aml/compliance officer

0001315785-13-000004.txt : 20131114 0001315785-13-000004.hdr.sgml : 20131114 20131114170622 ACCESSION NUMBER: 0001315785-13-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20131114 DATE AS OF CHANGE: 20131114 EFFECTIVENESS DATE: 20131114 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: 131221292 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 primary_doc.xml 13F-HR LIVE false true false 0001315785 XXXXXXXX 09-30-2013 09-30-2013 Essex Financial Services, Inc.

P.O. BOX 999 176 WESTBROOK RD ESSEX CT 064260999

13F HOLDINGS REPORT 028-11126 N william terribile aml/compliance officer 860-767-4300 william terribile essex CT 11-14-2013 0 261 361485 false INFORMATION TABLE 2 sarah.xml ABBOTT LABS COM COM 002824100 1020 30719 SH SOLE 0 0 0 0 ABERDEENASIA-PACIFIC INC FD INC COM 003009107 86 14250 SH SOLE 0 0 0 0 AIR PRODS & CHEMSINC COM COM 009158106 415 3891 SH SOLE 0 0 0 0 AMAZON COM INC COM 023135106 289 923 SH SOLE 0 0 0 0 AMERICAN ELECTRICPOWER CO COM 025537101 302 6972 SH SOLE 0 0 0 0 AMERICAN EXPRESSCOMPANY COM 025816109 1152 15248 SH SOLE 0 0 0 0 AMGEN INCCOM COM 031162100 479 4282 SH SOLE 0 0 0 0 ANADARKO PETE CORPCOM COM 032511107 557 5989 SH SOLE 0 0 0 0 ANNALY CAP MGMT INCCOM COM 035710409 1188 102547 SH SOLE 0 0 0 0 APACHE CORP COM COM 037411105 918 10780 SH SOLE 0 0 0 0 APPLE INC COM COM 037833100 4795 10058 SH SOLE 0 0 0 0 AUTOMATIC DATAPROCESSING INC COM COM 053015103 2394 33077 SH SOLE 0 0 0 0 BP PLC SPONS ADR ADR 055622104 461 10960 SH SOLE 0 0 0 0 BAKER HUGHES INC COM COM 057224107 339 6900 SH SOLE 0 0 0 0 BANK AMER CORP COM COM 060505104 2041 147874 SH SOLE 0 0 0 0 BANK AMER CORP 7.25%NON CUM PFD 060505682 508 4470 SH SOLE 0 0 0 0 BANK OF NEW YORKMELLON CORP COM COM 064058100 694 22982 SH SOLE 0 0 0 0 BAXTER INTL INC COM COM 071813109 242 3684 SH SOLE 0 0 0 0 BECTON DICKINSON &CO COM 075887109 428 4282 SH SOLE 0 0 0 0 BERKSHIRE HATHAWAYINC CL A CL A COM 084670108 4431 11 SH SOLE 0 0 0 0 BERKSHIRE HATHAWAYINC DEL CL BCOM 084670702 2645 23298 SH SOLE 0 0 0 0 BLACKROCK KELSO CAPCORP COM 092533108 836 88161 SH SOLE 0 0 0 0 BOARDWALK PIPELINEPARTNERS LP LP COM 096627104 987 32493 SH SOLE 0 0 0 0 BOEING CO COM COM 097023105 1196 10177 SH SOLE 0 0 0 0 BRISTOL MYERS SQUIBBCO COM COM 110122108 1252 27056 SH SOLE 0 0 0 0 BROOKFIELD ASSETMGMT INC CL A COM 112585104 479 12820 SH SOLE 0 0 0 0 BUCKEYE PARTNERS L P LTD PART 118230101 1093 16673 SH SOLE 0 0 0 0 CIGNA CORP COM COM 125509109 488 6356 SH SOLE 0 0 0 0 CSX CORPORATION COM 126408103 234 9083 SH SOLE 0 0 0 0 CVS CAREMARK CORP COM 126650100 959 16894 SH SOLE 0 0 0 0 CATERPILLAR INC COM COM 149123101 1587 19034 SH SOLE 0 0 0 0 CELGENE CORP COM 151020104 2337 15161 SH SOLE 0 0 0 0 CHESAPEAKE ENERGYCORP COM 165167107 474 18330 SH SOLE 0 0 0 0 CHEVRON CORP NEW COM COM 166764100 4637 38165 SH SOLE 0 0 0 0 CHICAGO BRIDGE &IRON CO COM 167250109 1122 16550 SH SOLE 0 0 0 0 CHUBB CORP COM 171232101 962 10777 SH SOLE 0 0 0 0 CITIGROUP INC COM 172967424 991 20426 SH SOLE 0 0 0 0 COCA COLA COMPANY COM 191216100 3171 83700 SH SOLE 0 0 0 0 COLGATE PALMOLIVE COCOM COM 194162103 1103 18608 SH SOLE 0 0 0 0 COMERICA INC COM COM 200340107 354 9000 SH SOLE 0 0 0 0 CONSOLIDATED EDISONINC COM COM 209115104 378 6857 SH SOLE 0 0 0 0 CUMMINS INC COM 231021106 1337 10065 SH SOLE 0 0 0 0 DTE ENERGY CO COM COM 233331107 215 3254 SH SOLE 0 0 0 0 DANAHER CORP COM COM 235851102 275 3965 SH SOLE 0 0 0 0 DEERE & CO COM 244199105 869 10677 SH SOLE 0 0 0 0 DISNEY WALT CODISNEY COM COM 254687106 1236 19170 SH SOLE 0 0 0 0 DOVER CORP COM COM 260003108 257 2866 SH SOLE 0 0 0 0 DOW CHEM CO COM 260543103 252 6570 SH SOLE 0 0 0 0 DREYFUS STRATEGICMUNS INC COM COM 261932107 265 33011 SH SOLE 0 0 0 0 DU PONT E I DENEMOURS & CO COM COM 263534109 1266 21615 SH SOLE 0 0 0 0 EMC CORP COM COM 268648102 496 19408 SH SOLE 0 0 0 0 ECOLAB INC COM 278865100 297 3005 SH SOLE 0 0 0 0 EMERSON ELEC CO COM COM 291011104 700 10818 SH SOLE 0 0 0 0 ENCANA CORP COM 292505104 324 18715 SH SOLE 0 0 0 0 ENTERPRISE PRODSPARTNERS L P LP COM 293792107 1584 25956 SH SOLE 0 0 0 0 FINISH LINE INCCL A CL A COM 317923100 319 12825 SH SOLE 0 0 0 0 FIRST CONN BANCORPINC MD COM COM 319850103 573 38997 SH SOLE 0 0 0 0 FORD MOTOR CO DELCOM PAR COM 345370860 593 35162 SH SOLE 0 0 0 0 FRANKLIN RESOURCESINC COM 354613101 1078 21324 SH SOLE 0 0 0 0 GENERAL DYNAMICSCORP COM COM 369550108 1035 11821 SH SOLE 0 0 0 0 GENERAL ELECTRIC COCOM COM 369604103 8203 343382 SH SOLE 0 0 0 0 GENERAL MILLS INCCOM COM 370334104 982 20492 SH SOLE 0 0 0 0 GILEAD SCIENCES INC COM 375558103 286 4548 SH SOLE 0 0 0 0 GRAINGER WW INC COM 384802104 568 2170 SH SOLE 0 0 0 0 HSBC HLDGS PLCSPONS ADR NEW ADR 404280406 246 4532 SH SOLE 0 0 0 0 HALLIBURTON CO COM COM 406216101 215 4475 SH SOLE 0 0 0 0 HERSHEY CO COM COM 427866108 503 5436 SH SOLE 0 0 0 0 HOME DEPOT INC COM COM 437076102 2301 30330 SH SOLE 0 0 0 0 HONEYWELL INTL INC COM 438516106 665 8013 SH SOLE 0 0 0 0 IMMUCELL CORP NEW COM 452525306 112 23776 SH SOLE 0 0 0 0 INTEL CORP COM COM 458140100 1324 57776 SH SOLE 0 0 0 0 INTERNATIONALBUSMACHS CORP COM 459200101 7864 42467 SH SOLE 0 0 0 0 ISHARES INC MSCIAUSTRALIA ETF EFT 464286103 206 8141 SH SOLE 0 0 0 0 ISHARES TR SELECTDIVID ETF FD EFT 464287168 745 11225 SH SOLE 0 0 0 0 ISHARES TR TIPS BDETF EFT 464287176 646 5739 SH SOLE 0 0 0 0 ISHARES TR IBOXX USDINVT EFT 464287242 435 3835 SH SOLE 0 0 0 0 ISHARES TR GLOBALTECH ETF EFT 464287291 247 3300 SH SOLE 0 0 0 0 ISHARES TR MSCI EAFEETF EFT 464287465 351 5501 SH SOLE 0 0 0 0 ISHARES TR CORE S&PMID-CAP ETF EFT 464287507 732 5896 SH SOLE 0 0 0 0 ISHARES TR COHEN &STEERS REIT ETF EFT 464287564 561 7296 SH SOLE 0 0 0 0 ISHARES TR S&PMIDCAP 400 EFT 464287606 241 1730 SH SOLE 0 0 0 0 ISHARES TR RUSSELL2000 ETF EFT 464287655 532 4989 SH SOLE 0 0 0 0 ISHARES TR DOW JONESU S ETF EFT 464287721 213 2700 SH SOLE 0 0 0 0 ISHARES TR CORE S&PSMALL-CAP ETF EFT 464287804 718 7190 SH SOLE 0 0 0 0 ISHARES TR INTLTREASURY BD ETF EFT 464288117 476 4725 SH SOLE 0 0 0 0 ISHARES TR IBOXX $HIGH YIELD EFT 464288513 223 2438 SH SOLE 0 0 0 0 ISHARES TR S&P U SPFD STK INDEX FD EFT 464288687 252 6625 SH SOLE 0 0 0 0 JOHNSON & JOHNSONCOM COM 478160104 9108 105066 SH SOLE 0 0 0 0 JOY GLOBAL INC COM COM 481165108 237 4650 SH SOLE 0 0 0 0 KAMAN CORP COM COM 483548103 388 10245 SH SOLE 0 0 0 0 KANSAS CITY SOUTHNCOM NEW COM 485170302 230 2100 SH SOLE 0 0 0 0 KIMBERLY CLARK CORP COM 494368103 596 6328 SH SOLE 0 0 0 0 KINDER MORGAN ENERGYPARTNERS L P LP 494550106 2122 26587 SH SOLE 0 0 0 0 LILLY ELI & CO COM COM 532457108 2633 52313 SH SOLE 0 0 0 0 LINN ENERGY LLC UNIT RESP 536020100 616 23746 SH SOLE 0 0 0 0 LOEWS CORP COM COM 540424108 326 6985 SH SOLE 0 0 0 0 MAGELLAN MIDSTREAMPARTNERS LP COM 559080106 603 10677 SH SOLE 0 0 0 0 MARRIOTT INTL INCNEW CL A CL A COM 571903202 365 8669 SH SOLE 0 0 0 0 MCDONALDS CORP COM 580135101 2932 30471 SH SOLE 0 0 0 0 MEDTRONIC INC COM 585055106 787 14780 SH SOLE 0 0 0 0 MICROSOFT CORPCOM COM 594918104 1933 58094 SH SOLE 0 0 0 0 MONDELEZ INTL INC CLA CL A COM 609207105 582 18530 SH SOLE 0 0 0 0 NORFOLK SOUTHERNCORP COM 655844108 549 7092 SH SOLE 0 0 0 0 NORTHEAST UTILITIES COM 664397106 223 5396 SH SOLE 0 0 0 0 NOVO NORDISK A.S. ADR 670100205 310 1830 SH SOLE 0 0 0 0 NUVEEN SELECTQUALITY MUNI FUNDINC COM 670973106 440 34610 SH SOLE 0 0 0 0 OCCIDENTAL PETE CORPCOM COM 674599105 268 2864 SH SOLE 0 0 0 0 OWENS ILLINOIS INC COM 690768403 317 10575 SH SOLE 0 0 0 0 PNC FINL SVCS GROUPINC COM COM 693475105 677 9346 SH SOLE 0 0 0 0 PPG INDUSTRIES INC COM 693506107 1300 7781 SH SOLE 0 0 0 0 PEOPLES UTD FINL INCCOM COM 712704105 365 25387 SH SOLE 0 0 0 0 PEPSICO INC COM COM 713448108 2647 33297 SH SOLE 0 0 0 0 PFIZER INC COM COM 717081103 7659 266640 SH SOLE 0 0 0 0 PHILIP MORRIS INTLINC COM COM 718172109 3714 42891 SH SOLE 0 0 0 0 PHILLIPS 66 COM COM 718546104 628 10853 SH SOLE 0 0 0 0 PIMCO HIGH INCOME FD COM 722014107 231 19355 SH SOLE 0 0 0 0 PLAINS ALL AMERICANPIPELINE L P LP 726503105 787 14945 SH SOLE 0 0 0 0 PROCTER & GAMBLE COCOM COM 742718109 7161 94738 SH SOLE 0 0 0 0 PUBLIC SVCENTERPRISE GROUPINC COM 744573106 203 6177 SH SOLE 0 0 0 0 PUTNAM MANAGEDMUNI INCTR COM 746823103 102 14968 SH SOLE 0 0 0 0 QUALCOMM INC COM 747525103 938 13929 SH SOLE 0 0 0 0 RAYMOND JAMES FINLINC COM COM 754730109 572 13715 SH SOLE 0 0 0 0 REALTY INCOME CORPCOM COM 756109104 929 23369 SH SOLE 0 0 0 0 ROCKVILLE FINL INCNEW COM COM 774188106 450 34649 SH SOLE 0 0 0 0 ROYAL DUTCH SHELLPLC S ADR 780259206 751 11440 SH SOLE 0 0 0 0 SCHLUMBERGER LTD COM 806857108 2207 24977 SH SOLE 0 0 0 0 SHERWIN WILLIAMS CO COM 824348106 994 5457 SH SOLE 0 0 0 0 SIMON PPTY GROUP INCNEW COM COM 828806109 702 4737 SH SOLE 0 0 0 0 SOUTHERN CO COM COM 842587107 2219 53877 SH SOLE 0 0 0 0 STANLEY BLACK &DECKER INC COM COM 854502101 1073 11850 SH SOLE 0 0 0 0 STRYKER CORP COM 863667101 784 11595 SH SOLE 0 0 0 0 SUPERIOR ENERGY SVCSINC COM COM 868157108 371 14811 SH SOLE 0 0 0 0 SYSCO CORP COM 871829107 250 7870 SH SOLE 0 0 0 0 TJX COMPANIES INC(NEW) COM 872540109 406 7191 SH SOLE 0 0 0 0 TAIWAN SEMICONDUCTORMFG CO ADR 874039100 181 10658 SH SOLE 0 0 0 0 TIME WARNER INC NEWCOM NEW COM 887317303 267 4054 SH SOLE 0 0 0 0 TORONTO DOMINION BKONT COM 891160509 216 2398 SH SOLE 0 0 0 0 TRUSTCO BK CORP N YCOM COM 898349105 83 13982 SH SOLE 0 0 0 0 UIL HLDGS CORP COM COM 902748102 387 10405 SH SOLE 0 0 0 0 US BANCORP DELCOM COM 902973304 4499 122833 SH SOLE 0 0 0 0 UNILEVER PLCSPON ADR 904767704 257 6651 SH SOLE 0 0 0 0 UNION PACIFIC CORPCOM COM 907818108 2166 13942 SH SOLE 0 0 0 0 UNITED TECHNOLOGIESCORP COM 913017109 3479 32267 SH SOLE 0 0 0 0 URANIUM ENERGY CORPCOM COM 916896103 32 14200 SH SOLE 0 0 0 0 V F CORP COM COM 918204108 289 1452 SH SOLE 0 0 0 0 VANGUARD SPECDIVIDENDAPP EFT 921908844 614 8825 SH SOLE 0 0 0 0 VANGUARD BD INDEX FDINC EFT 921937827 340 4227 SH SOLE 0 0 0 0 WAL MART STORES INCCOM COM 931142103 818 11059 SH SOLE 0 0 0 0 WALGREEN CO COM 931422109 493 9168 SH SOLE 0 0 0 0 WASHINGTON TRBANCORP INC COM COM 940610108 334 10642 SH SOLE 0 0 0 0 WEBSTER FINL CORP COM 947890109 303 11885 SH SOLE 0 0 0 0 WELLS FARGO & CONEW COM COM 949746101 2591 62696 SH SOLE 0 0 0 0 YUM BRANDS INCCOM COM 988498101 515 7215 SH SOLE 0 0 0 0 ALLIANCEBERNSTEININCOME FD IN COM 01881E101 106 15096 SH SOLE 0 0 0 0 INVESCO ADVANTAGEMUN INCOME TR COM 46132E103 284 26487 SH SOLE 0 0 0 0 TARGET CORP COM COM 87612E106 696 10883 SH SOLE 0 0 0 0 TRAVELERS COS INCCOM COM 89417E109 450 5313 SH SOLE 0 0 0 0 ALPS ETF TR ALERIANMLP ETF EFT 00162Q866 919 52255 SH SOLE 0 0 0 0 AT&T INC COM COM 00206R102 4299 127116 SH SOLE 0 0 0 0 ABBVIE INCCOM COM 00287Y109 1419 31728 SH SOLE 0 0 0 0 ADOBE SYS INC COM COM 00724F101 386 7430 SH SOLE 0 0 0 0 AES TR III TR PFDCONV SECS PFD 00808N202 806 16000 SH SOLE 0 0 0 0 AETNA INC NEW COM COM 00817Y108 603 9423 SH SOLE 0 0 0 0 ALTRIA GROUP INC COM COM 02209S103 3216 93633 SH SOLE 0 0 0 0 AMERICA MOVIL SAB DEC V ADR 02364W105 1046 52784 SH SOLE 0 0 0 0 AMERICAN CAP AGYCORP COM COM 02503X105 330 14628 SH SOLE 0 0 0 0 AMERICAN CAPITAL LTDCOM COM 02503Y103 275 20000 SH SOLE 0 0 0 0 ANHEUSER BUSCH INBEVSA NV ADR 03524A108 219 2203 SH SOLE 0 0 0 0 APOLLO INVT CORP COM COM 03761U106 88 10750 SH SOLE 0 0 0 0 ARES CAP CORP COM COM 04010L103 343 19825 SH SOLE 0 0 0 0 ATHENAHEALTH INC COM COM 04685W103 465 4285 SH SOLE 0 0 0 0 BCE INCCOM NEWISIN COM 05534B760 275 6436 SH SOLE 0 0 0 0 BLACKROCK INC COM COM 09247X101 264 976 SH SOLE 0 0 0 0 BLACKROCK MUN INCOMETR SH BEN INT SH BEN INT 09248F109 167 12900 SH SOLE 0 0 0 0 CAMERON INTL CORPCOM COM 13342B105 251 4300 SH SOLE 0 0 0 0 CANADIAN PAC RY LTD COM 13645T100 225 1825 SH SOLE 0 0 0 0 CELLDEX THERAPEUTICSINC NEW COM COM 15117B103 354 10000 SH SOLE 0 0 0 0 CISCO SYSTEMS INC COM 17275R102 2793 119199 SH SOLE 0 0 0 0 COMCAST CORP CL A COM 20030N101 47150 10441 SH SOLE 0 0 0 0 COMPANHIA DE BEBIDASDAS ADR 20441W203 463 12065 SH SOLE 0 0 0 0 COMPASS DIVERSIFIEDHLDGS SH BEN INT 20451Q104 6294 353216 SH SOLE 0 0 0 0 CONOCOPHILLIPS COM COM 20825C104 1795 25826 SH SOLE 0 0 0 0 COSTCO WHOLESALECORP NEW COM COM 22160K105 233 2027 SH SOLE 0 0 0 0 DWS MUN INCOME TRCOM COM 23338M106 316 25550 SH SOLE 0 0 0 0 DAVITA HEALTHCAREPARTNERS INC COM 23918K108 236 4142 SH SOLE 0 0 0 0 DEVON ENERGY CORPNEW COM COM 25179M103 229 3959 SH SOLE 0 0 0 0 DIAGEO PLC ADR 25243Q205 343 2696 SH SOLE 0 0 0 0 DOMINION RES INC VACOM COM 25746U109 513 8208 SH SOLE 0 0 0 0 DREYFUS STRATEGICMUN BD FD COM 26202F107 364 47269 SH SOLE 0 0 0 0 DUKE ENERGY CORP NEWCOM NEW COM 26441C204 1059 15862 SH SOLE 0 0 0 0 ENERGY TRANSFERPARTNERS LP 29273R109 2483 47678 SH SOLE 0 0 0 0 EXELON CORP COM COM 30161N101 511 17246 SH SOLE 0 0 0 0 EXPRESS SCRIPTSHLDG CO COM COM 30219G108 365 5900 SH SOLE 0 0 0 0 EXXON MOBIL CORP COM COM 30231G102 17149 199313 SH SOLE 0 0 0 0 FACEBOOK INC CL A COM 30303M102 489 9730 SH SOLE 0 0 0 0 FIFTH ST FIN CORPCOM COM 31678A103 114 11120 SH SOLE 0 0 0 0 FIRST NIAGARA FINLGROUP INC COM 33582V108 1241 119653 SH SOLE 0 0 0 0 FREEPORT-MCMORAN CL B COM 35671D857 331 9997 SH SOLE 0 0 0 0 GLAXOSMITHKLINE PLCSPONS ADR ADR 37733W105 221 4398 SH SOLE 0 0 0 0 GOLDMAN SACHS GROUPINC COM COM 38141G104 863 5456 SH SOLE 0 0 0 0 GOOGLE INC CL A COM 38259P508 2787 3182 SH SOLE 0 0 0 0 HCP INC COM COM 40414L109 431 10525 SH SOLE 0 0 0 0 HATTERAS FINL CORPCOM COM 41902R103 200 10670 SH SOLE 0 0 0 0 INVESCO MORTGAGECAPITAL INC COM COM 46131B100 175 11340 SH SOLE 0 0 0 0 INVESCO TR INVT GRADNEW YORK MUNS COM 46131T101 211 15286 SH SOLE 0 0 0 0 INVESCO MUNOPPORTUNITY TR COM COM 46132C107 237 20079 SH SOLE 0 0 0 0 JP MORGAN CHASE &CO COM 46625H100 2637 51022 SH SOLE 0 0 0 0 KINDER MORGAN MGMTLLC SHS COM 49455U100 250 3331 SH SOLE 0 0 0 0 KINDER MORGAN INCDEL COM COM 49456B101 228 6414 SH SOLE 0 0 0 0 KRAFT FOODS GROUPINC COM COM 50076Q106 425 8091 SH SOLE 0 0 0 0 LABORATORY CORP AMERHLDGS COM 50540R409 763 7696 SH SOLE 0 0 0 0 M & T BK CORP COM 55261F104 336 3000 SH SOLE 0 0 0 0 MACQUARIEINFRASTRUCTURE COM 55608B105 209 3900 SH SOLE 0 0 0 0 MARKET VECTORS ETFTR LEHMAN BROS ETF 57060U878 660 22570 SH SOLE 0 0 0 0 MERCK & CO INC NEWCOM COM 58933Y105 2834 59526 SH SOLE 0 0 0 0 METLIFE INC COM COM 59156R108 344 7320 SH SOLE 0 0 0 0 MFS INVT GRADE MUNTR SHS BEN INT SH BEN INT 59318B108 110 12629 SH SOLE 0 0 0 0 MONSANTO CO NEW COM COM 61166W101 1230 11789 SH SOLE 0 0 0 0 NEXTERA ENERGY INCCOM COM 65339F101 376 4694 SH SOLE 0 0 0 0 NOVARTIS AGSPONSORED ADR ADR 66987V109 1143 14896 SH SOLE 0 0 0 0 ONEOK PARTNERS L P LP 68268N103 206 3887 SH SOLE 0 0 0 0 ORACLE CORP COM COM 68389X105 524 15775 SH SOLE 0 0 0 0 PIMCO ETF TR INTERMUN BD S EFT 72201R866 329 6300 SH SOLE 0 0 0 0 POWERSHARES QQQ TRUNIT SER 1 COM 73935A104 931 11797 SH SOLE 0 0 0 0 POWERSHARES TRFINL PFD PORTFOLIO ETF 73935X229 337 19678 SH SOLE 0 0 0 0 POWERSHARESR II S&P 500 ETF 73937B779 1462 46869 SH SOLE 0 0 0 0 PROSHARES TR ULTRASHORT COM 74347B201 395 5243 SH SOLE 0 0 0 0 ROYCE FOCUS TR INCCOM COM 78080N108 989 136967 SH SOLE 0 0 0 0 RYDEX ETF TRGUGGENHEIM RUSSELL ETF 78355W205 446 3810 SH SOLE 0 0 0 0 SPDR S&P 500 ETF TRTR UNIT ETF 78462F103 939 5589 SH SOLE 0 0 0 0 SPDR GOLD TR GOLDSHS COM 78463V107 906 7065 SH SOLE 0 0 0 0 SPDR S&P EMERGINGMARKETS DIVID ETF 78463X533 407 10093 SH SOLE 0 0 0 0 SPDR SER TR S&PDIVID ETF ETF 78464A763 590 8557 SH SOLE 0 0 0 0 SPDR SER TR S&PBIOTECH ETF ETF 78464A870 216 1675 SH SOLE 0 0 0 0 SPDR S&P MIDCAP400 ETF 78467Y107 302 1335 SH SOLE 0 0 0 0 SABRA HEALTH CAREREIT INC COM COM 78573L106 260 11308 SH SOLE 0 0 0 0 SANOFI ADR 80105N105 632 12485 SH SOLE 0 0 0 0 SELECT SECTOR SPDRTR ENERGY COM 81369Y506 318 3837 SH SOLE 0 0 0 0 SPECTRANETICS CORPCOM COM 84760C107 452 26920 SH SOLE 0 0 0 0 SYNGENTA AG ADR 87160A100 267 3286 SH SOLE 0 0 0 0 3M CO COM COM 88579Y101 1242 10400 SH SOLE 0 0 0 0 TWO HBRS INVT CORPCOM COM 90187B101 350 36018 SH SOLE 0 0 0 0 UNITEDHEALTH GROUPINC COM COM 91324P102 666 9300 SH SOLE 0 0 0 0 VANGUARD WORLD FDSFINLS ETF ETF 92204A405 547 15814 SH SOLE 0 0 0 0 VANGUARD NAT RES LLC COM 92205F106 215 7674 SH SOLE 0 0 0 0 VERIZONCOMMUNICATIONS INCCOM COM 92343V104 2897 62069 SH SOLE 0 0 0 0 VISA INC COM CL A COM 92826C839 940 4921 SH SOLE 0 0 0 0 VODAFONE GROUP PLC ADR 92857W209 972 27641 SH SOLE 0 0 0 0 WINDSTREAM HLDGS INCCOM COM 97382A101 798 99928 SH SOLE 0 0 0 0 WISDOMTREE EMERGING MKTS EQYINC COM 97717W315 247 4780 SH SOLE 0 0 0 0 ACCENTURE PLCIRELAND CLA CL A COM G1151C101 282 3827 SH SOLE 0 0 0 0 COVIDIEN PLCSHS COM G2554F113 453 7439 SH SOLE 0 0 0 0 EATON CORP COM G29183103 614 8922 SH SOLE 0 0 0 0 ENSCO PLCSHS CL A CL A COM G3157S106 345 6418 SH SOLE 0 0 0 0 SEADRILL LIMTED COM G7945E105 668 14811 SH SOLE 0 0 0 0 ACE LIMITEDSHSISIN#CH0044328745 COM H0023R105 1986 21226 SH SOLE 0 0 0 0 WEATHERFORD INTL LTD COM H27013103 164 10695 SH SOLE 0 0 0 0 TRANSOCEAN LTDREG S COM H8817H100 226 5081 SH SOLE 0 0 0 0 CORE LABORATORIES NV COM N22717107 335 1978 SH SOLE 0 0 0 0 TEEKAY LNG PARTNER LP Y8564M105 354 8016 SH SOLE 0 0 0 0 TEEKAY TANKERS LTD CL A COM Y8565N102 43 16511 SH SOLE 0 0 0 0