000 ETF 464287622 597 3362 SH DFND 0 0 3362 ISHARES TR MSCI EAFE ETF 464287465 347 5521 SH DFND 0 0 5521 ISHARES TR CORE S&P SCP ETF 464287804 1022 15104 SH DFND 0 0 15104 ISHARES TR SH TR CRPORT ETF 464288646 204 3755 SH DFND 0 0 3755 ISHARES TR CORE MSCI TOTAL 46432F834 464 8135 SH DFND 0 0 8135 ISHARES TR RUS 1000 GRW ETF 464287614 414 2069 SH DFND 0 0 2069 ISHARES TR U.S. UTILITS ETF 464287697 303 2100 SH DFND 0 0 2100 ISHARES TR RUSSELL 2000 ETF 464287655 252 1787 SH DFND 0 0 1787 ISHARES TR SELECT DIVID ETF 464287168 1245 15363 SH DFND 0 0 15363 ISHARES TR CORE S&P MCP ETF 464287507 1207 6789 SH DFND 0 0 6789 ISHARES TR 20 YR TR BD ETF 464287432 669 4005 SH DFND 0 0 4005 ISHARES TR RUS 2000 VAL ETF 464287630 281 2958 SH DFND 0 0 2958 ISHARES TR SHRT NAT MUN ETF 464288158 510 4725 SH DFND 0 0 4725 ISHARES TR CORE S&P500 ETF 464287200 5888 18388 SH DFND 0 0 18388 ISHARES TR MSCI EMG MKT ETF 464287234 302 7011 SH DFND 0 0 7011 ISHARES TR CORE US AGGBD ET 464287226 327 2757 SH DFND 0 0 2757 ISHARES TR FLTG RATE NT ETF 46429B655 416 8226 SH DFND 0 0 8226 ISHARES TR RUS 1000 VAL ETF 464287598 1076 9362 SH DFND 0 0 9362 ISHARES TR BARCLAYS 7 10 YR 464287440 775 6353 SH DFND 0 0 6353 JACOBS ENGR GROUP INC COM 469814107 624 7881 SH DFND 0 0 7881 JOHNSON & JOHNSON COM 478160104 3996 27002 SH DFND 0 0 27002 JPMORGAN CHASE & CO COM 46625H100 9889 100631 SH DFND 0 0 100631 KIMBERLY CLARK CORP COM 494368103 565 3931 SH DFND 0 0 3931 KINDER MORGAN INC DEL COM 49456B101 153 10373 SH DFND 0 0 10373 L3HARRIS TECHNOLOGIES INC COM 502431109 406 2510 SH DFND 0 0 2510 LABORATORY CORP AMER HLDGS COM NEW 50540R409 210 1111 SH DFND 0 0 1111 LILLY ELI & CO COM 532457108 455 2775 SH DFND 0 0 2775 LOCKHEED MARTIN CORP COM 539830109 602 1691 SH DFND 0 0 1691 LOWES COS INC COM 548661107 686 4906 SH DFND 0 0 4906 M & T BK CORP COM 55261F104 285 2901 SH DFND 0 0 2901 MARTEN TRANS LTD COM 573075108 393 15000 SH DFND 0 0 15000 MASIMO CORP COM 574795100 1868 8331 SH DFND 0 0 8331 MASTERCARD INCORPORATED CL A 57636Q104 18924 63300 SH DFND 0 0 63300 MCCORMICK & CO INC COM NON VTG 579780206 2506 13226 SH DFND 0 0 13226 MCDONALDS CORP COM 580135101 1181 6194 SH DFND 0 0 6194 MEDTRONIC PLC SHS G5960L103 481 5072 SH DFND 0 0 5072 MERCK & CO. INC COM 58933Y105 4465 57092 SH DFND 0 0 57092 METLIFE INC COM 59156R108 1804 47598 SH DFND 0 0 47598 MICROSOFT CORP COM 594918104 28185 135233 SH DFND 0 0 135233 MONDELEZ INTL INC CL A 609207105 275 5197 SH DFND 0 0 5197 NETFLIX INC COM 64110L106 211 402 SH DFND 0 0 402 NEXTERA ENERGY INC COM 65339F101 668 2540 SH DFND 0 0 2540 NIKE INC CL B 654106103 312 3229 SH DFND 0 0 3229 NOMAD FOODS LTD USD ORD SHS G6564A105 531 24734 SH DFND 0 0 24734 NORFOLK SOUTHERN CORP COM 655844108 1305 7338 SH DFND 0 0 7338 NORTHROP GRUMMAN CORP COM 666807102 449 1520 SH DFND 0 0 1520 NOVARTIS AG SPONSORED ADR 66987V109 233 2651 SH DFND 0 0 2651 NUVEEN AMT FREE QLTY MUN INC COM 670657105 175 12359 SH DFND 0 0 12359 NUVEEN MARYLAND QLT MUN INC COM 67061Q107 231 17810 SH DFND 0 0 17810 NVIDIA CORPORATION COM 67066G104 356 857 SH DFND 0 0 857 NXP SEMICONDUCTORS N V COM N6596X109 377 3144 SH DFND 0 0 3144 NYMOX PHARMACEUTICAL CORP COM P73398102 92 28000 SH DFND 0 0 28000 OAKTREE SPECIALTY LENDING CO COM 67401P108 151 34644 SH DFND 0 0 34644 ONEOK INC NEW COM 682680103 554 20365 SH DFND 0 0 20365 OTIS WORLDWIDE CORP COM 68902V107 651 11348 SH DFND 0 0 11348 PAYPAL HLDGS INC COM 70450Y103 15051 87353 SH DFND 0 0 87353 PEPSICO INC COM 713448108 896 6611 SH DFND 0 0 6611 PFIZER INC COM 717081103 2169 61543 SH DFND 0 0 61543 PHILIP MORRIS INTL INC COM 718172109 601 8085 SH DFND 0 0 8085 PHILLIPS 66 COM 718546104 1299 20990 SH DFND 0 0 20990 PNC FINL SVCS GROUP INC COM 693475105 295 2926 SH DFND 0 0 2926 PPG INDS INC COM 693506107 660 5906 SH DFND 0 0 5906 PRICE T ROWE GROUP INC COM 74144T108 1167 8939 SH DFND 0 0 8939 PROCTER AND GAMBLE CO COM 742718109 5210 41645 SH DFND 0 0 41645 QUALCOMM INC COM 747525103 7316 79174 SH DFND 0 0 79174 RAYTHEON TECHNOLOGIES CORP COM 75513E101 4267 70665 SH DFND 0 0 70665 REGENERON PHARMACEUTICALS COM 75886F107 1433 2234 SH DFND 0 0 2234 ROPER TECHNOLOGIES INC COM 776696106 721 1814 SH DFND 0 0 1814 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 516 16455 SH DFND 0 0 16455 SALESFORCE COM INC COM 79466L302 2704 14255 SH DFND 0 0 14255 SALIENT MIDSTREAM & MLP FD SH BEN INT 79471V105 51 13213 SH DFND 0 0 13213 SCHWAB CHARLES CORP COM 808513105 5041 145924 SH DFND 0 0 145924 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 289 12189 SH DFND 0 0 12189 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 553 5169 SH DFND 0 0 5169 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 289 2800 SH DFND 0 0 2800 SHERWIN WILLIAMS CO COM 824348106 516 878 SH DFND 0 0 878 SOUTHERN CO COM 842587107 232 4347 SH DFND 0 0 4347 SPDR GOLD TR GOLD SHS 78463V107 662 3885 SH DFND 0 0 3885 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 304 8168 SH DFND 0 0 8168 SPDR S&P 500 ETF TR TR UNIT 78462F103 2540 7960 SH DFND 0 0 7960 SPDR SER TR S&P 600 SMCP VAL 78464A300 630 13098 SH DFND 0 0 13098 SPDR SER TR PORTFOLIO SHORT 78464A474 622 19809 SH DFND 0 0 19809 SPDR SER TR S&P DIVID ETF 78464A763 1152 12558 SH DFND 0 0 12558 STARBUCKS CORP COM 855244109 3770 51837 SH DFND 0 0 51837 STERICYCLE INC COM 858912108 462 8280 SH DFND 0 0 8280 STRYKER CORPORATION COM 863667101 1135 6216 SH DFND 0 0 6216 SYSCO CORP COM 871829107 2363 44642 SH DFND 0 0 44642 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 215 3231 SH DFND 0 0 3231 TELEFLEX INCORPORATED COM 879369106 308 850 SH DFND 0 0 850 TEXAS INSTRS INC COM 882508104 592 4488 SH DFND 0 0 4488 THERMO FISHER SCIENTIFIC INC COM 883556102 351 908 SH DFND 0 0 908 TRANE TECHNOLOGIES PLC SHS G8994E103 317 3232 SH DFND 0 0 3232 TRUIST FINL CORP COM 89832Q109 475 13439 SH DFND 0 0 13439 TWITTER INC COM 90184L102 782 22688 SH DFND 0 0 22688 UNILEVER PLC SPON ADR NEW 904767704 237 4274 SH DFND 0 0 4274 UNION PAC CORP COM 907818108 1165 6773 SH DFND 0 0 6773 UNITED RENTALS INC COM 911363109 437 2758 SH DFND 0 0 2758 UNITEDHEALTH GROUP INC COM 91324P102 1659 5370 SH DFND 0 0 5370 VALERO ENERGY CORP COM 91913Y100 219 4029 SH DFND 0 0 4029 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 1205 31246 SH DFND 0 0 31246 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 445 5354 SH DFND 0 0 5354 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 861 9707 SH DFND 0 0 9707 VANGUARD INDEX FDS MID CAP ETF 922908629 403 2404 SH DFND 0 0 2404 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 263 3363 SH DFND 0 0 3363 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 263 896 SH DFND 0 0 896 VANGUARD INDEX FDS SML CP GRW ETF 922908595 210 1045 SH DFND 0 0 1045 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 672 5561 SH DFND 0 0 5561 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 205 974 SH DFND 0 0 974 VENTAS INC COM 92276F100 222 6310 SH DFND 0 0 6310 VERIZON COMMUNICATIONS INC COM 92343V104 2363 42618 SH DFND 0 0 42618 VISA INC COM CL A 92826C839 10461 54142 SH DFND 0 0 54142 VOYA FINANCIAL INC COM 929089100 1400 29316 SH DFND 0 0 29316 WALMART INC COM 931142103 723 5472 SH DFND 0 0 5472 WASTE MGMT INC DEL COM 94106L109 314 2951 SH DFND 0 0 2951 WEC ENERGY GROUP INC COM 92939U106 211 2394 SH DFND 0 0 2394 WILLIS TOWERS WATSON PLC LTD SHS G96629103 370 1812 SH DFND 0 0 1812 WP CAREY INC COM 92936U109 287 4279 SH DFND 0 0 4279 YUM BRANDS INC COM 988498101 593 6731 SH DFND 0 0 6731 YUM CHINA HLDGS INC COM 98850P109 253 5031 SH DFND 0 0 5031