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