0001315785-12-000001.txt : 20120111 0001315785-12-000001.hdr.sgml : 20120111 20120111141724 ACCESSION NUMBER: 0001315785-12-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120111 DATE AS OF CHANGE: 20120111 EFFECTIVENESS DATE: 20120111 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Essex Financial Services, Inc. CENTRAL INDEX KEY: 0001315785 IRS NUMBER: 364529342 STATE OF INCORPORATION: CT FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11126 FILM NUMBER: 12521827 BUSINESS ADDRESS: STREET 1: P.O. BOX 999 STREET 2: 176 WESTBROOK RD CITY: ESSEX STATE: CT ZIP: 064260999 BUSINESS PHONE: 860-767-4300 MAIL ADDRESS: STREET 1: P.O. BOX 999 STREET 2: 176 WESTBROOK RD CITY: ESSEX STATE: CT ZIP: 064260999 13F-HR 1 d13fefs11.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year of Quarter Ended: 12/31/11 Institutional Investment Manager Filing this Report: Name: Essex Financial Services, Inc. Address: 176 Westbrook Road P.O. Box 999 Essex, CT 06426-0999 Form 13F File Number: 28-11126 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules , lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: William Terribile Title: Compliance Officer Phone: 203-767-4300 Report Type (Check only one.): [X] 13F HOLDING REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. I am signing this report as required by the Securities Exchange Act of 1934. WILLIAM TERRIBILE FORM 13 F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 194 FORM 13F INFORMATION TABLE VALUE TOTAL: 189,388 (thousands) List of Other Included Managers: None FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHRTY NAME OF ISSUER TITLE OF CLASS CUSIP X 1000 PRN AMT PRN CALL DSCRETN MNGRS SOLE SHARED NONE ACCENTURE PLC IRELAND EQUITIES G1151C101 250 4700 SH SOLE N/A NONE COVIDIEN PLC EQUITIES G2554F113 344 7634 SH SOLE N/A NONE ACE LIMITED EQUITIES H0023R105 4733 67501 SH SOLE N/A NONE WEATHERFORD INTL LTD EQUITIES H27013103 187 12744 SH SOLE N/A NONE TRANSOCEAN LTD EQUITIES H8817H100 363 9456 SH SOLE N/A NONE CORE LABORATORIES NV EQUITIES N22717107 221 1938 SH SOLE N/A NONE ALPS ETF TR EQUITIES 00162Q866 203 12200 SH SOLE N/A NONE AT & T EQUITIES 00206R102 3605 119225 SH SOLE N/A NONE ABBOTT LABS EQUITIES 002824100 1308 23270 SH SOLE N/A NONE ADOBE SYS INC EQUITIES 00724F101 210 7430 SH SOLE N/A NONE AES TR III PFD CONV SEC EQUITIES 00808N202 785 16000 SH SOLE N/A NONE AETNA US HEATHCARE INC EQUITIES 00817Y108 386 9139 SH SOLE N/A NONE AIR PRODUCTS & CHEMS EQUITIES 009158106 506 5934 SH SOLE N/A NONE ALLIANCE RESOURCE PRTNRSEQUITIES 01877R108 204 2705 SH SOLE N/A NONE ALLIANCE BERNSTEIN INC EQUITIES 01881E101 150 18596 SH SOLE N/A NONE ALTRIA GROUP INC EQUITIES 02209S103 2516 84863 SH SOLE N/A NONE AMERICA MOVIL SAB DE CV EQUITIES 02364W105 1137 50300 SH SOLE N/A NONE AMERICAN EXPRESS EQUITIES 025816109 557 11809 SH SOLE N/A NONE ANDARKO PETE CORP EQUITIES 032511107 668 8748 SH SOLE N/A NONE ANNALY CAP MGMT INC EQUITIES 035710409 834 52229 SH SOLE N/A NONE APACHE CORP EQUITIES 037411105 808 8925 SH SOLE N/A NONE APOLLO INVT CORP EQUITIES 03761U106 84 13100 SH SOLE N/A NONE APPLE INC EQUITIES 037833100 3289 8121 SH SOLE N/A NONE AUTOMATIC DATA PROC,INC EQUITIES 053015103 1647 30487 SH SOLE N/A NONE BP PLC EQUITIES 055622104 399 9329 SH SOLE N/A NONE BANK OF AMERICA EQUITIES 060505104 826 148643 SH SOLE N/A NONE BANK AMER 7.25% NON CUM PREFERRED 060505682 274 349 SH SOLE N/A NONE BANK OF NY MELLON CORP EQUITIES 064058100 759 38096 SH SOLE N/A NONE BECTON DICKINSON & C0 EQUITIES 075887109 394 5278 SH SOLE N/A NONE BERKSHIRE HATHAWAY CLA EQUITIES 084670108 3902 34 SH SOLE N/A NONE BERKSHIRE HATHAWAY CLB EQUITIES 084670207 1665 21822 SH SOLE N/A NONE BLACKROCK MUN INC TR EQUITIES 09248F109 163 11700 SH SOLE N/A NONE BOEING CO EQUITIES 097023105 760 10361 SH SOLE N/A NONE BRISTOL MYERS SQUIBB CO EQUITIES 110122108 734 20837 SH SOLE N/A NONE BROOKFIELD ASSET MGMT EQUITIES 112585104 370 13450 SH SOLE N/A NONE BUCKEYE PARTNERS LP EQUITIES 118230101 1329 20765 SH SOLE N/A NONE CSX EQUITIES 126408103 1588 75425 SH SOLE N/A NONE CVS CORP EQUITIES 126650100 733 17966 SH SOLE N/A NONE CAMERON INTL CORP EQUITIES 13342B105 263 5350 SH SOLE N/A NONE CATERPILLAR INC EQUITIES 149123101 1174 12963 SH SOLE N/A NONE CELGENE CORP EQUITIES 151020104 794 11745 SH SOLE N/A NONE CENOVUS ENERGY INC EQUITIES 15135U109 335 10093 SH SOLE N/A NONE CHESAPEAKE ENERGY CORP EQUITIES 165167107 714 32016 SH SOLE N/A NONE CHEVRON CORP EQUITIES 166764100 3619 34013 SH SOLE N/A NONE CHICAGO BRIDGE & IRON COEQUITIES 167250109 622 16450 SH SOLE N/A NONE CHUBB CORP EQUITIES 171232101 655 9459 SH SOLE N/A NONE CISCO SYSTEMS INC EQUITIES 17275R102 1521 84102 SH SOLE N/A NONE CITIGROUP INC EQUITIES 172967424 645 24530 SH SOLE N/A NONE COCA COLA CO EQUITIES 191216100 2083 29773 SH SOLE N/A NONE COLGATE-PALMOLIVE CO EQUITIES 194162103 1069 11574 SH SOLE N/A NONE COAMERICA INC EQUITIES 200340107 232 9000 SH SOLE N/A NONE COMPASS DIVERSIFIED HLD EQUITIES 20451Q104 3561 287420 SH SOLE N/A NONE CONOCOPHILLIPS EQUITIES 20825C104 1236 16967 SH SOLE N/A NONE CONSOLIDATED EDISON INC EQUITIES 209115104 396 6389 SH SOLE N/A NONE CUMMINS ENGINE INC EQUITIES 231021106 516 5860 SH SOLE N/A NONE DWS MUN INC TR EQUITIES 23338M106 357 25900 SH SOLE N/A NONE DEERE & CO EQUITIES 244199105 277 3586 SH SOLE N/A NONE DEVON ENERGY CORP EQUITIES 25179M103 320 5165 SH SOLE N/A NONE DIAGEO PLC EQUITIES 25243Q205 249 2853 SH SOLE N/A NONE DIAMOND OFFSHORE DRILL EQUITIES 25271C102 272 4918 SH SOLE N/A NONE DISNEY WALT CO EQUITIES 254687106 471 12561 SH SOLE N/A NONE DOMINION RES INC EQUITIES 25746U109 249 4698 SH SOLE N/A NONE DREYFUS STRAT MUNI INC EQUITIES 261932107 310 34870 SH SOLE N/A NONE DREYFUS STRAT MUNI BD FDEQUITIES 26202F107 248 28550 SH SOLE N/A NONE DU PONT E I DE NEMOURS EQUITIES 263534109 1024 22360 SH SOLE N/A NONE DUKE ENERGY EQUITIES 26441C105 409 18610 SH SOLE N/A NONE EMC CORP EQUITIES 268648102 303 14060 SH SOLE N/A NONE EATON CORP EQUITIES 278058102 231 5300 SH SOLE N/A NONE ECOLAB INC EQUITIES 278865100 1330 23005 SH SOLE N/A NONE EL PASO CORP EQUITIES 28336L109 275 10344 SH SOLE N/A NONE EMERSON ELECTRIC CO EQUITIES 291011104 628 13478 SH SOLE N/A NONE ENCANA CORP EQUITIES 292505104 363 19570 SH SOLE N/A NONE ENERGY TRANSFER PART LP EQUITIES 29273R109 1264 27569 SH SOLE N/A NONE ENSCO PLC EQUITIES 29358Q109 347 7387 SH SOLE N/A NONE ENTERPRISE PRODS PARTN EQUITIES 293792107 831 17921 SH SOLE N/A NONE EQUITY RESIDENTIAL SHS EQUITIES 29476L107 347 6086 SH SOLE N/A NONE EXELON CORP EQUITIES 30161N101 218 5023 SH SOLE N/A NONE EXPRESS SCRIPTS INC EQUITIES 302182100 210 4706 SH SOLE N/A NONE EXXON MOBIL CORP EQUITIES 30231G102 17247 203479 SH SOLE N/A NONE FERRELL GAS PART LP UNITEQUITIES 315293100 204 10760 SH SOLE N/A NONE FIFTH ST FIN CORP EQUITIES 31678A103 106 11120 SH SOLE N/A NONE FIRST CONN BANCORP INC EQUITIES 319850103 720 55316 SH SOLE N/A NONE FIRST NIAGARA FINL EQUITIES 33582V108 1284 148741 SH SOLE N/A NONE FORD MOTOR CO EQUITIES 345370860 196 18187 SH SOLE N/A NONE FRANCE TELECOM ADR EQUITIES 35177Q105 431 27551 SH SOLE N/A NONE FRANKLIN RESOURCES EQUITIES 354613101 658 6848 SH SOLE N/A NONE FREEPORT MCMORAN EQUITIES 35671D857 243 6611 SH SOLE N/A NONE FRONTIER COMM CORP EQUITIES 35906A108 168 32591 SH SOLE N/A NONE FULTON FINL CORP EQUITIES 360271100 222 22603 SH SOLE N/A NONE GENERAL DYNAMICS CORP EQUITIES 369550108 872 13124 SH SOLE N/A NONE GENERAL ELECTRIC CO EQUITIES 369604103 5525 308513 SH SOLE N/A NONE GENERAL MILLS EQUITIES 370334104 764 18912 SH SOLE N/A NONE GENESCO INC EQUITIES 371532102 481 7790 SH SOLE N/A NONE GOLDMAN SACHS GROUP INC EQUITIES 38141G104 299 3305 SH SOLE N/A NONE GOOGLE INC EQUITIES 38259P508 1940 3003 SH SOLE N/A NONE GRAINGER WW INC EQUITIES 384802104 445 2375 SH SOLE N/A NONE HCP INC EQUITIES 40414L109 1240 29922 SH SOLE N/A NONE HALLIBURTON CO EQUITIES 406216101 213 6165 SH SOLE N/A NONE HATTERAS FINL CORP EQUITIES 41902R103 227 8600 SH SOLE N/A NONE HEINZ HJ CO EQUITIES 423074103 580 10724 SH SOLE N/A NONE HELIX ENERGY SOLUTIONS EQUITIES 42330P107 180 11410 SH SOLE N/A NONE HERSHEY FOODS CORP EQUITIES 427866108 492 7971 SH SOLE N/A NONE HEWLETT PACKARD CO EQUITIES 428236103 407 15792 SH SOLE N/A NONE HOME DEPOT INC EQUITIES 437076102 954 22702 SH SOLE N/A NONE HONEYWELL INTL INC EQUITIES 438516106 363 6683 SH SOLE N/A NONE INTEL CORP EQUITIES 458140100 964 39737 SH SOLE N/A NONE INTL BUSINESS MACHS EQUITIES 459200101 6454 35098 SH SOLE N/A NONE INVESCO VAN KAMP MUN TR EQUITIES 46131J103 141 10100 SH SOLE N/A NONE INVESCO VAN KAMPEN EQUITIES 46131L108 169 12357 SH SOLE N/A NONE INVESCO VAN KAMPEN INVT EQUITIES 46131T101 233 15286 SH SOLE N/A NONE INVESCO VAN KAMPEN MUN EQUITIES 46132E103 447 35871 SH SOLE N/A NONE ISHARES BARCLAYS TIPS EQUITIES 464287176 603 5171 SH SOLE N/A NONE ISHARES MSCI EAFE INDEX EQUITIES 464287465 217 4383 SH SOLE N/A NONE ISHARES SILVER TR EQUITIES 46428Q109 268 9943 SH SOLE N/A NONE JP MORGAN CHASE & CO EQUITIES 46625H100 1341 40328 SH SOLE N/A NONE JPMORGAN CHASE ALER IND EQUITIES 46625H365 4781 122693 SH SOLE N/A NONE JOHNSON & JOHNSON EQUITIES 478160104 7009 106874 SH SOLE N/A NONE KIMBERLY CLARK CORP EQUITIES 494368103 412 5603 SH SOLE N/A NONE KINDER MORGAN ENERGY EQUITIES 494550106 1713 20161 SH SOLE N/A NONE KRAFT FOODS INC EQUITIES 50075N104 678 18159 SH SOLE N/A NONE LABORATORY CORP AMER EQUITIES 50540R409 877 10196 SH SOLE N/A NONE LILLY ELI & CO EQUITIES 532457108 1183 28468 SH SOLE N/A NONE LINN ENERGY LLC EQUITIES 536020100 800 21105 SH SOLE N/A NONE LOEWS CORP EQUITIES 540424108 287 7635 SH SOLE N/A NONE M & T BK CORP EQUITIES 55261F104 401 5250 SH SOLE N/A NONE MARKET VECTORS ETF TR EQUITIES 57060U100 327 6361 SH SOLE N/A NONE MARRIOTT INTL INC EQUITIES 571903202 304 10415 SH SOLE N/A NONE MCDONALDS CORP EQUITIES 580135101 2340 23322 SH SOLE N/A NONE MEDCOHEALTH SOLUTIONS EQUITIES 58405U102 276 4939 SH SOLE N/A NONE MEDTRONIC INC EQUITIES 585055106 435 11365 SH SOLE N/A NONE MERCK & CO INC EQUITIES 589331107 1466 38893 SH SOLE N/A NONE METLIFE INC EQUITIES 59156R108 227 7246 SH SOLE N/A NONE MFS INVT GRADE MUN TR EQUITIES 59318B108 109 11170 SH SOLE N/A NONE MICROSOFT CORP EQUITIES 594918104 1182 45540 SH SOLE N/A NONE MONSANTO CO EQUITIES 61166W101 409 5839 SH SOLE N/A NONE NEW YORK CMNTY BANCORP EQUITIES 649445103 163 13170 SH SOLE N/A NONE NEXTERA ENERGY INC EQUITIES 65339F101 244 4007 SH SOLE N/A NONE NORFOLK SOUTHERN CORP EQUITIES 655844108 516 7080 SH SOLE N/A NONE NOVARTIS AG EQUITIES 66987V109 447 7825 SH SOLE N/A NONE NUVEEN SELECT QUALTY EQUITIES 670973106 227 14660 SH SOLE N/A NONE NUVEEN QUALITY INC MUNI EQUITIES 670977107 213 14595 SH SOLE N/A NONE ONEOK PRTNRS LP EQUITIES 68268N103 203 3518 SH SOLE N/A NONE ORACLE CORP EQUITIES 68389X105 253 9868 SH SOLE N/A NONE OWENS ILLINOIS INC EQUITIES 690968403 251 12975 SH SOLE N/A NONE PEPSICO INC EQUITIES 713448108 1916 28882 SH SOLE N/A NONE PFIZER INC EQUITIES 717081103 3881 179349 SH SOLE N/A NONE PHILIP MORRIS INTL INC EQUITIES 718172109 2426 30911 SH SOLE N/A NONE PIMCO HIGH INCOME FD EQUITIES 722014107 139 11600 SH SOLE N/A NONE PLAINS ALL AMERICAN EQUITIES 726503105 283 3855 SH SOLE N/A NONE POWERSHARES QQQ TR EQUITIES 73935A104 562 10068 SH SOLE N/A NONE POWERSHARES ETF FINL PFDEQUITIES 73935X229 276 17146 SH SOLE N/A NONE PROCTER & GAMBLE CO EQUITIES 742718109 5179 77630 SH SOLE N/A NONE PUTNAM MNGD MUNI INC TR EQUITIES 746823107 98 13175 SH SOLE N/A NONE RAYMOND JAMES FINL INC EQUITIES 754730109 4256 13715 SH SOLE N/A NONE REALTY INCOME CORP EQUITIES 756109104 271 7750 SH SOLE N/A NONE ROYAL DUTCH SHELL PLC EQUITIES 780259206 603 8250 SH SOLE N/A NONE ROYCE FOCUS TR INC EQUITIES 78080N108 451 71580 SH SOLE N/A NONE SPDR S&P 500 EFT TR EQUITIES 78462F103 263 2099 SH SOLE N/A NONE SPDR GOLD TR EQUITIES 78463V107 805 5295 SH SOLE N/A NONE SPDR S&P MIDCAP 400 TR EQUITIES 78467Y107 222 1395 SH SOLE N/A NONE SANOFI SPONS ADR EQUITIES 80105N105 267 7298 SH SOLE N/A NONE SCHLUMBERGER LTD EQUITIES 806857108 1312 19210 SH SOLE N/A NONE SHERMAN WILLIAMS EQUITIES 824348106 484 5421 SH SOLE N/A NONE SIMON PPTY GROUP INC EQUITIES 828806109 406 3150 SH SOLE N/A NONE SIRIUS XM RADIO INC EQUITIES 82967N108 22 11847 SH SOLE N/A NONE SOUTHERN CO EQUITIES 842587107 1912 41313 SH SOLE N/A NONE SPECTRANETICS CORP EQUITIES 84760C107 282 39020 SH SOLE N/A NONE STANLEY BLACK & DECKER EQUITIES 854502101 696 10300 SH SOLE N/A NONE STRYKER CORP EQUITIES 863667101 658 13230 SH SOLE N/A NONE SYSCO CORP EQUITIES 871829107 272 9290 SH SOLE N/A NONE TARGET CORP EQUITIES 87612E106 515 10046 SH SOLE N/A NONE TEVA PHARMACEUTICAL EQUITIES 881624209 254 6290 SH SOLE N/A NONE THERMO FISHER SCIENTFIC EQUITIES 883556102 363 8075 SH SOLE N/A NONE 3M CO EQUITIES 88579Y101 672 8219 SH SOLE N/A NONE TRAVELERS COS INC EQUITIES 89417E109 352 5956 SH SOLE N/A NONE UIL HLDG CORP EQUITIES 902748102 340 9615 SH SOLE N/A NONE US BANCORP EQUITIES 902973304 2972 109875 SH SOLE N/A NONE UNION PACIFIC CORP EQUITIES 907818108 1211 11428 SH SOLE N/A NONE UNITED TECHNOLOGIES CO EQUITIES 913017109 2278 31167 SH SOLE N/A NONE UNITEDHEALTH GROUP INC EQUITIES 91324P102 490 9660 SH SOLE N/A NONE URANIUM ENERGY CORP EQUITIES 916896103 96 31300 SH SOLE N/A NONE VALLEY NATL BANCORP EQUITIES 919794107 229 18510 SH SOLE N/A NONE VANGUARD INDEX FD EQUITIES 922908769 674 10482 SH SOLE N/A NONE VERIZON COMMUNICATIONS EQUITIES 92343V104 2319 57796 SH SOLE N/A NONE VISA INC EQUITIES 92826C839 367 3614 SH SOLE N/A NONE VODAFONE GRP PLC EQUITIES 92857W209 445 15873 SH SOLE N/A NONE WALMART STORES INC EQUITIES 931142103 494 8274 SH SOLE N/A NONE WALGREEN CO EQUITIES 931422109 376 11374 SH SOLE N/A NONE WASHINGTON TR BANCORP EQUITIES 940610108 215 9039 SH SOLE N/A NONE WEBSTER FINL CORP EQUITIES 947890109 232 11361 SH SOLE N/A NONE WELLS FARGO & CO NEW EQUITIES 949746101 1676 60811 SH SOLE N/A NONE WINDSTREAM CORP EQUITIES 97381W104 306 26079 SH SOLE N/A NONE YUM BRANDS INC EQUITIES 988498101 386 6539 SH SOLE N/A NONE ZIMMER HLDGS INC EQUITIES 98956P102 294 5504 SH SOLE N/A NONE REPORT SUMMARY 194 DATA RECORDS 189388 0 OTHER MANAGERS