Chief Compliance Officer

0001599863-15-000002.txt : 20150209 0001599863-15-000002.hdr.sgml : 20150209 20150206182636 ACCESSION NUMBER: 0001599863-15-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20141231 FILED AS OF DATE: 20150209 DATE AS OF CHANGE: 20150206 EFFECTIVENESS DATE: 20150209 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Northeast Financial Consultants Inc CENTRAL INDEX KEY: 0001599863 IRS NUMBER: 061562117 STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15844 FILM NUMBER: 15586240 BUSINESS ADDRESS: STREET 1: 16 KETCHUM ST STREET 2: 2ND FLOOR CITY: WESTPORT STATE: CT ZIP: 06880 BUSINESS PHONE: 2032268997 MAIL ADDRESS: STREET 1: PO BOX 2630 CITY: WESTPORT STATE: CT ZIP: 06880 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001599863 XXXXXXXX 12-31-2014 12-31-2014 Northeast Financial Consultants Inc

PO BOX 2630 WESTPORT CT 06880

13F HOLDINGS REPORT 028-15844 N Patrice S Reilly Chief Compliance Officer 203-226-8997 Patrice S Reilly Westport CT 02-06-2015 0 133 189827 false INFORMATION TABLE 2 2014Q4-Form13f-NFC.xml 3m Company COM 88579Y101 250 1520 SH SOLE 1520 0 0 Access Midstream Partners LP COM 00434L109 520 9600 SH SOLE 9600 0 0 Alerian MLP Index ETN UNIT 00162Q866 236 13450 SH SOLE 13450 0 0 Amazon.Com Inc ALERIAN MLP 023135106 530 1707 SH SOLE 1707 0 0 Amer Intl Group Inc COM 026874784 224 4000 SH SOLE 4000 0 0 Amgen Inc COM NEW 031162100 562 3526 SH SOLE 3526 0 0 Anadarko Pete Corp COM 032511107 738 8945 SH SOLE 8945 0 0 Apache Corp COM 037411105 300 4783 SH SOLE 4783 0 0 Apollo Invt Corp Com COM 03761U106 1795 241900 SH SOLE 241900 0 0 Apple Computer Inc COM 037833100 1714 15526 SH SOLE 15526 0 0 Ares Capital Corp COM 04010L103 522 33450 SH SOLE 33450 0 0 AT&T Corp New COM 00206R102 230 6855 SH SOLE 6855 0 0 Autodesk Inc COM 052769106 410 6830 SH SOLE 6830 0 0 Automatic Data Processing Inc COM 053015103 699 8387 SH SOLE 8387 0 0 Auxilium Pharmaceuticals Inc COM 05334D107 344 10000 SH SOLE 10000 0 0 Bank Of America Corp COM 060505104 273 15251 SH SOLE 15251 0 0 BERKSHIRE HATHAWAY INCORPORATED CLA COM 084670108 904 4 SH SOLE 4 0 0 Biocryst Pharmaceuticals Inc CL A 09058V103 121 10000 SH SOLE 10000 0 0 Biogen Idec Inc COM 09062X103 1311 3861 SH SOLE 3861 0 0 Blackstone Group LP COM 09253U108 1658 49025 SH SOLE 49025 0 0 Broadcom Corp Cl A 111320107 459 10596 SH SOLE 10596 0 0 Catamaran Corp Com COM 148887102 212 4088 SH SOLE 4088 0 0 Cerner Corp COM 156782104 672 10400 SH SOLE 10400 0 0 Cerulean Pharma Inc Com COM 15708Q105 124 20000 SH SOLE 20000 0 0 ChevronTexaco Corp COM 166764100 5354 47724 SH SOLE 47724 0 0 CLAYMORE EXCHANGE TRD FD TR GUGG SPINOFF ETF 18383M605 5866 63994 SH SOLE 63994 0 0 Comcast Corp CL A SPL 20030N200 1056 18340 SH SOLE 18340 0 0 Corning Inc COM 219350105 928 40464 SH SOLE 40464 0 0 CREE INC. COM 225447101 237 7345 SH SOLE 7345 0 0 Cubist Pharmaceuticals Inc COM 229678107 257 2555 SH SOLE 2555 0 0 CVS Health Corp COM 126650100 366 3800 SH SOLE 3800 0 0 Darling Ingredients Inc COM 237266101 309 17000 SH SOLE 17000 0 0 Deere & Company COM 244199105 1196 13522 SH SOLE 13522 0 0 Directv Group Inc COM 25490A309 276 3188 SH SOLE 3188 0 0 Disney Walt Co COM 254687106 1116 11851 SH SOLE 11851 0 0 Du Pont E I DeNemours & Co COM 263534109 444 6000 SH SOLE 6000 0 0 Ecolab Inc COM 278865100 334 3200 SH SOLE 3200 0 0 Enbridge Energy Partners LP COM 29250R106 2627 65842 SH SOLE 65842 0 0 Enbridge Inc Com COM 29250N105 334 6500 SH SOLE 6500 0 0 Energy Transfer Equity LP COM UT LTD PTN 29273V100 230 4000 SH SOLE 4000 0 0 Energy Transfer Partners LP UNIT LTD PARTN 29273R109 3292 50650 SH SOLE 50650 0 0 Enterprise Product Partners LP COM 293792107 5632 155924 SH SOLE 155924 0 0 Exxon Mobil Corp COM 30231G102 3723 40277 SH SOLE 40277 0 0 Fifth Street Finance Cp COM 31678A103 702 87700 SH SOLE 87700 0 0 First Trust Nasdaq 100 Ex-Tech Sect NASDAQ 100 EX 33733E401 130 32500 SH SOLE 32500 0 0 Ford Mtr Co Del Com COM PAR $0.01 345370860 418 27000 SH SOLE 27000 0 0 Fortress Invt Group CL A 34958B106 108 13475 SH SOLE 13475 0 0 Geeknet Inc New COM NEW 36846Q203 536 64789 SH SOLE 64789 0 0 General Electric Co COM 369604103 1994 78890 SH SOLE 78890 0 0 Google Inc Cl A CL A 38259P508 1566 2951 SH SOLE 2951 0 0 Google Inc Cl C CL C 38259P706 1606 3051 SH SOLE 3051 0 0 Harris Corp Del COM 413875105 1325 18456 SH SOLE 18456 0 0 Home Depot Inc COM 437076102 682 6500 SH SOLE 6500 0 0 Illinois Tool Wks Inc COM 452308109 284 3000 SH SOLE 3000 0 0 Intl Business Machines COM 459200101 330 2060 SH SOLE 2060 0 0 Intl Flavors& Fragrances COM 459506101 5190 51200 SH SOLE 51200 0 0 Investors Bancorp Inc Com COM 46146L101 229 20400 SH SOLE 20400 0 0 ISHARES TR INTL SEL DIV ETF 464288448 2130 63213 SH SOLE 63213 0 0 ISHARES TR NASDQ BIOTEC ETF 464287556 664 2190 SH SOLE 2190 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 778 10554 SH SOLE 10554 0 0 ISHARES TR GLOBAL ENERG ETF 464287341 1271 34180 SH SOLE 34180 0 0 ISHARES TR SELECT DIVID ETF 464287168 389 4900 SH SOLE 4900 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 2107 27526 SH SOLE 27526 0 0 ISIS PHARMACEUTICALS INC. COM 464330109 236 3817 SH SOLE 3817 0 0 Johnson & Johnson COM 478160104 2317 22159 SH SOLE 22159 0 0 Johnson Ctls Inc COM 478366107 208 4300 SH SOLE 4300 0 0 JP Morgan Alerian MLP Index ALERIAN ML ETN 46625H365 1300 28300 SH SOLE 28300 0 0 JP Morgan Chase & Co COM 46625H100 275 4399 SH SOLE 4399 0 0 Kayne Anderson Energy Fd COM 48660P104 865 31075 SH SOLE 31075 0 0 Kayne Anderson Midstream Energy Fd COM 48661E108 589 17300 SH SOLE 17300 0 0 Kayne Anderson MLP Invt Co COM 486606106 1342 35150 SH SOLE 35150 0 0 Keryx Biopharmaceuticals Inc COM 492515101 652 46100 SH SOLE 46100 0 0 Kimberly Clark Corp COM 494368103 352 3051 SH SOLE 3051 0 0 Kinder Morgan Inc COM 49456B101 9071 214383 SH SOLE 214383 0 0 KKR & Co LP COM UNITS 48248M102 1933 83300 SH SOLE 83300 0 0 L-3 Communications Hldgs Inc COM 502424104 416 3300 SH SOLE 3300 0 0 Liberty Interactive Corp INT COM SER A 53071M104 230 7833 SH SOLE 7833 0 0 Liberty Media Corp Del Com Ser C SER C 531229300 769 21950 SH SOLE 21950 0 0 Magellan Midstream Partners LP COM UNIT RP LP 559080106 3311 40059 SH SOLE 40059 0 0 Marathon Oil Corp COM 565849106 677 23940 SH SOLE 23940 0 0 Markwest Energy Partners LP UNIT LTD PARTN 570759100 1884 28045 SH SOLE 28045 0 0 Mcdonalds Corp COM 580135101 205 2185 SH SOLE 2185 0 0 Medley Capital Corp COM 58503F106 582 63020 SH SOLE 63020 0 0 Merck & Co Inc COM 589331107 233 4105 SH SOLE 4105 0 0 Metlife Inc Com COM 59156R108 5347 98852 SH SOLE 98852 0 0 Mettler-Toledo Intl COM 592688105 378 1250 SH SOLE 1250 0 0 Michael Kors Holdings Ltd Com SHS G60754101 345 4600 SH SOLE 4600 0 0 Micron Technology COM 595112103 543 15500 SH SOLE 15500 0 0 Neuberger Berman MLP Income Fd Inc COM 64129H104 734 41690 SH SOLE 41690 0 0 Novartis AG ADR SPONSORED ADR 66987V109 232 2500 SH SOLE 2500 0 0 Nuveen Invt Quality Municipal Fund COM 67062E103 346 22700 SH SOLE 22700 0 0 Omnicell Inc COM 68213N109 232 7000 SH SOLE 7000 0 0 Pepsico Inc COM 713448108 968 10233 SH SOLE 10233 0 0 Pfizer Inc COM 717081103 40714 1307044 SH SOLE 1307044 0 0 Plains All American Pipeline LP UNIT LTD PARTN 726503105 7368 143579 SH SOLE 143579 0 0 Plains GP Hldgs LP (Corp) SHS A REP LTPN 72651A108 1422 55380 SH SOLE 55380 0 0 Powershares Buyback Shares ETF DYNA BUYBK ACH 73935X286 1629 33900 SH SOLE 33900 0 0 Powershares Pharma ETF DYN PHRMA PORT 73935X799 4313 64827 SH SOLE 64827 0 0 Powershs QQQ TRUST Ser ETF UNIT SER 1 73935A104 775 7511 SH SOLE 7511 0 0 Procter & Gamble Co COM 742718109 999 10962 SH SOLE 10962 0 0 Prudential Finl Inc COM 744320102 283 3131 SH SOLE 3131 0 0 Rexahn Pharmaceuticals Inc COM 761640101 105 150000 SH SOLE 150000 0 0 Royal Dutch Shell ADR Cl B SPON ADR B 780259107 570 8200 SH SOLE 8200 0 0 Ryanair Hldgs Plc Adr SPON ADR 783513104 214 3000 SH SOLE 3000 0 0 SANDISK CORPORATION COM 80004C101 677 6910 SH SOLE 6910 0 0 Schlumberger Limited COM 806857108 260 3050 SH SOLE 3050 0 0 Seagate Technology Plc Com SHS G7945M107 1105 16623 SH SOLE 16623 0 0 Sigma Aldrich Corp COM 826552101 1318 9600 SH SOLE 9600 0 0 Smucker J M Co New COM 832696405 202 2000 SH SOLE 2000 0 0 SPDR Gold Tr Gold ETF GOLD SHS 78463V107 477 4200 SH SOLE 4200 0 0 SPDR S&P 500 Large Cap ETF TR UNIT 78462F103 585 2847 SH SOLE 2847 0 0 SPDR S&P 600 Small Cap ETF S&P 600 SML CAP 78464A813 240 2300 SH SOLE 2300 0 0 SPDR S&P Regional Bkg ETF S&P REGL BKG 78464A698 407 10000 SH SOLE 10000 0 0 SPDR Technology Sector ETF TECHNOLOGY 81369Y803 219 5300 SH SOLE 5300 0 0 Sunesis Pharmaceuticals Inc Com New COM NEW 867328601 28 11000 SH SOLE 11000 0 0 Thermo Fisher Scientific COM 883556102 814 6500 SH SOLE 6500 0 0 TJX Companies Inc COM 872540109 616 8979 SH SOLE 8979 0 0 Towers Watson & Co Com CL A 891894107 818 7230 SH SOLE 7230 0 0 Unitedhealth Group COM 91324P102 992 9815 SH SOLE 9815 0 0 Vanguard Consumer Sector ETF COMSUM STP ETF 92204A207 281 2242 SH SOLE 2242 0 0 Vanguard Emerging Mkts ETF FTSE EMR MKT ETF 922042858 835 20861 SH SOLE 20861 0 0 Vanguard Finance Sector ETF FINANCIALS ETF 92204A405 653 13139 SH SOLE 13139 0 0 Vanguard High Dividend Yld ETF - W HIGH DIV YLD 921946406 1213 17640 SH SOLE 17640 0 0 Vanguard Materials Sector ETF MATERIALS ETF 92204A801 444 4138 SH SOLE 4138 0 0 Verizon Communications COM 92343V104 236 5047 SH SOLE 5047 0 0 Vertex Pharmaceutcls Inc COM 92532F100 2778 23385 SH SOLE 23385 0 0 Wells Fargo & Co Newperp Pfd Conv C PERP PFD CNV A 949746804 546 450 SH SOLE 450 0 0 Western Digital Corp COM 958102105 332 3000 SH SOLE 3000 0 0 Williams Cos Inc COM 969457100 618 13750 SH SOLE 13750 0 0 Williams Partners LP COM UNIT L P 96950F104 2341 52310 SH SOLE 52310 0 0 Wisdomtree Europe Sm Cap Dvd ETF EUROPE SMCP DV 97717W869 2342 45500 SH SOLE 45500 0 0 Wisdomtree MidCap ETF MDCP EARN FUND 97717W570 2253 24320 SH SOLE 24320 0 0 Zoetis Inc Com Usd0.01 Cl A CL A 98978V103 409 9500 SH SOLE 9500 0 0