Chief Compliance Officer

0001062993-19-003926.txt : 20191017 0001062993-19-003926.hdr.sgml : 20191017 20191017144535 ACCESSION NUMBER: 0001062993-19-003926 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191017 DATE AS OF CHANGE: 20191017 EFFECTIVENESS DATE: 20191017 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FOUNDERS FINANCIAL SECURITIES LLC CENTRAL INDEX KEY: 0001342396 IRS NUMBER: 202052994 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15741 FILM NUMBER: 191154959 BUSINESS ADDRESS: STREET 1: 1020 CROMWELL BRIDGE ROAD STREET 2: SUITE 300 CITY: TOWSON STATE: MD ZIP: 21286 BUSINESS PHONE: 410 308-9988 MAIL ADDRESS: STREET 1: 1020 CROMWELL BRIDGE ROAD STREET 2: SUITE 300 CITY: TOWSON STATE: MD ZIP: 21286 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001342396 XXXXXXXX 09-30-2019 09-30-2019 FOUNDERS FINANCIAL SECURITIES LLC

1020 CROMWELL BRIDGE ROAD TOWSON MD 21286

13F COMBINATION REPORT 028-15741 0001560717 028-15165 Horizon Investments, LLC N Joseph V. Krcma Chief Compliance Officer 410-308-9988 Joseph V. Krcma Towson MD 10-17-2019 1 131 313542 false 1 0001560717 Horizon Investments, LLC INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE ISHARES TR CORE S&P SCP ETF 464287804 18457 237115 SH SOLE 1 0 0 237115 ISHARES TR USA QUALITY FCTR 46432F339 13990 151406 SH SOLE 1 0 0 151406 ISHARES INC CORE MSCI EMKT 46434G103 13444 274247 SH SOLE 1 0 0 274247 VANGUARD INDEX FDS VALUE ETF 922908744 12337 110528 SH SOLE 1 0 0 110528 ISHARES TR CORE US AGGBD ET 464287226 10639 94007 SH SOLE 1 0 0 94007 VANGUARD INDEX FDS MID CAP ETF 922908629 9925 59219 SH SOLE 1 0 0 59219 SPDR SERIES TRUST PRTFLO S&P500 GW 78464A409 9613 247176 SH SOLE 1 0 0 247176 SPDR S&P 500 ETF TR TR UNIT 78462F103 9373 31584 SH SOLE 1 0 0 31584 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 9354 190016 SH SOLE 1 0 0 190016 PIMCO ETF TR ACTIVE BD ETF 72201R775 8830 81087 SH SOLE 1 0 0 81087 ISHARES TR RUS 1000 GRW ETF 464287614 8698 54488 SH SOLE 1 0 0 54488 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 8686 102879 SH SOLE 1 0 0 102879 VANGUARD GROUP DIV APP ETF 921908844 8433 70518 SH SOLE 1 0 0 70518 ISHARES TR HDG MSCI EAFE 46434V803 7728 258107 SH SOLE 1 0 0 258107 SPDR SERIES TRUST PRTFLO S&P500 VL 78464A508 7161 224060 SH SOLE 1 0 0 224060 INVESCO QQQ TR UNIT SER 1 46090E103 7099 37601 SH SOLE 1 0 0 37601 SPDR SERIES TRUST SPDR BLOOMBERG 78468R663 7092 77435 SH SOLE 1 0 0 77435 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 6956 139398 SH SOLE 1 0 0 139398 ISHARES TR CORE DIV GRWTH 46434V621 6924 176906 SH SOLE 1 0 0 176906 ISHARES TR CORE MSCI INTL 46435G326 4997 91493 SH SOLE 1 0 0 91493 DBX ETF TR XTRACK USD HIGH 233051432 4787 95581 SH SOLE 1 0 0 95581 HANCOCK JOHN TAX-ADV DIV INC COM 41013V100 4532 159341 SH SOLE 0 0 159341 ISHARES TR CORE S&P500 ETF 464287200 4403 14748 SH SOLE 1 0 0 14748 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 4400 149870 SH SOLE 1 0 0 149870 FIRST TR LRG CP GRWTH ALPHAD COM SHS 33735K108 4377 62556 SH SOLE 1 0 0 62556 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 4325 83870 SH SOLE 1 0 0 83870 ISHARES TR JPMORGAN USD EMG 464288281 4320 38110 SH SOLE 1 0 0 38110 FIRST TR VALUE LINE DIVID IN SHS 33734H106 3965 113709 SH SOLE 0 0 113709 DBX ETF TR XTRACKERS S&P 233051143 3173 123762 SH SOLE 1 0 0 123762 ISHARES TR MSCI MIN VOL ETF 46429B697 3064 47800 SH SOLE 1 0 0 47800 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 2736 92320 SH SOLE 1 0 0 92320 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 2539 44898 SH SOLE 1 0 0 44898 ISHARES TR 3 7 YR TREAS BD 464288661 2378 18754 SH SOLE 0 0 18754 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 2247 22041 SH SOLE 1 0 0 22041 ISHARES TR RUS MID CAP ETF 464287499 2241 40062 SH SOLE 1 0 0 40062 INVESCO EXCHANGE TRADED FD T DYNMC LRG GWTH 46137V746 2241 46357 SH SOLE 1 0 0 46357 INVESCO EXCHNG TRADED FD TR S&P SMLCP LOW 46138G102 2198 44967 SH SOLE 1 0 0 44967 ISHARES TR 1 3 YR TREAS BD 464287457 2135 25176 SH SOLE 1 0 0 25176 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 2124 222626 SH SOLE 0 0 222626 ISHARES TR CORE S&P MCP ETF 464287507 1921 9942 SH SOLE 1 0 0 9942 ISHARES TR IBOXX HI YD ETF 464288513 1646 18886 SH SOLE 1 0 0 18886 ISHARES TR MSCI ACWI EX US 464288240 1526 33146 SH SOLE 1 0 0 33146 HOME DEPOT INC COM 437076102 1517 6537 SH SOLE 1 0 0 6537 SHERWIN WILLIAMS CO COM 824348106 1513 2752 SH SOLE 0 0 2752 EXXON MOBIL CORP COM 30231G102 1482 20988 SH SOLE 1 0 0 20988 APPLE INC COM 037833100 1453 6486 SH SOLE 1 0 0 6486 PROCTER & GAMBLE CO COM 742718109 1359 10923 SH SOLE 1 0 0 10923 ISHARES TR PFD AND INCM SEC 464288687 1339 35669 SH SOLE 1 0 0 35669 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 1320 14881 SH SOLE 0 0 14881 ISHARES TR MIN VOL EAFE ETF 46429B689 1320 18014 SH SOLE 1 0 0 18014 LOCKHEED MARTIN CORP COM 539830109 1285 3294 SH SOLE 1 0 0 3294 ISHARES TR NATIONAL MUN ETF 464288414 1262 11063 SH SOLE 1 0 0 11063 MEDTRONIC PLC SHS G5960L103 1183 10894 SH SOLE 1 0 0 10894 WISDOMTREE TR YIELD ENHANCD US 97717X511 1172 22418 SH SOLE 1 0 0 22418 JOHNSON & JOHNSON COM 478160104 1128 8722 SH SOLE 1 0 0 8722 SHOPIFY INC CL A 82509L107 1099 3525 SH SOLE 1 0 0 3525 ALLSTATE CORP COM 020002101 1097 10097 SH SOLE 1 0 0 10097 AMGEN INC COM 031162100 1073 5545 SH SOLE 1 0 0 5545 BRISTOL MYERS SQUIBB CO COM 110122108 1066 21018 SH SOLE 1 0 0 21018 NEW AMER HIGH INCOME FD INC COM NEW 641876800 1044 118275 SH SOLE 0 0 118275 WALMART INC COM 931142103 1040 8766 SH SOLE 1 0 0 8766 VANGUARD WORLD FDS UTILITIES ETF 92204A876 1027 7150 SH SOLE 0 0 7150 CISCO SYS INC COM 17275R102 1009 20420 SH SOLE 1 0 0 20420 INTERNATIONAL BUSINESS MACHS COM 459200101 990 6809 SH SOLE 1 0 0 6809 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 956 8843 SH SOLE 1 0 0 8843 BANK N S HALIFAX COM 064149107 905 15927 SH SOLE 1 0 0 15927 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 895 6646 SH SOLE 1 0 0 6646 TOTAL S A SPONSORED ADS 89151E109 892 17151 SH SOLE 1 0 0 17151 CHEVRON CORP NEW COM 166764100 872 7354 SH SOLE 1 0 0 7354 PIMCO INCOME OPPORTUNITY FD COM 72202B100 833 31275 SH SOLE 0 0 31275 MICROSOFT CORP COM 594918104 801 5758 SH SOLE 1 0 0 5758 ISHARES TR SH TR CRPORT ETF 464288646 736 13709 SH SOLE 1 0 0 13709 AUTOMATIC DATA PROCESSING IN COM 053015103 716 4433 SH SOLE 1 0 0 4433 SCHLUMBERGER LTD COM 806857108 700 20499 SH SOLE 1 0 0 20499 WELLS FARGO CO NEW COM 949746101 693 13749 SH SOLE 1 0 0 13749 DUKE ENERGY CORP NEW COM NEW 26441C204 692 7221 SH SOLE 1 0 0 7221 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 655 22100 SH SOLE 1 0 0 22100 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 655 15341 SH SOLE 1 0 0 15341 COCA COLA CO COM 191216100 650 11943 SH SOLE 1 0 0 11943 FIRST TR NASDAQ100 TECH INDE SHS 337345102 638 7287 SH SOLE 1 0 0 7287 OCCIDENTAL PETE CORP COM 674599105 636 14297 SH SOLE 1 0 0 14297 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 629 9656 SH SOLE 1 0 0 9656 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 622 19544 SH SOLE 1 0 0 19544 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 614 10004 SH SOLE 0 0 10004 ISHARES TR RUSSELL 2000 ETF 464287655 612 4045 SH SOLE 1 0 0 4045 DELTA AIR LINES INC DEL COM NEW 247361702 607 10541 SH SOLE 1 0 0 10541 PACWEST BANCORP DEL COM 695263103 583 16038 SH SOLE 1 0 0 16038 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 538 9138 SH SOLE 1 0 0 9138 UNITEDHEALTH GROUP INC COM 91324P102 534 2455 SH SOLE 1 0 0 2455 ISHARES TR US AER DEF ETF 464288760 529 2354 SH SOLE 0 0 2354 COMCAST CORP NEW CL A 20030N101 500 11095 SH SOLE 1 0 0 11095 SPDR SERIES TRUST PORTFOLIO INTRMD 78464A375 486 13789 SH SOLE 1 0 0 13789 ISHARES TR BARCLAYS 7 10 YR 464287440 483 4298 SH SOLE 1 0 0 4298 ISHARES TR INTRM TR CRP ETF 464288638 475 8193 SH SOLE 1 0 0 8193 DISNEY WALT CO COM DISNEY 254687106 453 3473 SH SOLE 1 0 0 3473 ALTERYX INC COM CL A 02156B103 439 4088 SH SOLE 0 0 4088 3M CO COM 88579Y101 424 2578 SH SOLE 1 0 0 2578 CYBERARK SOFTWARE LTD SHS M2682V108 390 3908 SH SOLE 0 0 3908 AMAZON COM INC COM 023135106 365 210 SH SOLE 1 0 0 210 AMERICAN TOWER CORP NEW COM 03027X100 351 1589 SH SOLE 1 0 0 1589 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 340 6463 SH SOLE 1 0 0 6463 WISDOMTREE TR US QTLY DIV GRT 97717X669 322 7145 SH SOLE 0 0 7145 VISA INC COM CL A 92826C839 318 1846 SH SOLE 1 0 0 1846 LINDE PLC SHS G5494J103 317 1637 SH SOLE 1 0 0 1637 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 301 11287 SH SOLE 0 0 11287 MASTERCARD INC CL A 57636Q104 300 1106 SH SOLE 0 0 1106 PFIZER INC COM 717081103 291 8095 SH SOLE 1 0 0 8095 TEXAS INSTRS INC COM 882508104 288 2229 SH SOLE 1 0 0 2229 PIMCO DYNAMIC INCOME FD SHS 72201Y101 287 8832 SH SOLE 0 0 8832 AT&T INC COM 00206R102 287 7577 SH SOLE 0 0 7577 MCCORMICK & CO INC COM NON VTG 579780206 274 1752 SH SOLE 1 0 0 1752 VERIZON COMMUNICATIONS INC COM 92343V104 273 4520 SH SOLE 0 0 4520 WISDOMTREE TR US MIDCAP DIVID 97717W505 267 7356 SH SOLE 0 0 7356 OLD LINE BANCSHARES INC COM 67984M100 263 9082 SH SOLE 1 0 0 9082 FACEBOOK INC CL A 30303M102 259 1452 SH SOLE 1 0 0 1452 UNITED PARCEL SERVICE INC CL B 911312106 252 2101 SH SOLE 1 0 0 2101 BANK AMER CORP COM 060505104 250 8567 SH SOLE 1 0 0 8567 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 248 2611 SH SOLE 1 0 0 2611 UNITED TECHNOLOGIES CORP COM 913017109 242 1776 SH SOLE 1 0 0 1776 ARK ETF TR GENOMIC REV ETF 00214Q302 242 8183 SH SOLE 0 0 8183 VANECK VECTORS ETF TR JP MORGAN MKTS 92189H300 228 6915 SH SOLE 1 0 0 6915 ISHARES TR SELECT DIVID ETF 464287168 227 2228 SH SOLE 0 0 2228 THERMO FISHER SCIENTIFIC INC COM 883556102 217 745 SH SOLE 1 0 0 745 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 214 3302 SH SOLE 0 0 3302 MERCK & CO INC COM 58933Y105 214 2538 SH SOLE 0 0 2538 ZOETIS INC CL A 98978V103 207 1661 SH SOLE 1 0 0 1661 FORD MTR CO DEL COM 345370860 100 10877 SH SOLE 0 0 10877 GENERAL ELECTRIC CO COM 369604103 98 10961 SH SOLE 0 0 10961 GLOBALSTAR INC COM 378973408 28 68255 SH SOLE 0 0 68255 CONFORMIS INC COM 20717E101 19 10000 SH SOLE 0 0 10000 DARE BIOSCIENCE INC COM 23666P101 16 20000 SH SOLE 0 0 20000