0001599863-16-000017.txt : 20160812 0001599863-16-000017.hdr.sgml : 20160812 20160812132247 ACCESSION NUMBER: 0001599863-16-000017 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160812 DATE AS OF CHANGE: 20160812 EFFECTIVENESS DATE: 20160812 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: 161827450 BUSINESS ADDRESS: STREET 1: 518-B RIVERSIDE AVENUE 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 06-30-2016 06-30-2016 Northeast Financial Consultants Inc
PO BOX 2630 WESTPORT CT 06880
13F HOLDINGS REPORT 028-15844 N
Patrice S Reilly Chief Compliance Officer 2032268997 Patrice S Reilly Westport CT 08-12-2016 0 150 224808 false
INFORMATION TABLE 2 2016Q2-Form13f-NFC.xml 2016Q2 HOLDINGS 3m Company COM 88579Y101 266 1520 SH SOLE 1520 0 0 Alerian MLP Index ETN ALERIAN MLP 00162Q866 218 17100 SH SOLE 17100 0 0 Allergan Inc SHS G0177J108 568 2460 SH SOLE 2460 0 0 Alphabet Inc Cl A CAP STK CL A 02079K305 2722 3826 SH SOLE 3826 0 0 Alphabet Inc Cl C CAP STK CL C 02079K107 3220 4638 SH SOLE 4638 0 0 Altria Group Inc. COM 22095103 234 3400 SH SOLE 3400 0 0 Amazon.Com Inc COM 23135106 1237 1727 SH SOLE 1727 0 0 Amgen Inc COM 31162100 719 4726 SH SOLE 4726 0 0 Anadarko Pete Corp COM 32511107 662 12434 SH SOLE 12434 0 0 Apache Corp COM 37411105 266 4783 SH SOLE 4783 0 0 Apollo Invt Corp Com COM 03761U106 657 118500 SH SOLE 118500 0 0 Apple Computer Inc COM 37833100 1843 19276 SH SOLE 19276 0 0 Ares Capital Corp COM 04010L103 433 30500 SH SOLE 30500 0 0 Asterias Biotherapeutics Inc Com Ser A Com Ser A 04624N107 84 35026 SH SOLE 35026 0 0 AT&T Corp New COM 00206R102 418 9655 SH SOLE 9655 0 0 Autodesk Inc COM 52769106 370 6830 SH SOLE 6830 0 0 Automatic Data Processing Inc COM 53015103 583 6348 SH SOLE 6348 0 0 Bank Of America Corp COM 60505104 296 22287 SH SOLE 22287 0 0 BERKSHIRE HATHAWAY INCORPORATED CLASS A CL A 84670108 868 4 SH SOLE 4 0 0 Biocryst Pharmaceuticals Inc COM 09058V103 57 20000 SH SOLE 20000 0 0 Biogen Idec Inc COM 09062X103 615 2543 SH SOLE 2543 0 0 Blackrock Muni Hldgs Fd COM 09253N104 284 15000 SH SOLE 15000 0 0 Blackrock Muni Yield NY Qlty COM 09255E102 273 19000 SH SOLE 19000 0 0 Blackrock Muni Yield Fund COM 09253W104 628 39000 SH SOLE 39000 0 0 Blackstone Group LP COM 09253U108 586 23875 SH SOLE 23875 0 0 Boeing Co COM 097023105 364 2800 SH SOLE 2800 0 0 Broadcom Ltd SHS Y09827109 515 3313 SH SOLE 3313 0 0 Cerner Corp COM 156782104 609 10400 SH SOLE 10400 0 0 Cerulean Pharma Inc COM 15708Q105 42 20000 SH SOLE 20000 0 0 Chesapeake Energy Corporation COM 165167107 125 29250 SH SOLE 29250 0 0 Chevron Corp COM 166764100 6507 62074 SH SOLE 62074 0 0 Chubb Ltd COM H1467J104 321 2454 SH SOLE 2454 0 0 Citrix Systems Inc COM 177376100 282 3516 SH SOLE 3516 0 0 Comcast Corp CL A SPL 20030N101 880 13498 SH SOLE 13498 0 0 Corning Inc COM 219350105 984 48063 SH SOLE 48063 0 0 CREE INC. COM 225447101 319 13039 SH SOLE 13039 0 0 CVS Health Corp COM 126650100 479 5000 SH SOLE 5000 0 0 Deere & Company COM 244199105 830 10242 SH SOLE 10242 0 0 Disney Walt Co COM 254687106 1346 13755 SH SOLE 13755 0 0 DOLBY LABORATORIES INC.-CLASS A COM 25659T107 209 4369 SH SOLE 4369 0 0 Ecolab Inc COM 278865100 498 4200 SH SOLE 4200 0 0 Enbridge Energy Partners LP COM 29250R106 657 28300 SH SOLE 28300 0 0 Energy Transfer Partners LP UNIT LTD PARTN 29273R109 1327 34850 SH SOLE 34850 0 0 Enterprise Product Partners LP COM 293792107 3786 129563 SH SOLE 129563 0 0 Exxon Mobil Corp COM 30231G102 5177 55302 SH SOLE 55302 0 0 F M C Corp New COM 302491303 1473 31800 SH SOLE 31800 0 0 Fifth Street Finance Cp COM 31678A103 159 32700 SH SOLE 32700 0 0 First Trust Nasdaq 100 Ex-Tech Sector NASDAQ 100 EX 33733E401 1145 29500 SH SOLE 29500 0 0 Fluor Corp New COM 343412102 331 6711 SH SOLE 6711 0 0 Freeport McMoran Copper & Gold Cl B CL B 35671D857 255 22894 SH SOLE 22894 0 0 General Electric Co COM 369604103 1925 61171 SH SOLE 61171 0 0 Goldman Sachs Group Inc COM 38141G104 213 1430 SH SOLE 1430 0 0 Claymore Exchange Trd Fd Tr GUGGENHEIM SPINOFF ETF 18383M605 485 12300 SH SOLE 12300 0 0 Harris Corp Del COM 413875105 1540 18456 SH SOLE 18456 0 0 Home Depot Inc COM 437076102 830 6500 SH SOLE 6500 0 0 Honeywell Intl Inc COM 438516106 233 2000 SH SOLE 2000 0 0 Illinois Tool Wks Inc COM 452308109 208 2000 SH SOLE 2000 0 0 IMMUNOGEN INC. COM 45253H101 106 34315 SH SOLE 34315 0 0 Intl Business Machines COM 459200101 381 2509 SH SOLE 2509 0 0 Intl Flavors& Fragrances COM 459506101 5931 47045 SH SOLE 47045 0 0 Investors Bancorp Inc Com COM 46146L101 226 20400 SH SOLE 20400 0 0 ISHARES TR INTL SEL DIV ETF 464288448 1489 51998 SH SOLE 51998 0 0 ISHARES TR NASDQ BIOTEC ETF 464287556 930 3615 SH SOLE 3615 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 496 4243 SH SOLE 4243 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 1522 9049 SH SOLE 9049 0 0 ISHARES TR GLOBAL ENERG ETF 464287341 464 14350 SH SOLE 14350 0 0 ISHARES TR SELECT DIVID ETF 464287168 418 4900 SH SOLE 4900 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 221 2204 SH SOLE 2204 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 2033 24748 SH SOLE 24748 0 0 Johnson & Johnson COM 478160104 1819 14992 SH SOLE 14992 0 0 JP Morgan Alerian MLP Index ALERIAN ML ETN 46625H365 286 9000 SH SOLE 9000 0 0 JP Morgan Chase & Co COM 46625H100 990 15928 SH SOLE 15928 0 0 Keryx Biopharmaceuticals Inc COM 492515101 305 46100 SH SOLE 46100 0 0 Kimberly Clark Corp COM 494368103 507 3688 SH SOLE 3688 0 0 Kinder Morgan Inc COM 49456B101 2434 130003 SH SOLE 130003 0 0 Kinder Morgan Pfd 9.75% Ser A 10 PFD A 49456B200 488 10000 SH SOLE 10000 0 0 KKR & Co LP COM UNITS 48248M102 670 54300 SH SOLE 54300 0 0 L-3 Communications Hldgs Inc COM 502424104 486 3313 SH SOLE 3313 0 0 Liberty Broadband Corp Com Cl C COM SER C 530307305 206 3427 SH SOLE 3427 0 0 Liberty Media Corp Com C SiriusXM COM SER C SIRIUSXM 531229607 536 17269 SH SOLE 17269 0 0 Magellan Midstream Partners LP COM UNIT RP LP 559080106 1535 20200 SH SOLE 20200 0 0 Marathon Oil Corp COM 565849106 320 21340 SH SOLE 21340 0 0 Martin Marietta Matrls COM 573284106 384 2000 SH SOLE 2000 0 0 Medley Capital Corp COM 58503F106 167 25000 SH SOLE 25000 0 0 Merck & Co Inc COM 589331107 236 4105 SH SOLE 4105 0 0 Metlife Inc Com COM 59156R108 3771 94648 SH SOLE 94648 0 0 Mettler-Toledo Intl COM 592688105 338 925 SH SOLE 925 0 0 Microsoft Corp COM 594918104 446 8700 SH SOLE 8700 0 0 MPLX LP COM UNIT REP LTD 55336V100 545 16279 SH SOLE 16279 0 0 Novartis AG ADR SPONSORED ADR 66987V109 206 2500 SH SOLE 2500 0 0 Nucor Corp COM 670346105 399 8081 SH SOLE 8081 0 0 Nuveen Invt Quality Municipal Fund Inc COM 67062E103 480 28700 SH SOLE 28700 0 0 Orbital A T K Inc COM 68557N103 511 6000 SH SOLE 6000 0 0 Pepsico Inc COM 713448108 1084 10233 SH SOLE 10233 0 0 Pfizer Inc COM 717081103 60101 1508348 SH SOLE 1508348 0 0 Phillips 66 Com COM 718546104 945 11925 SH SOLE 11925 0 0 Plains All American Pipeline LP UNIT LTD PARTN 726503105 658 23950 SH SOLE 23950 0 0 Powershares Buyback Shares ETF DYNA BUYBK ACH 73935X286 750 16600 SH SOLE 16600 0 0 Powershares Pharma ETF DYN PHRMA PORT 73935X799 8907 140420 SH SOLE 140420 0 0 Powershs QQQ TRUST Ser ETF UNIT SER 0 73935A104 3584 33326 SH SOLE 33326 0 0 Procter & Gamble Co COM 742718109 928 10962 SH SOLE 10962 0 0 Rexahn Pharmaceuticals Inc COM 761640101 38 150000 SH SOLE 150000 0 0 Royal Dutch Shell ADR Cl B SPON ADR B 780259107 1669 29825 SH SOLE 29825 0 0 Ryanair Hldgs Plc Adr SPON ADR NE 783513104 203 2925 SH SOLE 2925 0 0 Rydex ETF GUG S&P500 EQ WT 78355W106 201 2500 SH SOLE 2500 0 0 Seagate Technology PLC COM G7945M107 514 21112 SH SOLE 21112 0 0 Smucker J M Co New COM 832696405 305 2000 SH SOLE 2000 0 0 Select Sector Spdr Tr SBI INT ENERGY 81369Y506 341 5000 SH SOLE 5000 0 0 SPDR Gold Tr Gold ETF GOLD SHS 78463V107 531 4200 SH SOLE 4200 0 0 SPDR S&P 500 Large Cap ETF TR UNIT 78462F103 7810 37284 SH SOLE 37284 0 0 SPDR S&P 600 Small Cap ETF S&P 600 SML CAP 78464A813 802 7679 SH SOLE 7679 0 0 SPDR Technology Sector ETF TECHNOLOGY 81369Y803 269 6207 SH SOLE 6207 0 0 Sunesis Pharmaceuticals Inc Com New COM NEW 867328601 13 21500 SH SOLE 21500 0 0 Sunoco Logistics Partners LP COM UNITS 86764L108 331 11500 SH SOLE 11500 0 0 SYNCHRONY FINL COM COM 87165B103 217 8600 SH SOLE 8600 0 0 TE Connectivity LTD REG SHS H84989104 476 8329 SH SOLE 8329 0 0 Thermo Fisher Scientific COM 883556102 813 5500 SH SOLE 5500 0 0 TJX Companies Inc COM 872540109 693 8979 SH SOLE 8979 0 0 Twitter Inc Com COM 90184L102 383 22639 SH SOLE 22639 0 0 Tyco Intl Ltd New SHS G91442106 660 15497 SH SOLE 15497 0 0 Unitedhealth Group COM 91324P102 729 5164 SH SOLE 5164 0 0 US Bancorp Del COM NEW 902973304 279 6930 SH SOLE 6930 0 0 Vanguard Bond Index Fund TOTAL BND MRKT 921937835 380 4503 SH SOLE 4503 0 0 VANGUARD WORLD FDS COMSUM STP ETF 92204A207 328 2326 SH SOLE 2326 0 0 VANGUARD INTL EQUITY INDEX FTSE EMR MKT ETF 922042858 395 11200 SH SOLE 11200 0 0 VANGUARD WORLD FUNDS ENERGY ETF 92204A306 323 3400 SH SOLE 3400 0 0 Vanguard Growth Index ETF GROWTH ETF 922908736 1403 13092 SH SOLE 13092 0 0 VANGUARD WHITEHALL FD HIGH DIV YLD 921946406 9119 127606 SH SOLE 127606 0 0 Vanguard Intl Equity Index FTSE ALLWRLD EX US 922042775 396 9253 SH SOLE 9253 0 0 VANGUARD WORLD FUNDS MATERIALS ETF 92204A801 242 2365 SH SOLE 2365 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 456 4475 SH SOLE 4475 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 1132 12705 SH SOLE 12705 0 0 VANGUARD INDEX FDS REIT ETF 922908553 1819 20512 SH SOLE 20512 0 0 VANGUARD INDEX FDS S & P 500 ETF SHS 922908363 1873 9745 SH SOLE 9745 0 0 Vanguard Scottsdale Fds SHRT TRM CORP GD 92206C409 251 3100 SH SOLE 3100 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 3223 30605 SH SOLE 30605 0 0 VANGUARD STAR FD VG TL INTL STK F 921909768 205 4600 SH SOLE 4600 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 7758 72395 SH SOLE 72395 0 0 Verizon Communications COM 92343V104 338 6047 SH SOLE 6047 0 0 Vertex Pharmaceutcls Inc COM 92532F100 1995 23192 SH SOLE 23192 0 0 Waste Management COM 94106L109 331 5000 SH SOLE 5000 0 0 Wells Fargo & Co New COM 949746101 1293 27322 SH SOLE 27322 0 0 Wells Fargo Perp Pfd Cnv A (Pfd L) PERP PFD CNV A 949746804 695 535 SH SOLE 535 0 0 Western Digital Corp COM 958102105 244 5159 SH SOLE 5159 0 0 Williams Cos Inc COM 969457100 351 16250 SH SOLE 16250 0 0 Williams Partners LP COM UNIT LP 96950F104 783 22617 SH SOLE 22617 0 0 Willis Towers Watson Pub Ltd SHS G96629103 790 6358 SH SOLE 6358 0 0 Wisdomtree Europe Sm Cap Dvd ETF EUROPE SMCP DV 97717W869 2209 43295 SH SOLE 43295 0 0 Wisdomtree MidCap ETF MDCP EARN FUND 97717W570 7348 80487 SH SOLE 80487 0 0 Zoetis Inc Com CL A 98978V103 451 9500 SH SOLE 9500 0 0