AML/Compliance Officer

0001315785-15-000030.txt : 20151006 0001315785-15-000030.hdr.sgml : 20151006 20151006150907 ACCESSION NUMBER: 0001315785-15-000030 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151006 DATE AS OF CHANGE: 20151006 EFFECTIVENESS DATE: 20151006 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: 151145969 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 09-30-2015 09-30-2015 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 10-06-2015 0 323 384886 false INFORMATION TABLE 2 efs13fsept20152.xml ABBOTT LABS COM COM 002824100 1321 32835 SH SOLE 0 0 0 0 AFFILIATED MANAGERS GRP INC COM 008252108 248 1450 SH SOLE 0 0 0 0 AIR PRODS & CHEMSINC COM 009158106 513 4019 SH SOLE 0 0 0 0 ALLSTATE CORP COM 020002101 322 5523 SH SOLE 0 0 0 0 AMAZON COM INC COM 023135106 570 1113 SH SOLE 0 0 0 0 AMERICAN ELECTRICPOWER CO COM 025537101 232 4080 SH SOLE 0 0 0 0 AMERICAN EXPRESSCOMPANY COM 025816109 878 11844 SH SOLE 0 0 0 0 AMERICAN INTL GROUPINC COM NEW COM 026874784 658 11587 SH SOLE 0 0 0 0 AMRICAN STS WTR CO COM 029899101 222 5355 SH SOLE 0 0 0 0 AMGEN INC COM 031162100 7336 53037 SH SOLE 0 0 0 0 ANADARKO PETE CORP COM 032511107 323 5341 SH SOLE 0 0 0 0 ANNALY CAP MGMT INC COM 035710409 704 71333 SH SOLE 0 0 0 0 APACHE CORP COM 037411105 392 10000 SH SOLE 0 0 0 0 APPLE INC COM 037833100 10762 97566 SH SOLE 0 0 0 0 AUTOMATIC DATAPROCESSING INC COM 053015103 1930 24012 SH SOLE 0 0 0 0 BP PLC ADR 055622104 308 10088 SH SOLE 0 0 0 0 BAKER HUGHES INC COM 057224107 359 6900 SH SOLE 0 0 0 0 BANK AMER CORP COM 060505104 3113 199834 SH SOLE 0 0 0 0 BANK AMER CORPNON CUM 7.25% PFD 060505682 422 392 SH SOLE 0 0 0 0 BANK OF NEW YORKMELLON CORP COM 064058100 716 18280 SH SOLE 0 0 0 0 BECTON DICKINSON &CO COM 075887109 584 4401 SH SOLE 0 0 0 0 BERKSHIRE HATHAWAYINC DEL CL A CLA COM 084670108 7419 38 SH SOLE 0 0 0 0 BERKSHIRE HATHAWAYINC DEL CL B NEW CLB COM 084670702 3306 25351 SH SOLE 0 0 0 0 BLACKROCK KELSO CAPCORPORATION COM 092533108 1055 119060 SH SOLE 0 0 0 0 BOARDWALK PIPELINEPARTNERS LP LTD PART 096627104 141 11944 SH SOLE 0 0 0 0 BOEING CO COM 097023105 4114 31418 SH SOLE 0 0 0 0 BORGWARNER COM 099724106 366 8790 SH SOLE 0 0 0 0 BRISTOL MYERS SQUIBBCO COM 110122108 2014 34028 SH SOLE 0 0 0 0 BROOKFIELD ASSETMGMT INC CLA COM 112585104 605 19232 SH SOLE 0 0 0 0 BROWN FORMAN CORP CLB COM 115637209 288 2977 SH SOLE 0 0 0 0 BUCKEYE PARTNERS L P LTD PART 118230101 1016 17140 SH SOLE 0 0 0 0 CIGNA CORP COM 125509109 1125 8332 SH SOLE 0 0 0 0 CSX CORPORATION COM 126408103 226 8407 SH SOLE 0 0 0 0 CVS HEALTH CORP COM 126650100 3610 37420 SH SOLE 0 0 0 0 CATERPILLAR INC COM 149123101 918 14042 SH SOLE 0 0 0 0 CELGENE CORP COM 151020104 3031 28025 SH SOLE 0 0 0 0 CENTURYLINK INC COM 156700106 658 26212 SH SOLE 0 0 0 0 CERNER CORP COM 156782104 248 4142 SH SOLE 0 0 0 0 CHESAPEAKE ENERGYCORP COM 165167107 127 17320 SH SOLE 0 0 0 0 CHEVRON CORP COM 166764100 2726 34560 SH SOLE 0 0 0 0 CHICAGO BRIDGE &IRON CO COM 167250109 572 14435 SH SOLE 0 0 0 0 CHUBB CORP COM 171232101 1080 8805 SH SOLE 0 0 0 0 CITIGROUP INC COM 172967424 1501 30249 SH SOLE 0 0 0 0 CLOROX CO COM 189054109 287 2483 SH SOLE 0 0 0 0 COCA COLA COMPANY COM 191216100 2617 65235 SH SOLE 0 0 0 0 COLGATE PALMOLIVE CO COM 194162103 1483 23371 SH SOLE 0 0 0 0 CONSOLIDATED EDISONINC COM 209115104 283 4235 SH SOLE 0 0 0 0 CREDIT SUISSE GRP ADR 225401108 269 11200 SH SOLE 0 0 0 0 CUMMINS INC COM 231021106 1283 11820 SH SOLE 0 0 0 0 DBX MSCI EAFE ETF 233051200 247 9482 SH SOLE 0 0 0 0 DTE ENERGY CO COM 233331107 255 3167 SH SOLE 0 0 0 0 DANAHER CORP COM 235851102 435 5103 SH SOLE 0 0 0 0 DEERE & CO COM 244199105 346 4682 SH SOLE 0 0 0 0 DISNEY WALT CODISNEY COM 254687106 3148 30806 SH SOLE 0 0 0 0 DOUBLELINE OPPTY COM 258623107 299 12000 SH SOLE 0 0 0 0 DOW CHEM CO COM 260543103 334 7886 SH SOLE 0 0 0 0 DREYFUS STRATEGICMUNS INC COM 261932107 163 19875 SH SOLE 0 0 0 0 DU PONT E I DENEMOURS & CO COM 263534109 1798 37297 SH SOLE 0 0 0 0 EMC CORP COM 268648102 551 22822 SH SOLE 0 0 0 0 EASTMAN CHEM CO COM 277432100 294 4545 SH SOLE 0 0 0 0 ECOLAB INC COM 278865100 656 5982 SH SOLE 0 0 0 0 EMERSON ELEC CO COM 291011104 585 13251 SH SOLE 0 0 0 0 ENTERPRISE PRODSPARTNERS L P COMUNIT LP 293792107 1172 47064 SH SOLE 0 0 0 0 FEDERATED INVS INC CLB COM 314211103 207 7150 SH SOLE 0 0 0 0 FIRST CONN BANCORPINC COM 319850103 924 57346 SH SOLE 0 0 0 0 FORD MOTOR CO COM 345370860 685 50443 SH SOLE 0 0 0 0 FRANKLIN RESOURCESINC COM 354613101 768 20619 SH SOLE 0 0 0 0 GENERAL DYNAMICSCORP COM 369550108 1909 13837 SH SOLE 0 0 0 0 GENERAL ELECTRIC CO COM 369604103 14126 560107 SH SOLE 0 0 0 0 GENERAL MILLS INC COM 370334104 1069 19044 SH SOLE 0 0 0 0 GENTEX CORP COM 371901109 237 15300 SH SOLE 0 0 0 0 GILEAD SCIENCES INC COM 375558103 3403 34661 SH SOLE 0 0 0 0 GRAINGER WW INC COM 384802104 323 1500 SH SOLE 0 0 0 0 HAIN CELESTIAL GROUPINC COM 405217100 284 5500 SH SOLE 0 0 0 0 HALLIBURTON CO COM 406216101 439 12430 SH SOLE 0 0 0 0 HERSHEY CO COM 427866108 500 5440 SH SOLE 0 0 0 0 HOME DEPOT INC COM 437076102 3922 33957 SH SOLE 0 0 0 0 HONEYWELL INTL INC COM 438516106 790 8348 SH SOLE 0 0 0 0 ILLINOIS TOOL WORKSINC COM 452308109 394 4784 SH SOLE 0 0 0 0 IMMUCELL CORP COM 452525306 141 23776 SH SOLE 0 0 0 0 INTEL CORP COM 458140100 6465 214488 SH SOLE 0 0 0 0 INTERNATIONALBUSINESS MACHS CORP COM 459200101 4032 27810 SH SOLE 0 0 0 0 INTERNATIONAL PAPERCO COM 460146103 201 5324 SH SOLE 0 0 0 0 ISHARES TR SELECTDIVID ETF FD ETF 464287168 1163 15990 SH SOLE 0 0 0 0 ISHARES TR CORE S&P 500 ETF 464287200 275 1425 SH SOLE 0 0 0 0 ISHARES TR GLOBALTECH ETF ETF 464287291 297 3300 SH SOLE 0 0 0 0 ISHARES TR MSCI EAFEETF ETF 464287465 371 6470 SH SOLE 0 0 0 0 ISHARES TR RUSSELLMID-CAP ETF ETF 464287499 1806 11607 SH SOLE 0 0 0 0 ISHARES TR CORE S&PMID-CAP ETF ETF 464287507 1027 7518 SH SOLE 0 0 0 0 ISHARES TR NASDAQBIOTECHNOLOGY ETF ETF 464287556 917 3022 SH SOLE 0 0 0 0 ISHARES TR COHEN &STEERS REIT ETF ETF 464287564 676 7296 SH SOLE 0 0 0 0 ISHARES TR S&PMIDCAP 400 GROWTHETF ETF 464287606 228 1450 SH SOLE 0 0 0 0 ISHARES TR RUS1000 GROW ETF 464287614 228 2452 SH SOLE 0 0 0 0 ISHARES TR RUSSELL2000 ETF ETF 464287655 697 6379 SH SOLE 0 0 0 0 ISHARESUS TECHNOLOGY ETF ETF 464287721 430 4351 SH SOLE 0 0 0 0 ISHARES TR USINDUSTRIALS ETF ETF 464287754 230 2386 SH SOLE 0 0 0 0 ISHARES TR U SHEALTHCARE ETF ETF 464287762 486 3471 SH SOLE 0 0 0 0 ISHARES TR CORE S&PSMALL-CAP ETF ETF 464287804 896 8407 SH SOLE 0 0 0 0 ISHARES TR MRG RL ES CP ETF 464288539 115 11525 SH SOLE 0 0 0 0 ISHARES TR S&P U SPFD STK INDEX FD ETF 464288687 782 20269 SH SOLE 0 0 0 0 ISHARES TR US HLTHCR PR ETF 464288828 378 3054 SH SOLE 0 0 0 0 ISHARES TR USPHARMACEUTICALS ETF ETF 464288836 241 1630 SH SOLE 0 0 0 0 JOHNSON & JOHNSON COM 478160104 9579 102610 SH SOLE 0 0 0 0 JOHNSON CTLS INC COM 478366107 282 6819 SH SOLE 0 0 0 0 KAMAN CORP COM 483548103 281 7845 SH SOLE 0 0 0 0 KELLOGG CO COM 487836108 225 3375 SH SOLE 0 0 0 0 KIMBERLY CLARK CORP COM 494368103 923 8469 SH SOLE 0 0 0 0 KRAFT HEINZ CO COM 500754106 618 8756 SH SOLE 0 0 0 0 LILLY ELI & CO COM 532457108 3693 44127 SH SOLE 0 0 0 0 LOCKHEED MARTIN CORP COM 539830109 738 3561 SH SOLE 0 0 0 0 MAGELLAN MIDSTREAMPARTNERS LP LP 559080106 564 9382 SH SOLE 0 0 0 0 MARRIOTT INTL INC CLA COM 571903202 458 6722 SH SOLE 0 0 0 0 MCDONALDS CORP COM 580135101 1745 17708 SH SOLE 0 0 0 0 MICROSOFT CORP COM 594918104 4095 92518 SH SOLE 0 0 0 0 MONDELEZ INTL INC CLA COM 609207105 776 18532 SH SOLE 0 0 0 0 MOTOROLA SOLUTIONS INC COM 620076307 595 8700 SH SOLE 0 0 0 0 NIKE INC CL B CLB COM 654106103 1325 10772 SH SOLE 0 0 0 0 NORFOLK SOUTHN CORP COM 655844108 1003 13132 SH SOLE 0 0 0 0 NOVO NORDISK A.S. ADR 670100205 666 12280 SH SOLE 0 0 0 0 NUVEEN NEW YORK AMT-FREE MUN INCOME FD COM 670656107 172 13641 SH SOLE 0 0 0 0 OGE ENERGY CORP COM 670837103 260 9500 SH SOLE 0 0 0 0 NUVEEN SELECTQUALITY MUNI FUNDINC COM 670973106 420 31410 SH SOLE 0 0 0 0 OCCIDENTAL PETE CORP COM 674599105 428 6474 SH SOLE 0 0 0 0 PNC FINL SVCS GROUPINC COM 693475105 902 10112 SH SOLE 0 0 0 0 PPG INDUSTRIES INC COM 693506107 1425 16246 SH SOLE 0 0 0 0 PEOPLES UTD FINL INC COM 712704105 382 24255 SH SOLE 0 0 0 0 PEPSICO INC COM 713448108 3406 36118 SH SOLE 0 0 0 0 PFIZER INC COM 717081103 7471 237839 SH SOLE 0 0 0 0 PHILIP MORRIS INTLINC COM 718172109 2991 37700 SH SOLE 0 0 0 0 PHILLIPS 66 COM 718546104 1881 24481 SH SOLE 0 0 0 0 PIMCO HIGH INCOME FD COM 722014107 76 10245 SH SOLE 0 0 0 0 PROCTER & GAMBLE CO COM 742718109 6808 94628 SH SOLE 0 0 0 0 PUBLIC SVC ENTERPRISE GRP INC COM 744573106 210 4985 SH SOLE 0 0 0 0 QUALCOMM INC COM 747525103 437 8131 SH SOLE 0 0 0 0 RAYMOND JAMES FINLINC COM 754730109 941 18964 SH SOLE 0 0 0 0 REALTY INCOME CORP COM 756109104 868 18316 SH SOLE 0 0 0 0 REYNOLDS AMERN INC COM 761713106 419 9458 SH SOLE 0 0 0 0 ROYAL DUTCH SHELLPLC ADR 780259206 490 10346 SH SOLE 0 0 0 0 SCHLUMBERGER LTD COM 806857108 2245 32549 SH SOLE 0 0 0 0 SCHWAB CHARLES CORP COM 808513105 413 14473 SH SOLE 0 0 0 0 SIMON PPTY GROUP INC COM 828806109 699 3806 SH SOLE 0 0 0 0 SONOCO PRODS CO COM 835495102 817 21649 SH SOLE 0 0 0 0 SOUTHERN CO COM 842587107 2761 61777 SH SOLE 0 0 0 0 STANLEY BLACK &DECKER INC COM 854502101 1670 17220 SH SOLE 0 0 0 0 STARBUCKS CORP COM 855244109 1928 33913 SH SOLE 0 0 0 0 STATE STR CORP COM 857477103 227 3375 SH SOLE 0 0 0 0 STRYKER CORP COM 863667101 1064 11308 SH SOLE 0 0 0 0 SYSCO CORP COM 871829107 384 9860 SH SOLE 0 0 0 0 TJX COMPANIES INC COM 872540109 654 9161 SH SOLE 0 0 0 0 TAIWAN SEMICONDUCTORMFG CO ADR 874039100 253 12182 SH SOLE 0 0 0 0 THERMO FISHERSCIENTIFIC INC COM 883556102 983 8042 SH SOLE 0 0 0 0 TIME WARNER INC COM 887317303 297 4322 SH SOLE 0 0 0 0 TORONTO DOMINION BKONT COM 891160509 745 18907 SH SOLE 0 0 0 0 TOYOTA MTR CORP ADR 892331307 311 2650 SH SOLE 0 0 0 0 UIL HLDGS CORP COM 902748102 513 10205 SH SOLE 0 0 0 0 US BANCORP COM 902973304 4891 119252 SH SOLE 0 0 0 0 UNDER ARMOUR INC CLA COM 904311107 396 4090 SH SOLE 0 0 0 0 UNILEVER PLC ADR 904767704 488 11962 SH SOLE 0 0 0 0 UNION PACIFIC CORP COM 907818108 1675 18944 SH SOLE 0 0 0 0 UNITED PARCEL SVCINC CLB COM 911312106 474 4800 SH SOLE 0 0 0 0 UNITED TECHNOLOGIESCORP COM 913017109 3477 39074 SH SOLE 0 0 0 0 V F CORP COM 918204108 564 8268 SH SOLE 0 0 0 0 VANGUARD SPEC PORT DIV APPR INDEXFD ETF 921908844 1297 17592 SH SOLE 0 0 0 0 VANGUARD ADMIRAL FDSINC ETF 921932505 2411 24947 SH SOLE 0 0 0 0 VANGUARD TAX MANAGED INTL FD ETF 921943858 912 25593 SH SOLE 0 0 0 0 VANGUARD WHITEHALL FDS ETF 921946406 628 10022 SH SOLE 0 0 0 0 VANGUARD INTL EQUITY INDEX FTSE EUR ETF 922042874 298 6057 SH SOLE 0 0 0 0 VANGUARD INDEX FDS REIT ETF 922908553 490 6483 SH SOLE 0 0 0 0 VANGUARD INDEX MID-CAP ETF 922908629 214 1835 SH SOLE 0 0 0 0 VANGUARD INDEX GROWTH ETF 922908736 244 2436 SH SOLE 0 0 0 0 VANGUARD SMALL CAP ETF 922908751 344 3191 SH SOLE 0 0 0 0 VANGUARD TOTAL STK MKT ETF 922908769 949 9617 SH SOLE 0 0 0 0 WAL MART STORES INC COM 931142103 761 11736 SH SOLE 0 0 0 0 WALGREEN BOOTSALLIANCE INC COM 931427108 1137 13687 SH SOLE 0 0 0 0 WASHINGTON TRBANCORP INC COM 940610108 491 12779 SH SOLE 0 0 0 0 WEBSTER FINL CORP COM 947890109 560 15722 SH SOLE 0 0 0 0 WELLS FARGO & CO COM 949746101 4390 85497 SH SOLE 0 0 0 0 WELLS FARGO & CO CLA COM 949746747 493 20366 SH SOLE 0 0 0 0 YUM BRANDS INC COM 988498101 472 5904 SH SOLE 0 0 0 0 CDK GLOBAL INC COM 12508E101 287 6003 SH SOLE 0 0 0 0 INVESCO ADVANTAGEMUN INC TR COM 46132E103 329 28987 SH SOLE 0 0 0 0 TARGET CORP COM 87612E106 780 9912 SH SOLE 0 0 0 0 TRAVELERS COS INC COM 89417E109 555 5577 SH SOLE 0 0 0 0 ALPS ETF TR ALERIAN ETF 00162Q866 870 69750 SH SOLE 0 0 0 0 AT&T INC COM 00206R102 4815 147804 SH SOLE 0 0 0 0 ABBVIE INC COM 00287Y109 1908 35076 SH SOLE 0 0 0 0 ABERDEEN INDONESIA FD INC COM 00305P106 64 12196 SH SOLE 0 0 0 0 ADOBE SYS INC COM 00724F101 611 7430 SH SOLE 0 0 0 0 AES TR III TR PFD 00808N202 794 16000 SH SOLE 0 0 0 0 AETNA INC COM 00817Y108 1658 15158 SH SOLE 0 0 0 0 ALIBABA GROUP HLDG ADR 01609W102 557 9451 SH SOLE 0 0 0 0 ALTRIA GROUP INC COM 02209S103 4770 87689 SH SOLE 0 0 0 0 AMERICA MOVIL SAB DEC V ADR 02364W105 831 50208 SH SOLE 0 0 0 0 AMERICAN CAPITAL LTD COM 02503Y103 188 15424 SH SOLE 0 0 0 0 AMERICAN TOWER REIT COM 03027X100 258 2938 SH SOLE 0 0 0 0 ANHEUSER BUSCH INBEVSA NV ADR 03524A108 397 3737 SH SOLE 0 0 0 0 APOLLO INVT CORP COM 03761U106 114 20750 SH SOLE 0 0 0 0 ARES CAP CORP COM 04010L103 295 20350 SH SOLE 0 0 0 0 ATHENAHEALTH INC COM 04685W103 438 3285 SH SOLE 0 0 0 0 BLACKROCK INC COM 09247X101 597 2006 SH SOLE 0 0 0 0 BLACKROCK MUN INC TR SH BEN INT 09248F109 195 13900 SH SOLE 0 0 0 0 BLACKROCK MUN HOLDINGS FD INC COM 09253N104 201 12000 SH SOLE 0 0 0 0 BLACKSTONE GROUP L P LP 09253U108 1816 57341 SH SOLE 0 0 0 0 CAMERON INTL CORP COM 13342B105 288 4700 SH SOLE 0 0 0 0 CANADIAN PAC RY LTD COM 13645T100 256 1780 SH SOLE 0 0 0 0 CAPSTONE TURBINE CORP COM 14067D102 7 22000 SH SOLE 0 0 0 0 CISCO SYSTEMS INC COM 17275R102 3103 118220 SH SOLE 0 0 0 0 COMCAST CORP CLA COM 20030N101 775 13625 SH SOLE 0 0 0 0 COMMUNICATIONS SALES & LEAS INC COM 20341J104 303 16926 SH SOLE 0 0 0 0 COMPASS DIVERSIFIEDHLDGS SH BEN INT 20451Q104 6209 385156 SH SOLE 0 0 0 0 CONOCOPHILLIPS COM 20825C104 2578 53753 SH SOLE 0 0 0 0 CONSTELLATION BRANDSINC CLA COM 21036P108 310 2475 SH SOLE 0 0 0 0 COSTCO WHOLESALECORP COM 22160K105 844 5841 SH SOLE 0 0 0 0 DAVITA HEALTHCAREPARTNERS INC COM 23918K108 264 3649 SH SOLE 0 0 0 0 DEUTSCHE MUN INC TR COM 25160C106 295 22550 SH SOLE 0 0 0 0 DIAGEO PLC ADR 25243Q205 464 4303 SH SOLE 0 0 0 0 DOMINION RES INC COM 25746U109 255 3628 SH SOLE 0 0 0 0 DREYFUS STRATEGICMUN BD FD INC COM 26202F107 268 34317 SH SOLE 0 0 0 0 DUKE ENERGY CORP COM 26441C204 1111 15438 SH SOLE 0 0 0 0 EOG RES INC COM 26875P101 497 6825 SH SOLE 0 0 0 0 EATON VANCE TAXMANAGED COM 27828X100 248 16255 SH SOLE 0 0 0 0 EATON VANCE TAXMANAGED COM 27829C105 1243 116275 SH SOLE 0 0 0 0 ENERGY TRANSFERPARTNERS L P LTD PART 29273R109 2066 50297 SH SOLE 0 0 0 0 ENERGY TRANSFEREQUITY LP LTD PART 29273V100 248 11933 SH SOLE 0 0 0 0 EVERSOURCE ENERGY COM 30040W108 469 9274 SH SOLE 0 0 0 0 EXELON CORP COM 30161N101 233 7838 SH SOLE 0 0 0 0 EXPRESS SCRIPTSHLDG CO COM 30219G108 519 6414 SH SOLE 0 0 0 0 EXXON MOBIL CORP COM 30231G102 14830 199467 SH SOLE 0 0 0 0 FACEBOOK INC CLA COM 30303M102 1486 16533 SH SOLE 0 0 0 0 FIFTH STREET FINANCE CORP COM 31678A103 127 20620 SH SOLE 0 0 0 0 FIREEYE INC COM 31816Q101 260 8175 SH SOLE 0 0 0 0 FIRST NIAGARA FINLGROUP INC COM 33582V108 714 69976 SH SOLE 0 0 0 0 FORTUNE BRANDS HOMES & SEC INC COM 34964C106 220 4635 SH SOLE 0 0 0 0 GLAXOSMITHKLINE PLC ADR 37733W105 476 12389 SH SOLE 0 0 0 0 GOLDMAN SACHS GROUPINC COM 38141G104 850 4890 SH SOLE 0 0 0 0 GOOGLE INC CL A CLA COM 38259P508 3491 5469 SH SOLE 0 0 0 0 GOOGLE INC CL C CLC COM 38259P706 2752 4523 SH SOLE 0 0 0 0 HCP INC COM 40414L109 235 6300 SH SOLE 0 0 0 0 INVESCO MUN TR COM 46131J103 155 12600 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 46132C107 127 10125 SH SOLE 0 0 0 0 IRON MTN INC COM 46284V101 261 8405 SH SOLE 0 0 0 0 JP MORGAN CHASE &CO COM 46625H100 4068 66714 SH SOLE 0 0 0 0 KKR & CO LTD PART 48248M102 638 38001 SH SOLE 0 0 0 0 KINDER MORGAN INCDEL COM 49456B101 2879 104013 SH SOLE 0 0 0 0 LABORATORY CORP AMERHLDGS COM 50540R409 797 7350 SH SOLE 0 0 0 0 MACQUARIEINFRASTRUCTURE COM 55608B105 443 5938 SH SOLE 0 0 0 0 MASTERCARD INC CL A CLA COM 57636Q104 488 5413 SH SOLE 0 0 0 0 MCKESSON CORP COM 58155Q103 223 1205 SH SOLE 0 0 0 0 MERCADOLIBRE INC COM 58733R102 404 4435 SH SOLE 0 0 0 0 MERCK & CO INC COM 58933Y105 2583 52305 SH SOLE 0 0 0 0 METLIFE INC COM 59156R108 605 12827 SH SOLE 0 0 0 0 MFS INVT GRADE MUN TR SH BEN INT 59318B108 111 11380 SH SOLE 0 0 0 0 MONSANTO CO COM 61166W101 865 10139 SH SOLE 0 0 0 0 MORGAN STANLEY CAPTR VIII COM 61753R200 240 9552 SH SOLE 0 0 0 0 NEXTERA ENERGY INC COM 65339F101 639 6554 SH SOLE 0 0 0 0 NOVARTIS AG ADR 66987V109 1303 14179 SH SOLE 0 0 0 0 O REILLYAUTOMOTIVE INC COM 67103H107 263 1050 SH SOLE 0 0 0 0 ORACLE CORP COM 68389X105 456 12630 SH SOLE 0 0 0 0 PPL CORP COM 69351T106 242 7367 SH SOLE 0 0 0 0 POWERSHARES QQQ TRUNIT SER 1 ETF 73935A104 2297 22572 SH SOLE 0 0 0 0 POWERSHARES EXCHANGETRADED FD TRFINL PFD PORTFOLIO ETF 73935X229 482 26408 SH SOLE 0 0 0 0 POWERSHARES EXCHANGETRADED FD TR DYNAMICBUYBACK ACHIEVERSPORT ETF 73935X286 1879 42922 SH SOLE 0 0 0 0 POWERSHARESEXCHANGE-TRADED FDTR FTSE RAFI US 1000PORT ETF 73935X583 2084 25137 SH SOLE 0 0 0 0 POWERSHARESEXCHANGE-TRADED FDTR S&P 500 ETF 73935X682 215 9735 SH SOLE 0 0 0 0 POWERSHARESEXCHANGE-TRADED FDTR INTL DIVIDACHIEVERS PORTFOLIO ETF 73935X716 482 33382 SH SOLE 0 0 0 0 POWERSHARES ETF TR II PWRS INT BUYBK ETF 73937B621 987 39509 SH SOLE 0 0 0 0 POWERSHARES EXCHANGETRADED FD TR IIPOWERSHARES S&P 500HIGH DIVID PORT ETF 73937B654 380 12081 SH SOLE 0 0 0 0 POWERSHARESEXCHANGE-TRADED FDTR II S&P 500 LOWVOLATILITY PORT ETF 73937B779 2780 77295 SH SOLE 0 0 0 0 PRAXAIR INC COM 74005P104 409 4011 SH SOLE 0 0 0 0 PROSHARES TR S&P 500DIVID ARISTO ETF 74348A467 3583 77055 SH SOLE 0 0 0 0 PROSPECT CAP CORP COM 74348T102 180 25199 SH SOLE 0 0 0 0 RYDEX ETF TRGUGGENHEIM S&P 500 ETF 78355W106 4687 63714 SH SOLE 0 0 0 0 RYDEX ETF TRGUGGENHEIM RUSSELL ETF 78355W205 511 3845 SH SOLE 0 0 0 0 RYDEX ETF TRGUGGENHEIM S&P 500 PURE GROWTH ETF 78355W403 264 3405 SH SOLE 0 0 0 0 SPDR S&P 500 ETF 78462F103 4409 23010 SH SOLE 0 0 0 0 SPDR GOLD TR GOLDSHS ETF 78463V107 396 3710 SH SOLE 0 0 0 0 SPDR INDEX SHS FDSS&P INTL DIV ETF 78463X772 214 6300 SH SOLE 0 0 0 0 SPDR SER TR S&P REGLBKG ETF 78464A698 304 7375 SH SOLE 0 0 0 0 SPDR SER TR S&PDIVID ETF ETF 78464A763 1341 18578 SH SOLE 0 0 0 0 SPDR SER TR S&PBIOTECH ETF ETF 78464A870 1361 21868 SH SOLE 0 0 0 0 SPDR DOW JONES INDL AVG ETF 78467X109 220 1352 SH SOLE 0 0 0 0 SPDR S&P MIDCAP400 ETF ETF 78467Y107 451 1811 SH SOLE 0 0 0 0 SABRA HEALTH CAREREIT INC COM 78573L106 204 8808 SH SOLE 0 0 0 0 SALESFORCE.COM INC COM 79466L302 247 3555 SH SOLE 0 0 0 0 SANOFI ADR 80105N105 750 15801 SH SOLE 0 0 0 0 SELECT SECTOR SPDRTR ENERGY ETF 81369Y506 636 10384 SH SOLE 0 0 0 0 SELECT SECTOR SPDRTR FINANCIAL ETF 81369Y605 505 22288 SH SOLE 0 0 0 0 SPECTRANETICS CORP COM 84760C107 310 26271 SH SOLE 0 0 0 0 SPROTT FOCUS TR INC COM 85028J109 1166 197357 SH SOLE 0 0 0 0 STONE HBR EMERG MKTS INC FD COM 86164T107 136 11437 SH SOLE 0 0 0 0 TESLA MTRS INC COM 88160R101 214 863 SH SOLE 0 0 0 0 3M CO COM 88579Y101 1870 13191 SH SOLE 0 0 0 0 TRANSCANADA CORP COM 89353D107 286 9062 SH SOLE 0 0 0 0 TWO HBRS INVT CORP COM 90187B101 279 31620 SH SOLE 0 0 0 0 UNITEDHEALTH GROUPINC COM 91324P102 1192 10277 SH SOLE 0 0 0 0 VALEANTPHARMACEUTICALS INTLINC COM 91911K102 524 2936 SH SOLE 0 0 0 0 VALERO ENERGY CORP COM 91913Y100 552 9182 SH SOLE 0 0 0 0 VANGUARD WORLD FD ENERGY ETF 92204A306 471 5554 SH SOLE 0 0 0 0 VANGUARD WORLD FDS FINLS ETF ETF 92204A405 1802 38922 SH SOLE 0 0 0 0 VANGUARD WORLD FDS HEALTH CARE ETF 92204A504 1536 12534 SH SOLE 0 0 0 0 VANGUARD WORLD FDSVANGUARD INFORMATION ETF 92204A702 568 5680 SH SOLE 0 0 0 0 VERIZONCOMMUNICATIONS INC COM 92343V104 3191 73334 SH SOLE 0 0 0 0 VISA INC CLA COM 92826C839 2260 32441 SH SOLE 0 0 0 0 VODAFONE GROUP PLC ADR 92857W308 358 11273 SH SOLE 0 0 0 0 WEC ENERGY GRP COM 92939U106 225 4305 SH SOLE 0 0 0 0 WASTE MGMT INC COM 94106L109 413 8284 SH SOLE 0 0 0 0 WESTERN ASSET MANAGED MUNI FD COM 95766M105 173 12444 SH SOLE 0 0 0 0 WINDSTREAM HLDGS INC COM 97382A200 86 14076 SH SOLE 0 0 0 0 WISDOMTREE TR MIDCAPDIVID FD ETF 97717W505 283 3649 SH SOLE 0 0 0 0 WISDOM REE TR MID EAST DIV ETF 97717X305 203 11200 SH SOLE 0 0 0 0 WISDOMTREE TR EUROPE HEDGE ETF 97717X701 1371 25084 SH SOLE 0 0 0 0 WORLD WRESTLING ENTMT INC CLA COM 98156Q108 169 10000 SH SOLE 0 0 0 0 ZIMMER HLDGS INC COM 98956P102 210 2241 SH SOLE 0 0 0 0 ALLERGAN PLC COM G0177J108 299 1100 SH SOLE 0 0 0 0 ACCENTURE PLCIRELAND CLA COM G1151C101 359 3650 SH SOLE 0 0 0 0 CONSOLIDATED WATERCO COM G23773107 167 14359 SH SOLE 0 0 0 0 EATON CORP COM G29183103 821 16013 SH SOLE 0 0 0 0 MEDTRONICS PLC COM G5960L103 1493 22297 SH SOLE 0 0 0 0 ACE LIMITED COM H0023R105 1307 12640 SH SOLE 0 0 0 0 LYONDELLBASELL IND CLA COM N53745100 247 2969 SH SOLE 0 0 0 0 GASLOG PARTNERS LTD PART Y2687W108 167 10361 SH SOLE 0 0 0 0 TEEKAY TANKERS LTDCL A CLA COM Y8565N102 98 14236 SH SOLE 0 0 0 0