0001315785-11-000004.txt : 20111011 0001315785-11-000004.hdr.sgml : 20111010 20111011140111 ACCESSION NUMBER: 0001315785-11-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111011 DATE AS OF CHANGE: 20111011 EFFECTIVENESS DATE: 20111011 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: 111135152 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 s13fefs11.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: 09/30/11 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: 181 FORM 13F INFORMATION TABLE VALUE TOTAL: 153,894 (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 PRIMUS GUARANTY LTD EQUITIES G724557107 250 47498 SH SOLE N/A NONE ACE LIMITED EQUITIES H0023R105 365 6017 SH SOLE N/A NONE WEATHERFORD INTL LTD EQUITIES H27013103 141 11594 SH SOLE N/A NONE TRANSOCEAN LTD EQUITIES H8817H100 426 8932 SH SOLE N/A NONE AT & T EQUITIES 00206R102 3314 116198 SH SOLE N/A NONE ABBOTT LABS EQUITIES 002824100 919 17970 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 332 9139 SH SOLE N/A NONE AIR PRODUCTS & CHEMS EQUITIES 009158106 346 4534 SH SOLE N/A NONE ALLIANCE BERNSTEIN INC EQUITIES 01881E101 148 18596 SH SOLE N/A NONE ALTRIA GROUP INC EQUITIES 02209S103 2211 82454 SH SOLE N/A NONE AMERICA MOVIL SAB DE CV EQUITIES 02364W105 1095 49600 SH SOLE N/A NONE AMERICAN EXPRESS EQUITIES 025816109 519 11569 SH SOLE N/A NONE ANDARKO PETE CORP EQUITIES 032511107 525 8337 SH SOLE N/A NONE ANNALY CAP MGMT INC EQUITIES 035710409 782 47044 SH SOLE N/A NONE APACHE CORP EQUITIES 037411105 650 8095 SH SOLE N/A NONE APOLLO INVT CORP EQUITIES 03761U106 99 13100 SH SOLE N/A NONE APPLE INC EQUITIES 037833100 3061 8031 SH SOLE N/A NONE AUTOMATIC DATA PROC,INC EQUITIES 053015103 1324 28087 SH SOLE N/A NONE BP PLC EQUITIES 055622104 335 9274 SH SOLE N/A NONE BANK OF AMERICA EQUITIES 060505104 1089 177898 SH SOLE N/A NONE BANK OF NY MELLON CORP EQUITIES 064058100 696 37425 SH SOLE N/A NONE BECTON DICKINSON & C0 EQUITIES 075887109 387 5278 SH SOLE N/A NONE BERKSHIRE HATHAWAY CLA EQUITIES 084670108 3524 33 SH SOLE N/A NONE BERKSHIRE HATHAWAY CLB EQUITIES 084670207 1249 17585 SH SOLE N/A NONE BLACKROCK MUN INC TR EQUITIES 09248F109 205 15025 SH SOLE N/A NONE BOEING CO EQUITIES 097023105 572 9446 SH SOLE N/A NONE BRISTOL MYERS SQUIBB CO EQUITIES 110122108 633 20177 SH SOLE N/A NONE BROOKFIELD ASSET MGMT EQUITIES 112585104 371 13450 SH SOLE N/A NONE BUCKEYE PARTNERS LP EQUITIES 118230101 1157 18513 SH SOLE N/A NONE CSX EQUITIES 126408103 1329 71165 SH SOLE N/A NONE CVS CORP EQUITIES 126650100 596 17733 SH SOLE N/A NONE CAMERON INTL CORP EQUITIES 13342B105 231 5550 SH SOLE N/A NONE CATERPILLAR INC EQUITIES 149123101 817 11063 SH SOLE N/A NONE CELGENE CORP EQUITIES 151020104 746 12045 SH SOLE N/A NONE CENOVUS ENERGY INC EQUITIES 15135U109 299 9728 SH SOLE N/A NONE CHESAPEAKE ENERGY CORP EQUITIES 165167107 787 30791 SH SOLE N/A NONE CHEVRON CORP EQUITIES 166764100 2982 32206 SH SOLE N/A NONE CHICAGO BRIDGE & IRON COEQUITIES 167250109 442 15450 SH SOLE N/A NONE CHUBB CORP EQUITIES 171232101 555 9247 SH SOLE N/A NONE CISCO SYSTEMS INC EQUITIES 17275R102 1320 85244 SH SOLE N/A NONE CITIGROUP INC EQUITIES 172967424 678 26482 SH SOLE N/A NONE COCA COLA CO EQUITIES 191216100 1903 28173 SH SOLE N/A NONE COLGATE-PALMOLIVE CO EQUITIES 194162103 1026 11574 SH SOLE N/A NONE COAMERICA INC EQUITIES 200340107 207 9000 SH SOLE N/A NONE COMPASS DIVERSIFIED HLD EQUITIES 20451Q104 3497 287100 SH SOLE N/A NONE CONOCOPHILLIPS EQUITIES 20825C104 1041 16447 SH SOLE N/A NONE CONSOLIDATED EDISON INC EQUITIES 209115104 291 5108 SH SOLE N/A NONE CUMMINS ENGINE INC EQUITIES 231021106 442 5410 SH SOLE N/A NONE DWS MUN INC TR EQUITIES 23338M106 298 23400 SH SOLE N/A NONE DEERE & CO EQUITIES 244199105 270 3270 SH SOLE N/A NONE DEVON ENERGY CORP EQUITIES 25179M103 207 3738 SH SOLE N/A NONE DIAGEO PLC EQUITIES 25243Q205 223 2938 SH SOLE N/A NONE DISNEY WALT CO EQUITIES 254687106 379 12561 SH SOLE N/A NONE DOMINION RES INC EQUITIES 25746U109 239 4698 SH SOLE N/A NONE DREYFUS STRAT MUNI INC EQUITIES 261932107 278 32745 SH SOLE N/A NONE DREYFUS STRAT MUNI BD FDEQUITIES 26202F107 244 28487 SH SOLE N/A NONE DU PONT E I DE NEMOURS EQUITIES 263534109 838 20960 SH SOLE N/A NONE DUKE ENERGY EQUITIES 26441C105 366 18321 SH SOLE N/A NONE EMC CORP EQUITIES 268648102 244 11605 SH SOLE N/A NONE EATON VANCE CORP EQUITIES 278265103 215 9672 SH SOLE N/A NONE ECOLAB INC EQUITIES 278865100 1115 22816 SH SOLE N/A NONE EL PASO CORP EQUITIES 28336L109 190 10844 SH SOLE N/A NONE EMERSON ELECTRIC CO EQUITIES 291011104 544 13178 SH SOLE N/A NONE ENCANA CORP EQUITIES 292505104 255 13270 SH SOLE N/A NONE ENERGY TRANSFER PART LP EQUITIES 29273R109 1085 26447 SH SOLE N/A NONE ENSCO PLC EQUITIES 29358Q109 282 6967 SH SOLE N/A NONE ENTERPRISE PRODS PARTN EQUITIES 293792107 656 16336 SH SOLE N/A NONE EQUITY RESIDENTIAL SHS EQUITIES 29476L107 318 6132 SH SOLE N/A NONE EXELON CORP EQUITIES 30161N101 206 4823 SH SOLE N/A NONE EXXON MOBIL CORP EQUITIES 30231G102 14142 194709 SH SOLE N/A NONE FERRELL GAS PART LP UNITEQUITIES 315293100 240 12110 SH SOLE N/A NONE FIFTH ST FIN CORP EQUITIES 31678A103 103 11120 SH SOLE N/A NONE FIRST CONN BANCORP INC EQUITIES 319850103 637 56316 SH SOLE N/A NONE FIRST NIAGARA FINL EQUITIES 33582V108 1398 152734 SH SOLE N/A NONE FORD MOTOR CO EQUITIES 345370860 157 16187 SH SOLE N/A NONE FRANCE TELECOM ADR EQUITIES 35177Q105 580 35451 SH SOLE N/A NONE FRANKLIN RESOURCES EQUITIES 354613101 656 6863 SH SOLE N/A NONE FREEPORT MCMORAN EQUITIES 35671D857 201 6611 SH SOLE N/A NONE FRONTIER COMM CORP EQUITIES 35906A108 172 28190 SH SOLE N/A NONE FULTON FINL CORP EQUITIES 360271100 173 22603 SH SOLE N/A NONE GENERAL DYNAMICS CORP EQUITIES 369550108 648 11384 SH SOLE N/A NONE GENERAL ELECTRIC CO EQUITIES 369604103 4512 296479 SH SOLE N/A NONE GENERAL MILLS EQUITIES 370334104 713 18512 SH SOLE N/A NONE GENESCO INC EQUITIES 371532102 612 11780 SH SOLE N/A NONE GOLDMAN SACHS GROUP INC EQUITIES 38141G104 365 3861 SH SOLE N/A NONE GOOGLE INC EQUITIES 38259P508 1439 2798 SH SOLE N/A NONE GRAINGER WW INC EQUITIES 384802104 355 2375 SH SOLE N/A NONE GREEN MTN COFFEE ROAST EQUITIES 393122106 438 4715 SH SOLE N/A NONE HCP INC EQUITIES 40414L109 1051 29990 SH SOLE N/A NONE HATTERAS FINL CORP EQUITIES 41902R103 216 8600 SH SOLE N/A NONE HEINZ HJ CO EQUITIES 423074103 502 9949 SH SOLE N/A NONE HELIX ENERGY SOLUTIONS EQUITIES 42330P107 147 11200 SH SOLE N/A NONE HERSHEY FOODS CORP EQUITIES 427866108 635 10711 SH SOLE N/A NONE HEWLETT PACKARD CO EQUITIES 428236103 352 15692 SH SOLE N/A NONE HOME DEPOT INC EQUITIES 437076102 707 21502 SH SOLE N/A NONE HONEYWELL INTL INC EQUITIES 438516106 273 6218 SH SOLE N/A NONE INTEL CORP EQUITIES 458140100 727 34068 SH SOLE N/A NONE INTL BUSINESS MACHS EQUITIES 459200101 5205 29764 SH SOLE N/A NONE INVESCO MORTGAGE CAP EQUITIES 46131B100 160 11340 SH SOLE N/A NONE INVESCO VAN KAMPEN EQUITIES 46131L108 160 12296 SH SOLE N/A NONE INVESCO VAN KAMPEN INVT EQUITIES 46131T101 225 15286 SH SOLE N/A NONE INVESCO VAN KAMPEN MUN EQUITIES 46132E103 405 33321 SH SOLE N/A NONE ISHARES BARCLAYS TIPS EQUITIES 464287176 651 5697 SH SOLE N/A NONE ISHARES MSCI EAFE INDEX EQUITIES 464287465 209 4383 SH SOLE N/A NONE ISHARES SILVER TR EQUITIES 46428Q109 324 11193 SH SOLE N/A NONE JP MORGAN CHASE & CO EQUITIES 46625H100 1081 35878 SH SOLE N/A NONE JPMORGAN CHASE ALER IND EQUITIES 46625H365 3827 112403 SH SOLE N/A NONE JOHNSON & JOHNSON EQUITIES 478160104 6472 101610 SH SOLE N/A NONE KIMBERLY CLARK CORP EQUITIES 494368103 384 5403 SH SOLE N/A NONE KINDER MORGAN ENERGY EQUITIES 494550106 1365 19960 SH SOLE N/A NONE KRAFT FOODS INC EQUITIES 50075N104 521 15507 SH SOLE N/A NONE LABORATORY CORP AMER EQUITIES 50540R409 734 9286 SH SOLE N/A NONE LILLY ELI & CO EQUITIES 532457108 1036 28027 SH SOLE N/A NONE LINN ENERGY LLC EQUITIES 536020100 553 15504 SH SOLE N/A NONE LOEWS CORP EQUITIES 540424108 254 7345 SH SOLE N/A NONE M & T BK CORP EQUITIES 55261F104 374 5350 SH SOLE N/A NONE MARKET VECTORS ETF TR EQUITIES 57060U100 411 7451 SH SOLE N/A NONE MARRIOTT INTL INC EQUITIES 571903202 282 10365 SH SOLE N/A NONE MCDONALDS CORP EQUITIES 580135101 1881 21419 SH SOLE N/A NONE MEDCOHEALTH SOLUTIONS EQUITIES 58405U102 235 5005 SH SOLE N/A NONE MEDTRONIC INC EQUITIES 585055106 363 10915 SH SOLE N/A NONE MERCK & CO INC EQUITIES 589331107 1289 39433 SH SOLE N/A NONE METLIFE INC EQUITIES 59156R108 203 7246 SH SOLE N/A NONE MICROSOFT CORP EQUITIES 594918104 1066 42840 SH SOLE N/A NONE MONSANTO CO EQUITIES 61166W101 338 5637 SH SOLE N/A NONE NEW YORK CMNTY BANCORP EQUITIES 649445103 227 19099 SH SOLE N/A NONE NORFOLK SOUTHERN CORP EQUITIES 655844108 447 7330 SH SOLE N/A NONE NOVARTIS AG EQUITIES 66987V109 421 7547 SH SOLE N/A NONE NUVEEN SELECT QUALTY EQUITIES 670973106 215 14660 SH SOLE N/A NONE ORACLE CORP EQUITIES 68389X105 207 7193 SH SOLE N/A NONE OWENS ILLINOIS INC EQUITIES 690968403 191 12600 SH SOLE N/A NONE PEPSICO INC EQUITIES 713448108 1627 26292 SH SOLE N/A NONE PFIZER INC EQUITIES 717081103 2893 163651 SH SOLE N/A NONE PHILIP MORRIS INTL INC EQUITIES 718172109 1900 30462 SH SOLE N/A NONE PIMCO HIGH INCOME FD EQUITIES 722014107 132 11600 SH SOLE N/A NONE PLAINS ALL AMERICAN EQUITIES 726503105 207 3515 SH SOLE N/A NONE POWERSHARES QQQ TR EQUITIES 73935A104 539 10261 SH SOLE N/A NONE POWERSHARES ETF FINL PFDEQUITIES 73935X229 276 17108 SH SOLE N/A NONE PROCTER & GAMBLE CO EQUITIES 742718109 4101 64906 SH SOLE N/A NONE POWERSHARES TR ULTRASHT EQUITIES 74347R297 202 10380 SH SOLE N/A NONE PUBLEC SVC ENTERPRISE EQUITIES 744573106 236 7070 SH SOLE N/A NONE PUTNAM MNGD MUNI INC TR EQUITIES 746823107 97 13083 SH SOLE N/A NONE RAYMOND JAMES FINL INC EQUITIES 754730109 356 13715 SH SOLE N/A NONE REALTY INCOME CORP EQUITIES 756109104 250 7750 SH SOLE N/A NONE ROYAL DUTCH SHELL PLC EQUITIES 780259206 508 8250 SH SOLE N/A NONE ROYCE FOCUS TR INC EQUITIES 78080N108 356 58886 SH SOLE N/A NONE SPDR S&P 500 EFT TR EQUITIES 78462F103 246 2172 SH SOLE N/A NONE SPDR GOLD TR EQUITIES 78463V107 611 3863 SH SOLE N/A NONE SANOFI SPONS ADR EQUITIES 80105N105 227 6923 SH SOLE N/A NONE SCHLUMBERGER LTD EQUITIES 806857108 1129 18905 SH SOLE N/A NONE SHERMAN WILLIAMS EQUITIES 824348106 403 5421 SH SOLE N/A NONE SIMON PPTY GROUP INC EQUITIES 828806109 346 3150 SH SOLE N/A NONE SOUTHERN CO EQUITIES 842587107 1737 41004 SH SOLE N/A NONE SPECTRANETICS CORP EQUITIES 84760C107 279 39020 SH SOLE N/A NONE STANLEY BLACK & DECKER EQUITIES 854502101 516 10510 SH SOLE N/A NONE STRYKER CORP EQUITIES 863667101 652 13830 SH SOLE N/A NONE SYSCO CORP EQUITIES 871829107 241 9290 SH SOLE N/A NONE TARGET CORP EQUITIES 87612E106 335 6832 SH SOLE N/A NONE TEVA PHARMACEUTICAL EQUITIES 881624209 233 6246 SH SOLE N/A NONE THERMO FISHER SCIENTFIC EQUITIES 883556102 362 7150 SH SOLE N/A NONE 3M CO EQUITIES 88579Y101 604 8419 SH SOLE N/A NONE TRAVELERS COS INC EQUITIES 89417E109 213 4372 SH SOLE N/A NONE UIL HLDG CORP EQUITIES 902748102 317 9615 SH SOLE N/A NONE US BANCORP EQUITIES 902973304 2632 111800 SH SOLE N/A NONE UNION PACIFIC CORP EQUITIES 907818108 825 10103 SH SOLE N/A NONE UNITED TECHNOLOGIES CO EQUITIES 913017109 1976 28078 SH SOLE N/A NONE UNITEDHEALTH GROUP INC EQUITIES 91324P102 430 9315 SH SOLE N/A NONE URANIUM ENERGY CORP EQUITIES 916896103 86 31300 SH SOLE N/A NONE VALLEY NATL BANCORP EQUITIES 919794107 196 18510 SH SOLE N/A NONE VANGUARD INDEX FD EQUITIES 922908769 605 10482 SH SOLE N/A NONE VERIZON COMMUNICATIONS EQUITIES 92343V104 2132 57930 SH SOLE N/A NONE VISA INC EQUITIES 92826C839 258 3014 SH SOLE N/A NONE VODAFONE GRP PLC EQUITIES 92857W209 369 14396 SH SOLE N/A NONE WALMART STORES INC EQUITIES 931142103 418 8049 SH SOLE N/A NONE WALGREEN CO EQUITIES 931422109 377 11452 SH SOLE N/A NONE WEBSTER FINL CORP EQUITIES 947890109 174 11358 SH SOLE N/A NONE WELLS FARGO & CO NEW EQUITIES 949746101 1469 60906 SH SOLE N/A NONE WINDSTREAM CORP EQUITIES 97381W104 213 18251 SH SOLE N/A NONE YUM BRANDS INC EQUITIES 988498101 289 5844 SH SOLE N/A NONE ZIMMER HLDGS INC EQUITIES 98956P102 296 5529 SH SOLE N/A NONE REPORT SUMMARY 181 DATA RECORDS 153894 0 OTHER MANAGERS