0001315785-12-000003.txt : 20120725 0001315785-12-000003.hdr.sgml : 20120725 20120725133702 ACCESSION NUMBER: 0001315785-12-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120630 FILED AS OF DATE: 20120725 DATE AS OF CHANGE: 20120725 EFFECTIVENESS DATE: 20120725 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: 12978565 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 j13fefs12.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: 03/31/12 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: 209 FORM 13F INFORMATION TABLE VALUE TOTAL: 207,945 (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 281 4675 SH SOLE N/A NONE COVIDIEN PLC EQUITIES G2554F113 399 7455 SH SOLE N/A NONE ENSCO PLC EQUITIES G3157S106 325 6914 SH SOLE N/A NONE ACE LIMITED EQUITIES H0023R105 4410 59494 SH SOLE N/A NONE WEATHERFORD INTL LTD EQUITIES H27013103 162 12795 SH SOLE N/A NONE TRANSOCEAN LTD EQUITIES H8817H100 368 8231 SH SOLE N/A NONE CORE LABORATORIES NV EQUITIES N22717107 225 1938 SH SOLE N/A NONE TEEKAY TANKERS LTD CL A EQUITIES Y8564M105 558 14479 SH SOLE N/A NONE ALPS ETF TR EQUITIES 00162Q866 361 22572 SH SOLE N/A NONE AT & T EQUITIES 00206R102 4188 117436 SH SOLE N/A NONE ABBOTT LABS EQUITIES 002824100 1494 23180 SH SOLE N/A NONE ADOBE SYS INC EQUITIES 00724F101 241 7430 SH SOLE N/A NONE AES TR III PFD CONV SEC EQUITIES 00808N202 788 16000 SH SOLE N/A NONE AETNA US HEATHCARE INC EQUITIES 00817Y108 366 9430 SH SOLE N/A NONE AIR PRODUCTS & CHEMS EQUITIES 009158106 374 4634 SH SOLE N/A NONE ALLIANCE BERNSTEIN INC EQUITIES 01881E101 155 18596 SH SOLE N/A NONE ALTRIA GROUP INC EQUITIES 02209S103 2860 82788 SH SOLE N/A NONE AMERICA MOVIL SAB DE CV EQUITIES 02364W105 1293 49600 SH SOLE N/A NONE AMERICN CAP AGY CORP EQUITIES 02503X105 260 7725 SH SOLE N/A NONE AMERICAN EXPRESS EQUITIES 025816109 663 11390 SH SOLE N/A NONE ANDARKO PETE CORP EQUITIES 032511107 434 6554 SH SOLE N/A NONE ANNALY CAP MGMT INC EQUITIES 035710409 1364 81280 SH SOLE N/A NONE APACHE CORP EQUITIES 037411105 830 9446 SH SOLE N/A NONE APOLLO INVT CORP EQUITIES 03761U106 89 11600 SH SOLE N/A NONE APPLE INC EQUITIES 037833100 4670 7996 SH SOLE N/A NONE AUTOMATIC DATA PROC,INC EQUITIES 053015103 1799 32322 SH SOLE N/A NONE BP PLC EQUITIES 055622104 388 9573 SH SOLE N/A NONE BANCO SANTANDER SA ADR EQUITIES 05964H105 67 10200 SH SOLE N/A NONE BANK OF AMERICA EQUITIES 060505104 1266 154761 SH SOLE N/A NONE BANK AMER 7.25% NON CUM PREFERRED 060505682 488 500 SH SOLE N/A NONE BANK OF NY MELLON CORP EQUITIES 064058100 622 28323 SH SOLE N/A NONE BECTON DICKINSON & C0 EQUITIES 075887109 341 4562 SH SOLE N/A NONE BERKSHIRE HATHAWAY CLA EQUITIES 084670108 4248 34 SH SOLE N/A NONE BERKSHIRE HATHAWAY CLB EQUITIES 084670207 1756 21067 SH SOLE N/A NONE BLACKROCK MUN INC TR EQUITIES 09248F109 184 11700 SH SOLE N/A NONE BOARDWALK PIPELINE EQUITIES 096627104 521 18850 SH SOLE N/A NONE BOEING CO EQUITIES 097023105 765 10296 SH SOLE N/A NONE BRISTOL MYERS SQUIBB CO EQUITIES 110122108 930 25868 SH SOLE N/A NONE BROOKFIELD ASSET MGMT EQUITIES 112585104 389 11750 SH SOLE N/A NONE BUCKEYE PARTNERS LP EQUITIES 118230101 1190 22808 SH SOLE N/A NONE CSX EQUITIES 126408103 340 15220 SH SOLE N/A NONE CVS CORP EQUITIES 126650100 795 17008 SH SOLE N/A NONE CAMERON INTL CORP EQUITIES 13342B105 220 5150 SH SOLE N/A NONE CANADIAN NATL RES LTD EQUITIES 136385101 260 9700 SH SOLE N/A NONE CATERPILLAR INC EQUITIES 149123101 1197 14102 SH SOLE N/A NONE CELGENE CORP EQUITIES 151020104 692 10780 SH SOLE N/A NONE CENOVUS ENERGY INC EQUITIES 15135U109 310 9760 SH SOLE N/A NONE CHESAPEAKE ENERGY CORP EQUITIES 165167107 528 28383 SH SOLE N/A NONE CHEVRON CORP EQUITIES 166764100 3395 32184 SH SOLE N/A NONE CHICAGO BRIDGE & IRON COEQUITIES 167250109 554 14600 SH SOLE N/A NONE CHUBB CORP EQUITIES 171232101 721 9907 SH SOLE N/A NONE CISCO SYSTEMS INC EQUITIES 17275R102 1432 83401 SH SOLE N/A NONE CITIGROUP INC EQUITIES 172967424 672 24513 SH SOLE N/A NONE COCA COLA CO EQUITIES 191216100 2392 30589 SH SOLE N/A NONE COLGATE-PALMOLIVE CO EQUITIES 194162103 986 9474 SH SOLE N/A NONE COAMERICA INC EQUITIES 200340107 276 9000 SH SOLE N/A NONE COMPANIA DE BEBIDAS EQUITIES 20441W203 518 13510 SH SOLE N/A NONE COMPASS DIVERSIFIED HLD EQUITIES 20451Q104 4012 287360 SH SOLE N/A NONE CONOCOPHILLIPS EQUITIES 20825C104 1231 22028 SH SOLE N/A NONE CONSOLIDATED EDISON INC EQUITIES 209115104 587 9433 SH SOLE N/A NONE CUMMINS ENGINE INC EQUITIES 231021106 818 8440 SH SOLE N/A NONE DWS MUN INC TR EQUITIES 23338M106 294 20400 SH SOLE N/A NONE DAVITA INC EQUITIES 23918K108 246 2505 SH SOLE N/A NONE DEERE & CO EQUITIES 244199105 779 9627 SH SOLE N/A NONE DEVON ENERGY CORP EQUITIES 25179M103 281 4843 SH SOLE N/A NONE DIAGEO PLC EQUITIES 25243Q205 284 2753 SH SOLE N/A NONE DIAMOND OFFSHORE DRILL EQUITIES 25271C102 279 4718 SH SOLE N/A NONE DISNEY WALT CO EQUITIES 254687106 663 13661 SH SOLE N/A NONE DOMINION RES INC EQUITIES 25746U109 254 4698 SH SOLE N/A NONE DREYFUS STRAT MUNI INC EQUITIES 261932107 331 35236 SH SOLE N/A NONE DREYFUS STRAT MUNI BD FDEQUITIES 26202F107 334 35982 SH SOLE N/A NONE DU PONT E I DE NEMOURS EQUITIES 263534109 1586 31360 SH SOLE N/A NONE DUKE ENERGY EQUITIES 26441C105 446 19348 SH SOLE N/A NONE EMC CORP EQUITIES 268648102 342 13360 SH SOLE N/A NONE EATON CORP EQUITIES 278058102 367 9250 SH SOLE N/A NONE ECOLAB INC EQUITIES 278865100 1577 23005 SH SOLE N/A NONE EMERSON ELECTRIC CO EQUITIES 291011104 542 11643 SH SOLE N/A NONE ENCANA CORP EQUITIES 292505104 347 16670 SH SOLE N/A NONE ENERGY TRANSFER PART LP EQUITIES 29273R109 1584 33856 SH SOLE N/A NONE ENTERPRISE PRODS PARTN EQUITIES 293792107 945 18446 SH SOLE N/A NONE EQUITY RESIDENTIAL SHS EQUITIES 29476L107 270 4332 SH SOLE N/A NONE EXELON CORP EQUITIES 30161N101 251 6676 SH SOLE N/A NONE EXPRESS SCRIPTS INC EQUITIES 302182100 436 7801 SH SOLE N/A NONE EXXON MOBIL CORP EQUITIES 30231G102 16842 196819 SH SOLE N/A NONE FACEBOOK INC EQUITIES 30303M102 221 7100 SH SOLE N/A NONE FIFTH ST FIN CORP EQUITIES 31678A103 111 11120 SH SOLE N/A NONE FIRST CONN BANCORP INC EQUITIES 319850103 809 59961 SH SOLE N/A NONE FIRST NIAGARA FINL EQUITIES 33582V108 1114 145580 SH SOLE N/A NONE FORD MOTOR CO EQUITIES 345370860 195 20315 SH SOLE N/A NONE FRANCE TELECOM ADR EQUITIES 35177Q105 211 16061 SH SOLE N/A NONE FRANKLIN RESOURCES EQUITIES 354613101 760 6848 SH SOLE N/A NONE FREEPORT MCMORAN EQUITIES 35671D857 219 6421 SH SOLE N/A NONE FRONTIER COMM CORP EQUITIES 35906A108 132 34364 SH SOLE N/A NONE FULTON FINL CORP EQUITIES 360271100 198 19804 SH SOLE N/A NONE GENERAL DYNAMICS CORP EQUITIES 369550108 817 12392 SH SOLE N/A NONE GENERAL ELECTRIC CO EQUITIES 369604103 6480 310924 SH SOLE N/A NONE GENERAL MILLS EQUITIES 370334104 730 18952 SH SOLE N/A NONE GOLDMAN SACHS GROUP INC EQUITIES 38141G104 315 3285 SH SOLE N/A NONE GOOGLE INC EQUITIES 38259P508 1702 2934 SH SOLE N/A NONE GRAINGER WW INC EQUITIES 384802104 420 2195 SH SOLE N/A NONE HCP INC EQUITIES 40414L109 590 13357 SH SOLE N/A NONE HATTERAS FINL CORP EQUITIES 41902R103 246 8600 SH SOLE N/A NONE HEINZ HJ CO EQUITIES 423074103 768 14130 SH SOLE N/A NONE HERSHEY FOODS CORP EQUITIES 427866108 392 5436 SH SOLE N/A NONE HOME DEPOT INC EQUITIES 437076102 1319 24892 SH SOLE N/A NONE HONEYWELL INTL INC EQUITIES 438516106 392 7024 SH SOLE N/A NONE INTEL CORP EQUITIES 458140100 1645 61722 SH SOLE N/A NONE INTL BUSINESS MACHS EQUITIES 459200101 6979 35685 SH SOLE N/A NONE INVESCO MORTGAGE CAP EQUITIES 46131B100 208 11340 SH SOLE N/A NONE INVESCO VAN KAMP MUN TR EQUITIES 46131J103 152 10100 SH SOLE N/A NONE INVESCO VAN KAMPEN EQUITIES 46131L108 186 12530 SH SOLE N/A NONE INVESCO VAN KAMPEN INVT EQUITIES 46131T101 242 15286 SH SOLE N/A NONE INVESCO VAN KAMPEN MUN EQUITIES 46132E103 359 27312 SH SOLE N/A NONE ISHARES BARCLAYS TIPS EQUITIES 464287176 601 5024 SH SOLE N/A NONE ISHARES TR IBOXX EQUITIES 464287242 476 4050 SH SOLE N/A NONE ISHARES MSCI EAFE INDEX EQUITIES 464287465 212 4253 SH SOLE N/A NONE ISHARES TR COHEN & STEEREQUITIES 464287564 448 5700 SH SOLE N/A NONE ISHARES SILVER TR EQUITIES 46428Q109 291 10928 SH SOLE N/A NONE ISHARES S&P/CITIGROUP EQUITIES 464288117 641 6525 SH SOLE N/A NONE ISHARES IBOXX $ HIGH YLDEQUITIES 464288513 730 7997 SH SOLE N/A NONE JP MORGAN CHASE & CO EQUITIES 46625H100 1251 35023 SH SOLE N/A NONE JPMORGAN CHASE ALER IND EQUITIES 46625H365 6278 161965 SH SOLE N/A NONE JOHNSON & JOHNSON EQUITIES 478160104 7076 104732 SH SOLE N/A NONE KIMBERLY CLARK CORP EQUITIES 494368103 425 5070 SH SOLE N/A NONE KINDER MORGAN ENERGY EQUITIES 494550106 1527 19439 SH SOLE N/A NONE KRAFT FOODS INC EQUITIES 50075N104 679 17581 SH SOLE N/A NONE LABORATORY CORP AMER EQUITIES 50540R409 731 7896 SH SOLE N/A NONE LILLY ELI & CO EQUITIES 532457108 1855 43223 SH SOLE N/A NONE LINN ENERGY LLC EQUITIES 536020100 1107 29057 SH SOLE N/A NONE LOEWS CORP EQUITIES 540424108 311 7597 SH SOLE N/A NONE M & T BK CORP EQUITIES 55261F104 306 3700 SH SOLE N/A NONE MARKET VECTORS ETF TR EQUITIES 57060U100 375 8371 SH SOLE N/A NONE MARKET VECTORS ETF LEH EQUITIES 57060U878 676 20970 SH SOLE N/A NONE MARRIOTT INTL INC EQUITIES 571903202 361 9202 SH SOLE N/A NONE MCDONALDS CORP EQUITIES 580135101 2200 24846 SH SOLE N/A NONE MEDTRONIC INC EQUITIES 585055106 440 11365 SH SOLE N/A NONE MERCK & CO INC EQUITIES 589331107 2141 51278 SH SOLE N/A NONE METLIFE INC EQUITIES 59156R108 208 6742 SH SOLE N/A NONE MFS INVT GRADE MUN TR EQUITIES 59318B108 124 11346 SH SOLE N/A NONE MICROSOFT CORP EQUITIES 594918104 1717 56121 SH SOLE N/A NONE MONSANTO CO EQUITIES 61166W101 988 11939 SH SOLE N/A NONE NEXTERA ENERGY INC EQUITIES 65339F101 238 3463 SH SOLE N/A NONE NORFOLK SOUTHERN CORP EQUITIES 655844108 526 7330 SH SOLE N/A NONE NORTHEAST UTILITIES EQUITIES 664397106 235 6055 SH SOLE N/A NONE NOVARTIS AG EQUITIES 66987V109 378 6770 SH SOLE N/A NONE NUVEEN SELECT QUALTY EQUITIES 670973106 292 18760 SH SOLE N/A NONE ONEOK PRTNRS LP EQUITIES 68268N103 222 4123 SH SOLE N/A NONE ORACLE CORP EQUITIES 68389X105 264 8873 SH SOLE N/A NONE OWENS ILLINOIS INC EQUITIES 690968403 254 13255 SH SOLE N/A NONE PMFG INC EQUITIES 69345P103 144 18433 SH SOLE N/A NONE PNC FINL SVCS GROUP INC EQUITIES 693475105 251 4101 SH SOLE N/A NONE PPG INDUSTRIES INC EQUITIES 693506107 810 7631 SH SOLE N/A NONE PEPSICO INC EQUITIES 713448108 2036 28811 SH SOLE N/A NONE PFIZER INC EQUITIES 717081103 4698 204244 SH SOLE N/A NONE PHILIP MORRIS INTL INC EQUITIES 718172109 2942 33719 SH SOLE N/A NONE PHILLIPS 66 EQUITIES 718546104 366 11009 SH SOLE N/A NONE PIMCO HIGH INCOME FD EQUITIES 722014107 250 18485 SH SOLE N/A NONE PIMCO EFT TR EQUITIES 72201R866 338 6300 SH SOLE N/A NONE PLAINS ALL AMERICAN EQUITIES 726503105 305 3775 SH SOLE N/A NONE POTASH CORP OF SASK EQUITIES 73755L107 323 7400 SH SOLE N/A NONE POWERSHARES QQQ TR EQUITIES 73935A104 573 8929 SH SOLE N/A NONE POWERSHARES ETF FINL PFDEQUITIES 73935X229 342 18980 SH SOLE N/A NONE POWERSHARES EFT EQUITIES 73937B779 401 14543 SH SOLE N/A NONE PROCTER & GAMBLE CO EQUITIES 742718109 4913 80208 SH SOLE N/A NONE PROSHARES TR EQUITIES 74347R297 335 21155 SH SOLE N/A NONE PUTNAM MNGD MUNI INC TR EQUITIES 746823107 107 13415 SH SOLE N/A NONE QUALCOMM INC EQUITIES 747525103 241 4327 SH SOLE N/A NONE RAYMOND JAMES FINL INC EQUITIES 754730109 470 13715 SH SOLE N/A NONE REALTY INCOME CORP EQUITIES 756109104 468 11198 SH SOLE N/A NONE ROYAL DUTCH SHELL PLC EQUITIES 780259206 577 8552 SH SOLE N/A NONE ROYCE FOCUS TR INC EQUITIES 78080N108 614 97772 SH SOLE N/A NONE SPDR S&P 500 EFT TR EQUITIES 78462F103 251 1842 SH SOLE N/A NONE SPDR GOLD TR EQUITIES 78463V107 1266 8155 SH SOLE N/A NONE SPDR S&P MIDCAP 400 TR EQUITIES 78467Y107 239 1395 SH SOLE N/A NONE SANOFI SPONS ADR EQUITIES 80105N105 268 7099 SH SOLE N/A NONE SCHLUMBERGER LTD EQUITIES 806857108 1331 20507 SH SOLE N/A NONE SELECT SECTOR SPDR ENER EQUITIES 81369Y506 262 3952 SH SOLE N/A NONE SHERMAN WILLIAMS EQUITIES 824348106 717 5421 SH SOLE N/A NONE SIMON PPTY GROUP INC EQUITIES 828806109 541 3475 SH SOLE N/A NONE SIRIUS XM RADIO INC EQUITIES 82967N108 21 10847 SH SOLE N/A NONE SOUTHERN CO EQUITIES 842587107 2366 51093 SH SOLE N/A NONE SPECTRANETICS CORP EQUITIES 84760C107 393 34420 SH SOLE N/A NONE STANLEY BLACK & DECKER EQUITIES 854502101 643 9990 SH SOLE N/A NONE STRYKER CORP EQUITIES 863667101 688 12480 SH SOLE N/A NONE SUPERIOR ENERGY SVCS INCEQUITIES 868157108 309 15291 SH SOLE N/A NONE SYNGENTA AG SPON ADR EQUITIES 87160A100 225 3286 SH SOLE N/A NONE TJX COMPANIES INC EQUITIES 872540109 234 5439 SH SOLE N/A NONE TARGET CORP EQUITIES 87612E106 585 10046 SH SOLE N/A NONE TEVA PHARMACEUTICAL EQUITIES 881624209 223 5666 SH SOLE N/A NONE THERMO FISHER SCIENTFIC EQUITIES 883556102 367 7075 SH SOLE N/A NONE 3M CO EQUITIES 88579Y101 764 8529 SH SOLE N/A NONE TRAVELERS COS INC EQUITIES 89417E109 364 5706 SH SOLE N/A NONE UIL HLDG CORP EQUITIES 902748102 362 10115 SH SOLE N/A NONE US BANCORP EQUITIES 902973304 3335 103685 SH SOLE N/A NONE UNION PACIFIC CORP EQUITIES 907818108 1358 11378 SH SOLE N/A NONE UNITED TECHNOLOGIES CO EQUITIES 913017109 2475 32764 SH SOLE N/A NONE UNITEDHEALTH GROUP INC EQUITIES 91324P102 556 9510 SH SOLE N/A NONE URANIUM ENERGY CORP EQUITIES 916896103 69 30200 SH SOLE N/A NONE VANGUARD SCOTTSDALE EQUITIES 92206C409 663 8380 SH SOLE N/A NONE VERIZON COMMUNICATIONS EQUITIES 92343V104 2609 58714 SH SOLE N/A NONE VISA INC EQUITIES 92826C839 444 3589 SH SOLE N/A NONE VODAFONE GRP PLC EQUITIES 92857W209 666 23635 SH SOLE N/A NONE WALMART STORES INC EQUITIES 931142103 581 8337 SH SOLE N/A NONE WALGREEN CO EQUITIES 931422109 260 8777 SH SOLE N/A NONE WASHINGTON TR BANCORP EQUITIES 940610108 270 11080 SH SOLE N/A NONE WEBSTER FINL CORP EQUITIES 947890109 246 11367 SH SOLE N/A NONE WELLS FARGO & CO NEW EQUITIES 949746101 1719 51411 SH SOLE N/A NONE WINDSTREAM CORP EQUITIES 97381W104 535 55355 SH SOLE N/A NONE YUM BRANDS INC EQUITIES 988498101 412 6390 SH SOLE N/A NONE REPORT SUMMARY 209 DATA RECORDS 207945 0 OTHER MANAGERS