Chief Compliance Officer

0001599863-17-000002.txt : 20170123 0001599863-17-000002.hdr.sgml : 20170123 20170123170207 ACCESSION NUMBER: 0001599863-17-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170123 DATE AS OF CHANGE: 20170123 EFFECTIVENESS DATE: 20170123 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: 17541576 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 12-31-2016 12-31-2016 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 01-23-2017 0 144 223894 false INFORMATION TABLE 2 2016Q4-Form13f-NFC.xml 3m Company COM 88579Y101 361 2020 SH SOLE 2020 0 0 Allergan Inc SHS G0177J108 547 2606 SH SOLE 2606 0 0 Alphabet Inc Cl A CAP STK CL A 02079K305 3012 3801 SH SOLE 3801 0 0 Alphabet Inc Cl C CAP STK CL C 02079K107 3560 4613 SH SOLE 4613 0 0 Altria Group Inc. COM 022095103 241 3566 SH SOLE 3566 0 0 Amazon.Com Inc COM 023135106 3500 4667 SH SOLE 4667 0 0 Amgen Inc COM 031162100 691 4726 SH SOLE 4726 0 0 Anadarko Pete Corp COM 032511107 907 13012 SH SOLE 13012 0 0 Apache Corp COM 037411105 304 4783 SH SOLE 4783 0 0 Apollo Invt Corp Com COM 03761U106 694 118500 SH SOLE 118500 0 0 Apple Computer Inc COM 037833100 2353 20319 SH SOLE 20319 0 0 Ares Capital Corp COM 04010L103 396 24000 SH SOLE 24000 0 0 Asterias Biotherapeutics Inc Com Ser A COM SER A 04624N107 3368 732265 SH SOLE 732265 0 0 AT&T Corp New COM 00206R102 424 9967 SH SOLE 9967 0 0 Autodesk Inc COM 052769106 505 6830 SH SOLE 6830 0 0 Automatic Data Processing Inc COM 053015103 1064 10348 SH SOLE 10348 0 0 Avangrid Inc COM 05351W103 1134 29936 SH SOLE 29936 0 0 Bank Of America Corp COM 060505104 273 12332 SH SOLE 12332 0 0 BERKSHIRE HATHAWAY INCORPORATED CLASS A CL A 084670108 976 4 SH SOLE 4 0 0 Biocryst Pharmaceuticals Inc COM 09058V103 127 20000 SH SOLE 20000 0 0 Biogen Idec Inc COM 09062X103 785 2767 SH SOLE 2767 0 0 Blackrock Muni Hldgs Fd COM 09253N104 243 15000 SH SOLE 15000 0 0 Blackrock Muni Yield NY Qlty COM 09255E102 241 19000 SH SOLE 19000 0 0 Blackrock Muni Yield Fund COM 09253W104 551 39000 SH SOLE 39000 0 0 Blackstone Group LP COM 09253U108 669 24758 SH SOLE 24758 0 0 Boeing Co COM 097023105 436 2800 SH SOLE 2800 0 0 Bristol Myers Squibb COM 110122108 407 6973 SH SOLE 6973 0 0 Broadcom Ltd SHS Y09827109 586 3313 SH SOLE 3313 0 0 Cerner Corp COM 156782104 493 10400 SH SOLE 10400 0 0 Cerulean Pharma Inc COM 15708Q105 14 20000 SH SOLE 20000 0 0 Chevron Corp COM 166764100 7094 60274 SH SOLE 60274 0 0 Citrix Systems Inc COM 177376100 314 3516 SH SOLE 3516 0 0 Comcast Corp CL A SPL 20030N101 932 13498 SH SOLE 13498 0 0 Contrafect Corp COM 212326102 29 16667 SH SOLE 16667 0 0 Contrafect Corp W Exp 01/31/2017 212326110 1 16667 SH SOLE 16667 0 0 Corning Inc COM 219350105 1166 48063 SH SOLE 48063 0 0 CREE INC. COM 225447101 344 13039 SH SOLE 13039 0 0 CVS Health Corp COM 126650100 718 9100 SH SOLE 9100 0 0 Deere & Company COM 244199105 1055 10242 SH SOLE 10242 0 0 Disney Walt Co COM 254687106 1434 13755 SH SOLE 13755 0 0 Dow Chemical Co COM 260543103 328 5730 SH SOLE 5730 0 0 Ecolab Inc COM 278865100 434 3700 SH SOLE 3700 0 0 Enbridge Energy Partners LP COM 29250R106 601 23600 SH SOLE 23600 0 0 Energy Transfer Partners LP UNIT LTD PARTN 29273R109 1545 43150 SH SOLE 43150 0 0 Enterprise Product Partners LP COM 293792107 1658 135280 SH SOLE 135280 0 0 Exxon Mobil Corp COM 30231G102 2760 30578 SH SOLE 30578 0 0 First Trust Nasdaq 100 Ex-Tech Sector NASDAQ 100 EX 33733E401 1313 32500 SH SOLE 32500 0 0 Fluor Corp New COM 343412102 352 6711 SH SOLE 6711 0 0 Freeport McMoran Copper & Gold Cl B CL B 35671D857 487 36958 SH SOLE 36958 0 0 General Electric Co COM 369604103 1602 50692 SH SOLE 50692 0 0 Goldman Sachs Group Inc COM 38141G104 666 2780 SH SOLE 2780 0 0 Golub Cap BDC Inc Com COM 38173M102 246 13390 SH SOLE 13390 0 0 Harris Corp Del COM 413875105 1891 18456 SH SOLE 18456 0 0 Home Depot Inc COM 437076102 872 6500 SH SOLE 6500 0 0 Honeywell Intl Inc COM 438516106 232 2000 SH SOLE 2000 0 0 Illinois Tool Wks Inc COM 452308109 245 2000 SH SOLE 2000 0 0 IMMUNOGEN INC. COM 45253H101 70 34315 SH SOLE 34315 0 0 Intl Business Machines COM 459200101 416 2509 SH SOLE 2509 0 0 Intl Flavors& Fragrances COM 459506101 3076 26105 SH SOLE 26105 0 0 Investors Bancorp Inc Com COM 46146L101 285 20400 SH SOLE 20400 0 0 Ionis Pharmaceuticals Inc COM 462222100 368 7703 SH SOLE 7703 0 0 ISHARES TR INTL SEL DIV ETF 464288448 417 14100 SH SOLE 14100 0 0 ISHARES TR NASDQ BIOTEC ETF 464287556 358 1350 SH SOLE 1350 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 707 8795 SH SOLE 8795 0 0 ISHARES TR GLOBAL ENERG ETF 464287341 209 6000 SH SOLE 6000 0 0 ISHARES TR SELECT DIVID ETF 464287168 434 4900 SH SOLE 4900 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 231 2204 SH SOLE 2204 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 2205 26814 SH SOLE 26814 0 0 Johnson & Johnson COM 478160104 2622 22756 SH SOLE 22756 0 0 Johnson Ctls Int'l PLC SHS G51502105 610 14799 SH SOLE 14799 0 0 JP Morgan Chase & Co COM 46625H100 1303 15100 SH SOLE 15100 0 0 Keryx Biopharmaceuticals Inc COM 492515101 270 46100 SH SOLE 46100 0 0 Kimberly Clark Corp COM 494368103 467 4088 SH SOLE 4088 0 0 Kinder Morgan Inc COM 49456B101 1567 76100 SH SOLE 76100 0 0 Kinder Morgan Inc PFD A 49456B200 486 10000 SH SOLE 10000 0 0 KKR & Co LP COM UNITS 48248M102 812 52730 SH SOLE 52730 0 0 L-3 Communications Hldgs Inc COM 502424104 504 3313 SH SOLE 3313 0 0 Liberty Broadband Corp Com Cl C 530307305 254 3427 SH SOLE 3427 0 0 Liberty Media Corp Com C SiriusXM 531229607 586 17269 SH SOLE 17269 0 0 Magellan Midstream Partners LP COM UNIT RP LP 559080106 1528 20200 SH SOLE 20200 0 0 Martin Marietta Matrls COM 573284106 443 2000 SH SOLE 2000 0 0 Merck & Co Inc COM 589331107 206 3505 SH SOLE 3505 0 0 Metlife Inc Com COM 59156R108 4828 89584 SH SOLE 89584 0 0 Mettler-Toledo Intl COM 592688105 387 925 SH SOLE 925 0 0 Microsoft Corp COM 594918104 534 8600 SH SOLE 8600 0 0 MPLX LP COM UNIT REP LTD 55336V100 469 13554 SH SOLE 13554 0 0 Nucor Corp COM 670346105 481 8081 SH SOLE 8081 0 0 Nuveen Quality Muncp Inc Fd COM 67066V101 326 23355 SH SOLE 23355 0 0 Orbital A T K Inc COM 68557N103 526 6000 SH SOLE 6000 0 0 Pepsico Inc COM 713448108 1175 11233 SH SOLE 11233 0 0 Pfizer Inc COM 717081103 50250 1547113 SH SOLE 1547113 0 0 Phillips 66 Com COM 718546104 1026 11875 SH SOLE 11875 0 0 Powershares ETF Tr DYNA BUYBK ACH 73935X286 227 4500 SH SOLE 4500 0 0 Powershares ETF Tr DYN PHRMA PORT 73935X799 1679 29975 SH SOLE 29975 0 0 Powershares ETF Tr II PFD PORTFOLIO 73936T565 195 13730 SH SOLE 13730 0 0 Powershs QQQ TRUST Ser ETF UNIT SER 0 73935A104 4009 33839 SH SOLE 33839 0 0 Procter & Gamble Co COM 742718109 1058 12582 SH SOLE 12582 0 0 Rexahn Pharmaceuticals Inc COM 761640101 21 150000 SH SOLE 150000 0 0 Royal Dutch Shell ADR Cl B SPON ADR B 780259107 1877 32375 SH SOLE 32375 0 0 Ryanair Hldgs Plc Adr SPON ADR NE 783513104 244 2925 SH SOLE 2925 0 0 Rydex ETF Trust Gug S&P 500 Eq WT 78355W106 217 2500 SH SOLE 2500 0 0 Seagate Technology PLC COM G7945M107 806 21112 SH SOLE 21112 0 0 Smucker J M Co New COM 832696405 256 2000 SH SOLE 2000 0 0 SELECT SECTOR SPDR TR SBI INT ENERGY 81369Y506 377 5000 SH SOLE 5000 0 0 SPDR Gold Tr Gold ETF GOLD SHS 78463V107 460 4200 SH SOLE 4200 0 0 SPDR S&P 500 Large Cap ETF TR UNIT 78462F103 1166 5218 SH SOLE 5218 0 0 SPDR S&P 600 Small Cap ETF S&P 600 SML CAP 78464A813 3344 27675 SH SOLE 27675 0 0 SPDR Technology Sector ETF TECHNOLOGY 81369Y803 666 13782 SH SOLE 13782 0 0 Sunoco Logistics Partners LP COM UNITS 86764L108 476 19833 SH SOLE 19833 0 0 TE Connectivity LTD REG SHS H84989104 577 8329 SH SOLE 8329 0 0 Thermo Fisher Scientific COM 883556102 776 5500 SH SOLE 5500 0 0 TJX Companies Inc COM 872540109 675 8979 SH SOLE 8979 0 0 Twitter Inc Com COM 90184L102 369 22639 SH SOLE 22639 0 0 Unitedhealth Group COM 91324P102 875 5465 SH SOLE 5465 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 491 6074 SH SOLE 6074 0 0 VANGUARD WORLD FUNDS COMSUM STP ETF 92204A207 316 2357 SH SOLE 2357 0 0 VANGUARD INTL EQUITY INDEX FTSE EMR MKT ETF 922042858 383 10700 SH SOLE 10700 0 0 VANGUARD WORLD FUNDS ENERGY ETF 92204A306 262 2500 SH SOLE 2500 0 0 VANGUARD WORLD FUNDS FINANCIALS ETF 92204A405 1213 20434 SH SOLE 20434 0 0 VANGUARD INDEX FDS GRWTH ETF 922908736 16430 147382 SH SOLE 147382 0 0 VANGUARD WHITEHALL FD HIGH DIV YLD 921946406 15637 206371 SH SOLE 206371 0 0 VANGUARD INTL EQUITY INDEX FDS ALLWRLD EX US 922042775 484 10963 SH SOLE 10963 0 0 VANGUARD WHITEHALL FD INTL HIGH ETF 921946794 350 6187 SH SOLE 6187 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 473 4475 SH SOLE 4475 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 1073 11038 SH SOLE 11038 0 0 VANGUARD INDEX FDS REIT ETF 922908553 2302 27898 SH SOLE 27898 0 0 VANGUARD INDEX FDS S & P 500 ETF SHS 922908363 2011 9795 SH SOLE 9795 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 249 3139 SH SOLE 3139 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 3773 31185 SH SOLE 31185 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 783 9190 SH SOLE 9190 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 7804 67675 SH SOLE 67675 0 0 Verizon Communications COM 92343V104 256 4800 SH SOLE 4800 0 0 Vertex Pharmaceutcls Inc COM 92532F100 1766 23971 SH SOLE 23971 0 0 Vulcan Materials Co COM 929160109 1651 13194 SH SOLE 13194 0 0 Walgreens Boots Allianc COM 931427108 306 3693 SH SOLE 3693 0 0 Waste Management COM 94106L109 496 7000 SH SOLE 7000 0 0 Wells Fargo & Co New COM 949746101 287 5200 SH SOLE 5200 0 0 Western Digital Corp COM 958102105 400 5884 SH SOLE 5884 0 0 Williams Cos Inc COM 969457100 350 11250 SH SOLE 11250 0 0 Williams Partners LP COM UNIT LP 96950F104 811 21318 SH SOLE 21318 0 0 Willis Towers Watson Pub Ltd SHS G96629103 777 6358 SH SOLE 6358 0 0 Wisdomtree Europe Sm Cap Dvd ETF EUROPE SMCP DV 97717W869 716 13100 SH SOLE 13100 0 0 Wisdomtree MidCap ETF MDCP EARN FUND 97717W570 3568 34750 SH SOLE 34750 0 0 Zoetis Inc Com CL A 98978V103 509 9500 SH SOLE 9500 0 0