0001315785-11-000002.txt : 20110413 0001315785-11-000002.hdr.sgml : 20110413 20110413142640 ACCESSION NUMBER: 0001315785-11-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110413 DATE AS OF CHANGE: 20110413 EFFECTIVENESS DATE: 20110413 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: 11756818 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 m13fefs11.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: 03/31/11 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: 144 FORM 13F INFORMATION TABLE VALUE TOTAL: 145,497 (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 TRANSOCEAN LTD EQUITIES H8817H100 326 4185 SH SOLE N/A NONE AT & T EQUITIES 00206R102 2939 96015 SH SOLE N/A NONE ABBOTT LABS EQUITIES 002824100 207 4210 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 315 8419 SH SOLE N/A NONE AIR PRODUCTS & CHEMS EQUITIES 009158106 350 3884 SH SOLE N/A NONE ALLIANCE BERNSTEIN INC EQUITIES 01881E101 174 22596 SH SOLE N/A NONE ALTRIA GROUP INC EQUITIES 02209S103 2180 83760 SH SOLE N/A NONE AMERICAN EXPRESS EQUITIES 025816109 279 6178 SH SOLE N/A NONE AMERICAN INTL GROUP INC EQUITIES 026874784 274 7707 SH SOLE N/A NONE ANDARKO PETE CORP EQUITIES 032511107 534 6522 SH SOLE N/A NONE ANNALY CAP MGMT INC EQUITIES 035710409 534 30596 SH SOLE N/A NONE APACHE CORP EQUITIES 037411105 1069 8165 SH SOLE N/A NONE APPLE INC EQUITIES 037833100 2870 8237 SH SOLE N/A NONE AUTOMATIC DATA PROC,INC EQUITIES 053015103 1405 27392 SH SOLE N/A NONE BANK OF AMERICA EQUITIES 060505104 786 58956 SH SOLE N/A NONE BANK OF NY MELLON CORP EQUITIES 064058100 576 19279 SH SOLE N/A NONE BECTON DICKINSON & C0 EQUITIES 075887109 420 5278 SH SOLE N/A NONE BERKSHIRE HATHAWAY CLA EQUITIES 084670108 3759 30 SH SOLE N/A NONE BERKSHIRE HATHAWAY CLB EQUITIES 084670207 1460 17461 SH SOLE N/A NONE BOEING CO EQUITIES 097023105 633 8556 SH SOLE N/A NONE BRISTOL MYERS SQUIBB CO EQUITIES 110122108 527 19957 SH SOLE N/A NONE BROOKFIELD ASSET MGMT EQUITIES 112585104 502 15468 SH SOLE N/A NONE BUCKEYE PARTNERS LP EQUITIES 118230101 1009 15878 SH SOLE N/A NONE CSX EQUITIES 126408103 3103 39480 SH SOLE N/A NONE CVS CORP EQUITIES 126650100 449 13083 SH SOLE N/A NONE CAMERON INTL CORP EQUITIES 13342B105 317 5550 SH SOLE N/A NONE CATERPILLAR INC EQUITIES 149123101 1154 10361 SH SOLE N/A NONE CELGENE CORP EQUITIES 151020104 909 15795 SH SOLE N/A NONE CHESAPEAKE ENERGY CORP EQUITIES 165167107 398 11885 SH SOLE N/A NONE CHEVRON CORP EQUITIES 166764100 3186 29637 SH SOLE N/A NONE CHICAGO BRIDGE & IRON COEQUITIES 167250109 775 19050 SH SOLE N/A NONE CHUBB CORP EQUITIES 171232101 454 7405 SH SOLE N/A NONE CISCO SYSTEMS INC EQUITIES 17275R102 1014 59104 SH SOLE N/A NONE CITIGROUP INC EQUITIES 172967101 985 222847 SH SOLE N/A NONE COCA COLA CO EQUITIES 191216100 1471 22171 SH SOLE N/A NONE COLGATE-PALMOLIVE CO EQUITIES 194162103 906 11223 SH SOLE N/A NONE COAMERICA INC EQUITIES 200340107 330 9000 SH SOLE N/A NONE CONOCOPHILLIPS EQUITIES 20825C104 989 12388 SH SOLE N/A NONE CUMMINS ENGINE INC EQUITIES 231021106 576 5252 SH SOLE N/A NONE DEERE & CO EQUITIES 244199105 307 3170 SH SOLE N/A NONE DEVON ENERGY CORP EQUITIES 25179M103 323 3516 SH SOLE N/A NONE DIAMOND OFFSHORE DRILL EQUITIES 25271C102 296 3810 SH SOLE N/A NONE DISNEY WALT CO EQUITIES 254687106 294 6814 SH SOLE N/A NONE DREYFUS STRAT MUNI INC EQUITIES 261932107 288 35850 SH SOLE N/A NONE DREYFUS STRAT MUNI BD FDEQUITIES 26202F107 249 32294 SH SOLE N/A NONE DU PONT E I DE NEMOURS EQUITIES 263534109 980 17830 SH SOLE N/A NONE DUKE ENERGY EQUITIES 26441C105 195 10757 SH SOLE N/A NONE EMC CORP EQUITIES 268648102 262 9855 SH SOLE N/A NONE EATON VANCE CORP EQUITIES 278265103 464 14405 SH SOLE N/A NONE ECOLAB INC EQUITIES 278865100 1446 28344 SH SOLE N/A NONE EMERSON ELECTRIC CO EQUITIES 291011104 761 13023 SH SOLE N/A NONE ENCANA CORP EQUITIES 292505104 477 13820 SH SOLE N/A NONE ENERGY TRANSFER PERTLP EQUITIES 29273R109 542 10478 SH SOLE N/A NONE ENTERPRISE PRODS PARTN EQUITIES 293792107 698 16211 SH SOLE N/A NONE EQUITY RESIDENTIAL SHS EQUITIES 29476L107 459 8132 SH SOLE N/A NONE EXPRESS SCRIPTS INC EQUITIES 302182100 278 5000 SH SOLE N/A NONE EXXON MOBIL CORP EQUITIES 30231G102 14776 175632 SH SOLE N/A NONE FORD MOTOR CO EQUITIES 345370860 248 16662 SH SOLE N/A NONE FRANCE TELECOM ADR EQUITIES 35177Q105 825 36651 SH SOLE N/A NONE FREEPORT MCMORAN EQUITIES 35671D857 847 15246 SH SOLE N/A NONE FRONTIER COMM CORP EQUITIES 35906A108 186 22671 SH SOLE N/A NONE GENERAL DYNAMICS CORP EQUITIES 369550108 667 8716 SH SOLE N/A NONE GENERAL ELECTRIC CO EQUITIES 369604103 5328 265718 SH SOLE N/A NONE GENERAL MILLS EQUITIES 370334104 677 18512 SH SOLE N/A NONE GOLDMAN SACHS GROUP INC EQUITIES 38141G104 820 5172 SH SOLE N/A NONE GOOGLE INC EQUITIES 38259P508 2257 3850 SH SOLE N/A NONE GRAINGER WW INC EQUITIES 384802104 324 2350 SH SOLE N/A NONE HCP INC EQUITIES 40414L109 1290 33990 SH SOLE N/A NONE HEINZ HJ CO EQUITIES 423074103 411 8426 SH SOLE N/A NONE HERSHEY FOODS CORP EQUITIES 427866108 582 10711 SH SOLE N/A NONE HEWLETT PACKARD CO EQUITIES 428236103 777 18984 SH SOLE N/A NONE HOME DEPOT INC EQUITIES 437076102 597 16102 SH SOLE N/A NONE INTEL CORP EQUITIES 458140100 443 21973 SH SOLE N/A NONE INTL BUSINESS MACHS EQUITIES 459200101 4867 29848 SH SOLE N/A NONE INVESCO VAN KAMPEN INVT EQUITIES 46131T101 208 15286 SH SOLE N/A NONE INVESCO VAN KAMPEN MUN EQUITIES 46132E103 216 19062 SH SOLE N/A NONE IRON MTN INC EQUITIES 462846106 222 7100 SH SOLE N/A NONE ISHARES MSCI JAPAN EQUITIES 464286848 164 15910 SH SOLE N/A NONE ISHARES BARCLAYS TIPS EQUITIES 464287176 908 8315 SH SOLE N/A NONE ISHARES MSCI EMERGING EQUITIES 464287234 251 5163 SH SOLE N/A NONE JP MORGAN CHASE & CO EQUITIES 46625H100 1658 35968 SH SOLE N/A NONE JPMORGAN CHASE ALER IND EQUITIES 46625H365 4108 108185 SH SOLE N/A NONE JOHNSON & JOHNSON EQUITIES 478160104 4727 79779 SH SOLE N/A NONE KEYCORP EQUITIES 493267108 194 21845 SH SOLE N/A NONE KIMBERLY CLARK CORP EQUITIES 494368103 321 4912 SH SOLE N/A NONE KINDER MORGAN ENERGY EQUITIES 494550106 1247 16833 SH SOLE N/A NONE KRAFT FOODS INC EQUITIES 50075N104 386 12305 SH SOLE N/A NONE LABORATORY CORP AMER EQUITIES 50540R409 1007 10926 SH SOLE N/A NONE LILLY ELI & CO EQUITIES 532457108 988 28084 SH SOLE N/A NONE LINN ENERGY LLC EQUITIES 536020100 515 13222 SH SOLE N/A NONE M & T BK CORP EQUITIES 55261F104 520 5875 SH SOLE N/A NONE MARRIOTT INTL INC EQUITIES 571903202 304 8553 SH SOLE N/A NONE MCDONALDS CORP EQUITIES 580135101 1199 15761 SH SOLE N/A NONE MEDCOHEALTH SOLUTIONS EQUITIES 58405U102 263 4690 SH SOLE N/A NONE MEDTRONIC INC EQUITIES 585055106 431 10965 SH SOLE N/A NONE MERCK & CO INC EQUITIES 589331107 1158 35092 SH SOLE N/A NONE MICROSOFT CORP EQUITIES 594918104 1200 47325 SH SOLE N/A NONE MONSANTO CO EQUITIES 61166W101 400 5537 SH SOLE N/A NONE NEW YORK CMNTY BANCORP EQUITIES 649445103 279 16171 SH SOLE N/A NONE NEWALLIANCE BANCSHARES EQUITIES 650203102 1682 113347 SH SOLE N/A NONE NORFOLK SOUTHERN CORP EQUITIES 655844108 439 6337 SH SOLE N/A NONE NOVARTIS AG EQUITIES 66987V109 306 5634 SH SOLE N/A NONE ORACLE CORP EQUITIES 68389X105 216 6468 SH SOLE N/A NONE OSHKOSH CORP EQUITIES 688239201 251 7100 SH SOLE N/A NONE PEPSICO INC EQUITIES 713448108 1733 26903 SH SOLE N/A NONE PFIZER INC EQUITIES 717081103 3056 150444 SH SOLE N/A NONE PHILIP MORRIS INTL INC EQUITIES 718172109 1864 28408 SH SOLE N/A NONE POWERSHARES QQQ TR EQUITIES 73935A104 589 10255 SH SOLE N/A NONE POWERSHARES ETF FINL PFDEQUITIES 73935X229 238 13108 SH SOLE N/A NONE PROCTER & GAMBLE CO EQUITIES 742718109 3934 63869 SH SOLE N/A NONE PUTNAM MANAGED MUNI INC EQUITIES 746823103 116 16805 SH SOLE N/A NONE RAYMOND JAMES FINL INC EQUITIES 754730109 524 13715 SH SOLE N/A NONE REALTY INCOME CORP EQUITIES 756109104 318 9090 SH SOLE N/A NONE ROYAL DUTCH SHELL PLC EQUITIES 780259206 674 9250 SH SOLE N/A NONE SPDR S&P 500 EFT TR EQUITIES 78462F103 310 2339 SH SOLE N/A NONE SPDR GOLD TR EQUITIES 78463V107 643 4598 SH SOLE N/A NONE SCHLUMBERGER LTD EQUITIES 806857108 1719 18430 SH SOLE N/A NONE SHERMAN WILLIAMS EQUITIES 824348106 455 5420 SH SOLE N/A NONE SOUTHERN CO EQUITIES 842587107 1485 38966 SH SOLE N/A NONE SPECTRANETICS CORP EQUITIES 84760C107 184 39020 SH SOLE N/A NONE STANLEY BLACK & DECKER EQUITIES 854502101 789 10300 SH SOLE N/A NONE STATE STREET CORP EQUITIES 857477103 288 6403 SH SOLE N/A NONE STRYKER CORP EQUITIES 863667101 765 12580 SH SOLE N/A NONE SYSCO CORP EQUITIES 871829107 228 8240 SH SOLE N/A NONE TARGET CORP EQUITIES 87612E106 413 8264 SH SOLE N/A NONE TEVA PHARMACEUTICAL EQUITIES 881624209 257 5125 SH SOLE N/A NONE 3M CO EQUITIES 88579Y101 786 8404 SH SOLE N/A NONE TIME WARNER INC EQUITIES 887317303 212 4942 SH SOLE N/A NONE UIL HLDG CORP EQUITIES 902748102 288 9440 SH SOLE N/A NONE US BANCORP EQUITIES 902973304 3055 115570 SH SOLE N/A NONE UNION PACIFIC CORP EQUITIES 907818108 843 8574 SH SOLE N/A NONE UNITED TECHNOLOGIES CO EQUITIES 913017109 2345 27700 SH SOLE N/A NONE VALLEY NATL BANCORP EQUITIES 919794107 246 17629 SH SOLE N/A NONE VERIZON COMMUNICATIONS EQUITIES 92343V104 1815 47105 SH SOLE N/A NONE VISA INC EQUITIES 92826C839 296 4015 SH SOLE N/A NONE VODAFONE GRP PLC EQUITIES 92857W209 332 11542 SH SOLE N/A NONE WALMART STORES INC EQUITIES 931142103 240 4613 SH SOLE N/A NONE WALGREEN CO EQUITIES 931422109 456 11351 SH SOLE N/A NONE WEBSTER FINL CORP EQUITIES 947890109 236 11019 SH SOLE N/A NONE WELLS FARGO & CO NEW EQUITIES 949746101 1981 62475 SH SOLE N/A NONE WINDSTREAM CORP EQUITIES 97381W104 193 15000 SH SOLE N/A NONE YUM BRANDS INC EQUITIES 988498101 287 5593 SH SOLE N/A NONE ZIMMER HLDGS INC EQUITIES 98956P102 366 6052 SH SOLE N/A NONE REPORT SUMMARY 144 DATA RECORDS 145497 0 OTHER MANAGERS