0001315785-14-000002.txt : 20140212
0001315785-14-000002.hdr.sgml : 20140212
20140212132204
ACCESSION NUMBER: 0001315785-14-000002
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20131231
FILED AS OF DATE: 20140212
DATE AS OF CHANGE: 20140212
EFFECTIVENESS DATE: 20140212
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-11126
FILM NUMBER: 14598845
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/A
1
primary_doc.xml
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0001315785
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12-31-2013
12-31-2013
true
1
RESTATEMENT
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
02-12-2014
0
281
295696
false
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0
0
0
ADOBE SYS INC
COM
00724F101
445
7430
SH
SOLE
0
0
0
0
AES TR III TR PFDCONV SECS
PFD
00808N202
803
16000
SH
SOLE
0
0
0
0
AETNA INC
COM
00817Y108
578
8423
SH
SOLE
0
0
0
0
ALTRIA GROUP INC
COM
02209S103
3525
89205
SH
SOLE
0
0
0
0
AMBEV SA
ADR
02319V103
377
51225
SH
SOLE
0
0
0
0
AMERICA MOVIL SAB DEC V
ADR
02364W105
1191
50984
SH
SOLE
0
0
0
0
AMERICAN CAPITAL LTD
COM
02503Y103
313
20000
SH
SOLE
0
0
0
0
ANHEUSER BUSCH INBEVSA NV
ADR
03524A108
248
2333
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SOLE
0
0
0
0
APOLLO INVT CORP
COM
03761U106
91
10750
SH
SOLE
0
0
0
0
ARES CAP CORP
COM
04010L103
352
19825
SH
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0
0
0
0
ATHENAHEALTH INC
COM
04685W103
610
4535
SH
SOLE
0
0
0
0
BANCO SANTANER SA
ADR
05964H105
101
11129
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0
0
0
0
BLACKROCK INC
COM
09247X101
350
1107
SH
SOLE
0
0
0
0
BLACKROCK MUN INCOMETR SH BEN INT
SH BEN INT
09248F109
164
12900
SH
SOLE
0
0
0
0
CAMERON INTL CORP
COM
13342B105
327
5500
SH
SOLE
0
0
0
0
CANADIAN PAC RY LTD
COM
13645T100
275
1815
SH
SOLE
0
0
0
0
CAPSTONE TURBINE CORP
COM
14067D102
40
31000
SH
SOLE
0
0
0
0
CISCO SYSTEMS INC
COM
17275R102
2589
115411
SH
SOLE
0
0
0
0
COMCAST CORP CL A
COM
20030N101
475
9140
SH
SOLE
0
0
0
0
COMPASS DIVERSIFIEDHLDGS
SH BEN INT
20451Q104
6820
347406
SH
SOLE
0
0
0
0
CONOCOPHILLIPS
COM
20825C104
1856
26274
SH
SOLE
0
0
0
0
COSTCO WHOLESALECORP
COM
22160K105
231
1937
SH
SOLE
0
0
0
0
DWS MUN INCOME TR
COM
23338M106
306
25550
SH
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0
0
0
0
DAVITA HEALTHCAREPARTNERS INC
COM
23918K108
264
4172
SH
SOLE
0
0
0
0
DEVON ENERGY CORP
COM
25179M103
242
3909
SH
SOLE
0
0
0
0
DIAGEO PLC
ADR
25243Q205
345
2603
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0
0
0
0
DOMINION RES INC
COM
25746U109
316
4880
SH
SOLE
0
0
0
0
DREYFUS STRATEGICMUN BD FD
COM
26202F107
379
51069
SH
SOLE
0
0
0
0
DUKE ENERGY CORP
COM
26441C204
1029
14914
SH
SOLE
0
0
0
0
ENERGY TRANSFERPARTNERS
LP
29273R109
2701
47180
SH
SOLE
0
0
0
0
EQUITY RESIDENTIAL
SH BEN INT
29476L107
226
4350
SH
SOLE
0
0
0
0
EXELON CORP
COM
30161N101
256
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SH
SOLE
0
0
0
0
EXPRESS SCRIPTSHLDG CO
COM
30219G108
726
10329
SH
SOLE
0
0
0
0
EXXON MOBIL CORP
COM
30231G102
19611
193781
SH
SOLE
0
0
0
0
FACEBOOK INC CL A
COM
30303M102
573
10480
SH
SOLE
0
0
0
0
FIFTH ST FIN CORP
COM
31678A103
103
11120
SH
SOLE
0
0
0
0
FIRST NIAGARA FINLGROUP INC
COM
33582V108
1282
120698
SH
SOLE
0
0
0
0
FREEPORT-MCMORAN
CL B COM
35671D857
353
9350
SH
SOLE
0
0
0
0
GLAXOSMITHKLINE PLC
ADR
37733W105
403
7543
SH
SOLE
0
0
0
0
GOLDMAN SACHS GROUPINC
COM
38141G104
831
4686
SH
SOLE
0
0
0
0
GOOGLE INC CL A
COM
38259P508
3633
3242
SH
SOLE
0
0
0
0
HCP INC COM
COM
40414L109
368
10125
SH
SOLE
0
0
0
0
INVESCO MUN TR
COM
46131J103
166
14300
SH
SOLE
0
0
0
0
INVESCO TR INVT GRADNEW YORK MUNS
COM
46131T101
200
15286
SH
SOLE
0
0
0
0
INVESCO MUNOPPORTUNITY TR
COM
46132C107
260
22183
SH
SOLE
0
0
0
0
JP MORGAN CHASE &CO
COM
46625H100
2612
44671
SH
SOLE
0
0
0
0
KINDER MORGAN MGMT LLC
COM
49455U100
463
6113
SH
SOLE
0
0
0
0
KINDER MORGAN INC
COM
49456B101
230
6384
SH
SOLE
0
0
0
0
KRAFT FOODS GROUP INC
COM
50076Q106
401
7446
SH
SOLE
0
0
0
0
LABORATORY CORP
COM
50540R409
712
7796
SH
SOLE
0
0
0
0
M & T BK CORP
COM
55261F104
353
3030
SH
SOLE
0
0
0
0
MACQUARIE INFRASTRUCTURE
COM
55608B105
212
3900
SH
SOLE
0
0
0
0
MERCK & CO INC
COM
58933Y105
2805
56044
SH
SOLE
0
0
0
0
METLIFE INC
COM
59156R108
413
7666
SH
SOLE
0
0
0
0
MFS INVT GRADE MUN TR
SH BEN INT
59318B108
98
11380
SH
SOLE
0
0
0
0
MONSANTO CO
COM
61166W101
1316
11289
SH
SOLE
0
0
0
0
NEXTERA ENERGY INC
COM
65339F101
384
4486
SH
SOLE
0
0
0
0
NORTHSTAR RLTY FIN CORP
COM
66704R100
135
10000
SH
SOLE
0
0
0
0
NOVARTIS AG
ADR
66987V109
1149
14291
SH
SOLE
0
0
0
0
ONEOK PARTNERS L P
LP
68268N103
205
3892
SH
SOLE
0
0
0
0
ORACLE CORP
COM
68389X105
653
17072
SH
SOLE
0
0
0
0
PIMCO ETF TR INTERMUN BD S
ETF
72201R866
456
8800
SH
SOLE
0
0
0
0
POWERSHARES QQQ TRUNIT SER 1
COM
73935A104
880
10010
SH
SOLE
0
0
0
0
POWERSHARES TRFINL PFD PORTFOLIO
ETF
73935X229
337
19908
SH
SOLE
0
0
0
0
POWERSHARES TR DYNAMIC
ETF
73935X286
625
14518
SH
SOLE
0
0
0
0
POWERSHARESR II S&P 500
ETF
73937B779
1818
54825
SH
SOLE
0
0
0
0
PRAXAIR INC
COM
74005P104
546
4200
SH
SOLE
0
0
0
0
PROSHARES TR ULTRASHORT
COM
74347B201
262
3312
SH
SOLE
0
0
0
0
ROYCE FOCUS TR INC
COM
78080N108
1279
167831
SH
SOLE
0
0
0
0
RYDEX ETF TRGUGGENHEIM RUSSELL
ETF
78355W205
449
3460
SH
SOLE
0
0
0
0
SPDR S&P 500 ETF TRTR UNIT
ETF
78462F103
1510
8174
SH
SOLE
0
0
0
0
SPDR GOLD TR GOLDSHS
COM
78463V107
484
4168
SH
SOLE
0
0
0
0
SPDR S&P EMERGINGMARKETS DIVID
ETF
78463X533
394
10093
SH
SOLE
0
0
0
0
SPDR S&P INTL DIVID
ETF
78463X772
400
8438
SH
SOLE
0
0
0
0
SPDR SER TR S&PDIVID
ETF
78464A763
616
8483
SH
SOLE
0
0
0
0
SPDR SER TR S&PBIOTECH
ETF
78464A870
228
1750
SH
SOLE
0
0
0
0
SPDR S&P MIDCAP400
ETF
78467Y107
309
1265
SH
SOLE
0
0
0
0
SABRA HEALTH CAREREIT INC
COM
78573L106
296
11308
SH
SOLE
0
0
0
0
SANOFI
ADR
80105N105
562
10475
SH
SOLE
0
0
0
0
SELECT SECTOR SPDRTR MATLS
ETF
81369Y100
222
4801
SH
SOLE
0
0
0
0
SELECT SECTOR SPDR TR CONS STAP
ETF
81369Y308
217
5042
SH
SOLE
0
0
0
0
SELECT SECTOR SPDR TR CONS DISC
ETF
81369Y407
223
3337
SH
SOLE
0
0
0
0
SELECT SECTOR SPDRTR ENERGY
ETF
81369Y506
333
3762
SH
SOLE
0
0
0
0
SELECT SECTOR SPDR TR FINANCIAL
ETF
81369Y605
307
14024
SH
SOLE
0
0
0
0
SIRIUS XM HLDGS INC
COM
82968B103
181
51800
SH
SOLE
0
0
0
0
SPECTRANETICS CORP
COM
84760C107
648
25920
SH
SOLE
0
0
0
0
SYNGENTA AG
ADR
87160A100
263
3286
SH
SOLE
0
0
0
0
3D SYS CORP
COM
88554D205
203
2188
SH
SOLE
0
0
0
0
3M CO
COM
88579Y101
1425
10159
SH
SOLE
0
0
0
0
TWO HBRS INVT CORP
COM
90187B101
329
35502
SH
SOLE
0
0
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
717
9525
SH
SOLE
0
0
0
0
VALERO ENERGY CORP
COM
91913Y100
292
5800
SH
SOLE
0
0
0
0
VANGUARD WORLD FDS FINLS
ETF
92204A405
298
6707
SH
SOLE
0
0
0
0
VANGUARD NAT RES LLC
COM
92205F106
241
8174
SH
SOLE
0
0
0
0
VERIZONCOMMUNICATIONS INC
COM
92343V104
3113
63354
SH
SOLE
0
0
0
0
VISA INC COM CL A
COM
92826C839
1233
5537
SH
SOLE
0
0
0
0
VODAFONE GROUP PLC
ADR
92857W209
1026
26094
SH
SOLE
0
0
0
0
WASTE MGMT INC
COM
94106L109
275
6136
SH
SOLE
0
0
0
0
WINDSTREAM HLDGS INCCOM
COM
97382A101
860
107768
SH
SOLE
0
0
0
0
WISDOMTREE EMERGING MKTS EQYINC
COM
97717W315
244
4780
SH
SOLE
0
0
0
0
ACCENTURE PLCIRELAND CLA
CL A COM
G1151C101
310
3775
SH
SOLE
0
0
0
0
COVIDIEN PLC
COM
G2554F113
588
8639
SH
SOLE
0
0
0
0
EATON CORP
COM
G29183103
669
8795
SH
SOLE
0
0
0
0
ENSCO PLC CL A
CL A COM
G3157S106
398
6958
SH
SOLE
0
0
0
0
SEADRILL LIMTED
COM
G7945E105
633
15419
SH
SOLE
0
0
0
0
ACE LIMITED
COM
H0023R105
2244
21676
SH
SOLE
0
0
0
0
WEATHERFORD INTL LTD
COM
H27013103
158
10230
SH
SOLE
0
0
0
0
TRANSOCEAN LTD REG S
COM
H8817H100
218
4402
SH
SOLE
0
0
0
0
CORE LABORATORIES NV
COM
N22717107
451
2363
SH
SOLE
0
0
0
0
TEEKAY LNG PARTNER
LP
Y8564M105
343
8025
SH
SOLE
0
0
0
0
TEEKAY TANKERS LTD
CL A COM
Y8565N102
65
16569
SH
SOLE
0
0
0
0