Chief Compliance Officer

0001062993-14-006659.txt : 20141114 0001062993-14-006659.hdr.sgml : 20141114 20141114125211 ACCESSION NUMBER: 0001062993-14-006659 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141114 DATE AS OF CHANGE: 20141114 EFFECTIVENESS DATE: 20141114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Bragg Financial Advisors, Inc CENTRAL INDEX KEY: 0001327055 IRS NUMBER: 561790097 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11385 FILM NUMBER: 141222258 BUSINESS ADDRESS: STREET 1: 1031 SOUTH CALDWELL STREET STREET 2: SUITE 200 CITY: CHARLOTTE STATE: NC ZIP: 28203 BUSINESS PHONE: 704-714-7711 MAIL ADDRESS: STREET 1: 1031 SOUTH CALDWELL STREET STREET 2: SUITE 200 CITY: CHARLOTTE STATE: NC ZIP: 28203 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001327055 XXXXXXXX 09-30-2014 09-30-2014 Bragg Financial Advisors, Inc

1031 SOUTH CALDWELL STREET SUITE 200 CHARLOTTE NC 28203

13F HOLDINGS REPORT 028-11385 N Steven H Scruggs Chief Compliance Officer 377-0261 Steven H Scruggs Charlotte NC 11-14-2014 0 224 395947 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE ABBOTT LABS COM 002824100 1749 42061 SH SOLE 295 0 41766 ABBVIE INC COM 00287Y109 2380 41203 SH SOLE 295 0 40908 ACTAVIS PLC SHS G0083B108 215 891 SH SOLE 0 0 891 AFLAC INC COM 001055102 287 4928 SH SOLE 0 0 4928 AIR PRODS & CHEMS INC COM 009158106 3477 26707 SH SOLE 230 0 26477 ALLEGION PUB LTD CO ORD SHS G0176J109 377 7909 SH SOLE 3400 0 4509 ALLIANT TECHSYSTEMS INC COM 018804104 3113 24385 SH SOLE 20700 0 3685 ALTRIA GROUP INC COM 02209S103 398 8662 SH SOLE 0 0 8662 AMERICAN ELEC PWR INC COM 025537101 715 13700 SH SOLE 13000 0 700 AMERICAN EXPRESS CO COM 025816109 5174 59099 SH SOLE 8470 0 50629 AMERIPRISE FINL INC COM 03076C106 4405 35702 SH SOLE 424 0 35278 AMGEN INC COM 031162100 5004 35626 SH SOLE 460 0 35166 APACHE CORP COM 037411105 1585 16882 SH SOLE 320 0 16562 APPLE INC COM 037833100 3490 34643 SH SOLE 455 0 34188 APPLIED MATLS INC COM 038222105 2139 99000 SH SOLE 2035 0 96965 AT&T INC COM 00206R102 3354 95174 SH SOLE 21550 0 73624 ATRION CORP COM 049904105 876 2873 SH SOLE 2703 0 170 AUTOMATIC DATA PROCESSING IN COM 053015103 1113 13394 SH SOLE 0 0 13394 BAKER HUGHES INC COM 057224107 1086 16692 SH SOLE 0 0 16692 BALL CORP COM 058498106 1756 27756 SH SOLE 430 0 27326 BANK AMER CORP COM 060505104 673 39473 SH SOLE 0 0 39473 BANK NEW YORK MELLON CORP COM 064058100 2753 71069 SH SOLE 15180 0 55889 BB&T CORP COM 054937107 2130 57233 SH SOLE 0 0 57233 BECTON DICKINSON & CO COM 075887109 4507 39597 SH SOLE 315 0 39282 BERKSHIRE HATHAWAY INC DEL CL A 084670108 1862 9 SH SOLE 3 0 6 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1156 8371 SH SOLE 0 0 8371 BOEING CO COM 097023105 805 6322 SH SOLE 0 0 6322 BRISTOL MYERS SQUIBB CO COM 110122108 4183 81723 SH SOLE 5438 0 76285 BROWN FORMAN CORP CL B 115637209 4116 45618 SH SOLE 355 0 45262 BARD C R INC COM 067383109 2655 18601 SH SOLE 160 0 18441 CATERPILLAR INC DEL COM 149123101 1022 10317 SH SOLE 0 0 10317 CATO CORP NEW CL A 149205106 1834 53228 SH SOLE 48000 0 5228 CBS CORP NEW CL B 124857202 1653 30893 SH SOLE 10751 0 20142 CENTRAL FD CDA LTD CL A 153501101 853 69271 SH SOLE 56846 0 12425 CENTURYLINK INC COM 156700106 403 9863 SH SOLE 320 0 9543 SCHWAB CHARLES CORP NEW COM 808513105 233 7943 SH SOLE 0 0 7943 CHEVRON CORP NEW COM 166764100 4888 40965 SH SOLE 292 0 40673 CHUBB CORP COM 171232101 2346 25756 SH SOLE 475 0 25282 CIMAREX ENERGY CO COM 171798101 500 3948 SH SOLE 260 0 3688 CISCO SYS INC COM 17275R102 4396 174658 SH SOLE 31645 0 143014 CLOROX CO DEL COM 189054109 1203 12525 SH SOLE 8400 0 4125 COCA COLA CO COM 191216100 1434 33605 SH SOLE 404 0 33201 COLGATE PALMOLIVE CO COM 194162103 3051 46778 SH SOLE 436 0 46342 COMCAST CORP NEW CL A 20030N101 1961 36472 SH SOLE 565 0 35907 CONOCOPHILLIPS COM 20825C104 3972 51906 SH SOLE 455 0 51451 CONSTELLATION BRANDS INC CL A 21036P108 872 10000 SH SOLE 10000 0 0 CORNING INC COM 219350105 3587 185468 SH SOLE 22275 0 163193 COSTCO WHSL CORP NEW COM 22160K105 309 2469 SH SOLE 0 0 2469 COVIDIEN PLC SHS G2554F113 280 3238 SH SOLE 3162 0 76 CSG SYS INTL INC COM 126349109 221 8417 SH SOLE 7192 0 1225 CUBIC CORP COM 229669106 984 21020 SH SOLE 17315 0 3705 CVS HEALTH CORP COM 126650100 1466 18420 SH SOLE 425 0 17995 DANAHER CORP DEL COM 235851102 3315 43624 SH SOLE 2590 0 41034 DARDEN RESTAURANTS INC COM 237194105 1114 21641 SH SOLE 240 0 21401 DARLING INGREDIENTS INC COM 237266101 2364 129055 SH SOLE 116900 0 12155 DEERE & CO COM 244199105 1043 12715 SH SOLE 140 0 12575 DELTA APPAREL INC COM 247368103 642 70611 SH SOLE 67026 0 3585 DIGIMARC CORP NEW COM 25381B101 661 31895 SH SOLE 30420 0 1475 DIRECTV COM 25490A309 904 10451 SH SOLE 10000 0 451 DISNEY WALT CO COM DISNEY 254687106 987 11083 SH SOLE 0 0 11083 DOMINION RES INC VA NEW COM 25746U109 2505 36253 SH SOLE 445 0 35808 DOW CHEM CO COM 260543103 3408 64984 SH SOLE 455 0 64530 DST SYS INC DEL COM 233326107 2618 31195 SH SOLE 29000 0 2195 DU PONT E I DE NEMOURS & CO COM 263534109 973 13557 SH SOLE 0 0 13557 DUCOMMUN INC DEL COM 264147109 2253 82199 SH SOLE 72789 0 9410 DUKE ENERGY CORP NEW COM NEW 26441C204 1945 26010 SH SOLE 8284 0 17726 E M C CORP MASS COM 268648102 3898 133215 SH SOLE 1085 0 132130 ENDURANCE SPECIALTY HLDGS LT SHS G30397106 1003 18171 SH SOLE 15456 0 2715 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 256 4000 SH SOLE 0 0 4000 EXELON CORP COM 30161N101 2736 80260 SH SOLE 13800 0 66460 EXXON MOBIL CORP COM 30231G102 6525 69378 SH SOLE 5032 0 64346 FAMILY DLR STORES INC COM 307000109 450 5825 SH SOLE 0 0 5825 FEDEX CORP COM 31428X106 467 2894 SH SOLE 0 0 2894 FIDUS INVT CORP COM 316500107 215 13011 SH SOLE 0 0 13011 FIFTH THIRD BANCORP COM 316773100 259 12933 SH SOLE 175 0 12758 FIRSTENERGY CORP COM 337932107 899 26792 SH SOLE 800 0 25992 FLOWERS FOODS INC COM 343498101 3658 199222 SH SOLE 0 0 199222 FORTUNE BRANDS HOME & SEC IN COM 34964C106 292 7105 SH SOLE 6380 0 725 GENERAL DYNAMICS CORP COM 369550108 1103 8675 SH SOLE 8000 0 675 GENERAL ELECTRIC CO COM 369604103 2479 96743 SH SOLE 1051 0 95692 GENERAL MLS INC COM 370334104 1177 23327 SH SOLE 755 0 22572 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 461 10025 SH SOLE 9000 0 1025 GOOGLE INC CL C 38259P706 2232 3866 SH SOLE 50 0 3816 GOOGLE INC CL A 38259P508 2078 3532 SH SOLE 50 0 3482 GRACO INC COM 384109104 2109 28900 SH SOLE 25875 0 3025 GRAINGER W W INC COM 384802104 1673 6647 SH SOLE 80 0 6567 HILLTOP HOLDINGS INC COM 432748101 1785 89012 SH SOLE 78687 0 10325 HOME DEPOT INC COM 437076102 3226 35162 SH SOLE 276 0 34886 HONEYWELL INTL INC COM 438516106 2144 23022 SH SOLE 380 0 22642 HORACE MANN EDUCATORS CORP N COM 440327104 2517 88270 SH SOLE 79895 0 8375 HURCO COMPANIES INC COM 447324104 1799 47777 SH SOLE 41852 0 5925 INTERNATIONAL BUSINESS MACHS COM 459200101 6150 32400 SH SOLE 3690 0 28710 INGERSOLL-RAND PLC SHS G47791101 2308 40955 SH SOLE 10605 0 30350 INTEL CORP COM 458140100 5310 152487 SH SOLE 17290 0 135197 ISHARES 3-7 YR TR BD ETF 464288661 226 1863 SH SOLE 0 0 1863 ISHARES INTERM CR BD ETF 464288638 853 7802 SH SOLE 0 0 7802 ISHARES GOLD TRUST ISHARES 464285105 428 36610 SH SOLE 30000 0 6610 ISHARES TR U.S. TECH ETF 464287721 362 3590 SH SOLE 0 0 3590 ISHARES AGENCY BOND ETF 464288166 207 1840 SH SOLE 0 0 1840 ISHARES TR MSCI EAFE ETF 464287465 486 7580 SH SOLE 0 0 7580 ISHARES TR S&P MC 400VL ETF 464287705 573 4762 SH SOLE 0 0 4762 ISHARES TR CORE S&P MCP ETF 464287507 253 1850 SH SOLE 0 0 1850 ISHARES TR CORE S&P500 ETF 464287200 237 1194 SH SOLE 0 0 1194 ISHARES NAT AMT FREE BD 464288414 285 2595 SH SOLE 0 0 2595 ISHARES SHT NTLAMTFR ETF 464288158 3094 29140 SH SOLE 0 0 29140 ISHARES 1-3 YR CR BD ETF 464288646 1042 9896 SH SOLE 0 0 9896 ISHARES TR CORE S&P SCP ETF 464287804 332 3187 SH SOLE 0 0 3187 JPMORGAN CHASE & CO COM 46625H100 810 13439 SH SOLE 9000 0 4439 JOHNSON & JOHNSON COM 478160104 6214 58299 SH SOLE 10444 0 47855 KIMBERLY CLARK CORP COM 494368103 635 5907 SH SOLE 5000 0 907 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 208 2235 SH SOLE 0 0 2235 KRAFT FOODS GROUP INC COM 50076Q106 326 5778 SH SOLE 3000 0 2778 LEUCADIA NATL CORP COM 527288104 840 35252 SH SOLE 29075 0 6177 LOWES COS INC COM 548661107 2645 49982 SH SOLE 754 0 49228 MACYS INC COM 55616P104 222 3819 SH SOLE 0 0 3819 MARATHON OIL CORP COM 565849106 1378 36655 SH SOLE 620 0 36035 MAXIM INTEGRATED PRODS INC COM 57772K101 416 13754 SH SOLE 0 0 13754 MCDONALDS CORP COM 580135101 5257 55446 SH SOLE 4485 0 50962 MEDTRONIC INC COM 585055106 2422 39097 SH SOLE 489 0 38608 MERCK & CO INC NEW COM 58933Y105 5303 89464 SH SOLE 14403 0 75061 MEREDITH CORP COM 589433101 828 19346 SH SOLE 18061 0 1285 MGE ENERGY INC COM 55277P104 737 19768 SH SOLE 18525 0 1243 MICROSOFT CORP COM 594918104 6255 134919 SH SOLE 12577 0 122342 3M CO COM 88579Y101 3186 22484 SH SOLE 5222 0 17262 MONDELEZ INTL INC CL A 609207105 586 17105 SH SOLE 9000 0 8105 NETAPP INC COM 64110D104 642 15000 SH SOLE 15000 0 0 NEW JERSEY RES COM 646025106 1541 30510 SH SOLE 28520 0 1990 NEWS CORP NEW CL A 65249B109 236 14404 SH SOLE 0 0 14404 NIKE INC CL B 654106103 206 2304 SH SOLE 0 0 2304 NOKIA CORP SPONSORED ADR 654902204 1015 120000 SH SOLE 120000 0 0 NUCOR CORP COM 670346105 1217 22414 SH SOLE 110 0 22304 ORACLE CORP COM 68389X105 5831 152337 SH SOLE 26106 0 126231 OSHKOSH CORP COM 688239201 2147 48622 SH SOLE 42626 0 5996 OWENS & MINOR INC NEW COM 690732102 1843 56301 SH SOLE 51080 0 5221 PARK ELECTROCHEMICAL CORP COM 700416209 684 29050 SH SOLE 25400 0 3650 PEABODY ENERGY CORP COM 704549104 123 10000 SH SOLE 10000 0 0 PEPSICO INC COM 713448108 3347 35956 SH SOLE 280 0 35676 PFIZER INC COM 717081103 3501 118413 SH SOLE 31779 0 86634 PHILIP MORRIS INTL INC COM 718172109 528 6330 SH SOLE 0 0 6330 PHILLIPS 66 COM 718546104 1119 13758 SH SOLE 0 0 13758 PIEDMONT NAT GAS INC COM 720186105 1725 51451 SH SOLE 33900 0 17551 PLANTRONICS INC NEW COM 727493108 1956 40930 SH SOLE 38400 0 2530 PRESTIGE BRANDS HLDGS INC COM 74112D101 740 22862 SH SOLE 17012 0 5850 PRICE T ROWE GROUP INC COM 74144T108 4674 59622 SH SOLE 4395 0 55227 PROCTER & GAMBLE CO COM 742718109 6314 75401 SH SOLE 9175 0 66226 PROGRESSIVE CORP OHIO COM 743315103 2098 82979 SH SOLE 1330 0 81649 QUALCOMM INC COM 747525103 1650 22061 SH SOLE 490 0 21571 RADISYS CORP COM 750459109 157 58802 SH SOLE 57532 0 1270 RAYMOND JAMES FINANCIAL INC COM 754730109 2125 39665 SH SOLE 805 0 38860 RIO TINTO PLC SPONSORED ADR 767204100 1079 21930 SH SOLE 390 0 21540 RLI CORP COM 749607107 2531 58460 SH SOLE 51800 0 6660 ROYAL BK CDA MONTREAL QUE COM 780087102 1111 15549 SH SOLE 0 0 15549 SPDR S&P 500 ETF TR TR UNIT 78462F103 281 1426 SH SOLE 0 0 1426 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 241 967 SH SOLE 0 0 967 SAFEWAY INC COM NEW 786514208 1234 35965 SH SOLE 585 0 35380 SCHLUMBERGER LTD COM 806857108 411 4043 SH SOLE 0 0 4043 SCHOLASTIC CORP COM 807066105 909 28110 SH SOLE 25545 0 2565 SIMON PPTY GROUP INC NEW COM 828806109 237 1443 SH SOLE 0 0 1443 SYNAPTICS INC COM 87157D109 2682 36635 SH SOLE 32000 0 4635 SOUTH JERSEY INDS INC COM 838518108 648 12137 SH SOLE 11222 0 915 SOUTHERN CO COM 842587107 4186 95910 SH SOLE 9010 0 86900 SPDR GOLD TRUST GOLD SHS 78463V107 1147 9867 SH SOLE 160 0 9707 SPECTRA ENERGY CORP COM 847560109 364 9273 SH SOLE 0 0 9273 STAPLES INC COM 855030102 409 33805 SH SOLE 26335 0 7470 STATE STR CORP COM 857477103 480 6527 SH SOLE 6000 0 527 STERIS CORP COM 859152100 2703 50090 SH SOLE 45000 0 5090 STRYKER CORP COM 863667101 1000 12381 SH SOLE 260 0 12121 SYMANTEC CORP COM 871503108 1512 64292 SH SOLE 24000 0 40292 SYNGENTA AG SPONSORED ADR 87160A100 1189 18761 SH SOLE 0 0 18761 SYNNEX CORP COM 87162W100 1446 22372 SH SOLE 19222 0 3150 SYSCO CORP COM 871829107 1574 41471 SH SOLE 1025 0 40446 TARGET CORP COM 87612E106 2425 38693 SH SOLE 285 0 38408 TECH DATA CORP COM 878237106 2178 37000 SH SOLE 33000 0 4000 TEXAS INSTRS INC COM 882508104 3343 70098 SH SOLE 900 0 69198 TIME WARNER INC COM NEW 887317303 510 6776 SH SOLE 5166 0 1610 ISHARES TR TIPS BD ETF 464287176 3404 30374 SH SOLE 0 0 30374 TJX COS INC NEW COM 872540109 3470 58645 SH SOLE 520 0 58125 TTM TECHNOLOGIES INC COM 87305R109 847 124396 SH SOLE 118586 0 5810 TWENTY FIRST CENTY FOX INC CL A 90130A101 4942 144130 SH SOLE 32375 0 111754 URS CORP NEW COM 903236107 1861 32304 SH SOLE 28919 0 3385 UGI CORP NEW COM 902681105 866 25398 SH SOLE 20000 0 5398 UNIFIRST CORP MASS COM 904708104 2608 26999 SH SOLE 23864 0 3135 UNILEVER PLC SPON ADR NEW 904767704 729 17400 SH SOLE 16400 0 1000 UNISYS CORP COM NEW 909214306 714 30511 SH SOLE 28496 0 2015 UNITED PARCEL SERVICE INC CL B 911312106 754 7673 SH SOLE 210 0 7463 UNITED STATIONERS INC COM 913004107 1693 45070 SH SOLE 40555 0 4515 UNITED TECHNOLOGIES CORP COM 913017109 4838 45812 SH SOLE 6877 0 38935 UNITEDHEALTH GROUP INC COM 91324P102 1714 19873 SH SOLE 470 0 19403 US BANCORP DEL COM NEW 902973304 1835 43870 SH SOLE 400 0 43470 V F CORP COM 918204108 924 14000 SH SOLE 14000 0 0 VALERO ENERGY CORP NEW COM 91913Y100 1619 35000 SH SOLE 315 0 34685 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 2446 28816 SH SOLE 1105 0 27710 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 2308 23976 SH SOLE 1665 0 22311 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 245 2255 SH SOLE 0 0 2255 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 505 4295 SH SOLE 0 0 4295 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 376 9016 SH SOLE 0 0 9016 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 533 13420 SH SOLE 0 0 13420 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 566 10257 SH SOLE 0 0 10257 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 246 5295 SH SOLE 0 0 5295 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 611 5220 SH SOLE 0 0 5220 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 203 2001 SH SOLE 0 0 2001 VANGUARD WORLD FDS INF TECH ETF 92204A702 725 7248 SH SOLE 0 0 7248 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 4058 47318 SH SOLE 3970 0 43348 VANGUARD SCOTTSDALE FDS INT-TERM GOV 92206C706 668 10482 SH SOLE 1030 0 9452 VANGUARD INDEX FDS LARGE CAP ETF 922908637 3386 37427 SH SOLE 0 0 37427 VANGUARD INDEX FDS GROWTH ETF 922908736 504 5055 SH SOLE 0 0 5055 VANGUARD WORLD FDS MATERIALS ETF 92204A801 341 3096 SH SOLE 0 0 3096 VANGUARD INDEX FDS MID CAP ETF 922908629 817 6966 SH SOLE 45 0 6921 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 585 9870 SH SOLE 0 0 9870 VANGUARD INDEX FDS REIT ETF 922908553 1134 15788 SH SOLE 0 0 15788 VANGUARD INDEX FDS SMALL CP ETF 922908751 1397 12628 SH SOLE 325 0 12303 VANGUARD INDEX FDS SML CP GRW ETF 922908595 3708 30813 SH SOLE 1005 0 29808 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 644 8039 SH SOLE 0 0 8039 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 2732 34200 SH SOLE 9350 0 24850 VANGUARD SCOTTSDALE FDS SHTRM GVT BD ETF 92206C102 1263 20722 SH SOLE 2885 0 17837 VANGUARD WORLD FDS TELCOMM ETF 92204A884 380 4352 SH SOLE 106 0 4246 VERIZON COMMUNICATIONS INC COM 92343V104 3429 68600 SH SOLE 10405 0 58195 VISHAY INTERTECHNOLOGY INC COM 928298108 2395 167623 SH SOLE 151408 0 16215 VORNADO RLTY TR SH BEN INT 929042109 835 8358 SH SOLE 128 0 8230 VULCAN MATLS CO COM 929160109 290 4820 SH SOLE 0 0 4820 WAL-MART STORES INC COM 931142103 3594 46994 SH SOLE 0 0 46994 WALGREEN CO COM 931422109 721 12166 SH SOLE 0 0 12166 WELLS FARGO & CO NEW COM 949746101 4325 83376 SH SOLE 0 0 83376 WHIRLPOOL CORP COM 963320106 330 2265 SH SOLE 0 0 2265