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