Chief Compliance Officer

0001599863-17-000008.txt : 20171113 0001599863-17-000008.hdr.sgml : 20171110 20171113142303 ACCESSION NUMBER: 0001599863-17-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171113 DATE AS OF CHANGE: 20171113 EFFECTIVENESS DATE: 20171113 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: 171195231 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 09-30-2017 09-30-2017 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 11-13-2017 0 150 273000 false INFORMATION TABLE 2 2017Q3-Form13f-NFC.xml 3m Company COM 88579Y101 424 2020 SH SOLE 424 0 0 Abbott Labs COM 002824100 226 4232 SH SOLE 226 0 0 Abbvie Inc COM 00287Y109 259 2920 SH SOLE 259 0 0 ALPS ETF TR Alerian MLP Index 00162Q866 192 17100 SH SOLE 192 0 0 Alibaba Group Hldg Ltd Sponsored Ads 01609W102 476 2755 SH SOLE 476 0 0 Allergan Inc SHS G0177J108 801 3906 SH SOLE 801 0 0 Alphabet Inc Cl A CAP STK CL A 02079K305 4331 4448 SH SOLE 4331 0 0 Alphabet Inc Cl C CAP STK CL C 02079K107 4355 4541 SH SOLE 4355 0 0 Altria Group Inc. COM 022095103 214 3375 SH SOLE 214 0 0 Amazon.Com Inc COM 023135106 5359 5574 SH SOLE 5359 0 0 Amgen Inc COM 031162100 881 4726 SH SOLE 881 0 0 Anadarko Pete Corp COM 032511107 810 16582 SH SOLE 810 0 0 Apache Corp COM 037411105 219 4783 SH SOLE 219 0 0 Apollo Invt Corp Com COM 03761U106 263 43000 SH SOLE 263 0 0 Apple Computer Inc COM 037833100 2240 14531 SH SOLE 2240 0 0 Ares Capital Corp COM 04010L103 393 24000 SH SOLE 393 0 0 Asterias Biotherapeutics Inc COM SER A 04624N107 2490 732265 SH SOLE 2490 0 0 AT&T Corp New COM 00206R102 429 10955 SH SOLE 429 0 0 Autodesk Inc COM 052769106 767 6830 SH SOLE 767 0 0 Automatic Data Processing Inc COM 053015103 1109 10148 SH SOLE 1109 0 0 Avangrid Inc COM 05351W103 1420 29936 SH SOLE 1420 0 0 Bank Of America Corp COM 060505104 510 20145 SH SOLE 510 0 0 BERKSHIRE HATHAWAY INC CL A 084670108 1099 4 SH SOLE 1099 0 0 Biocryst Pharmaceuticals Inc COM 09058V103 105 20000 SH SOLE 105 0 0 Biogen Idec Inc COM 09062X103 859 2743 SH SOLE 859 0 0 Blackrock Muni Hldgs Fd COM 09253N104 260 15000 SH SOLE 260 0 0 Blackrock Muni Yield Fund COM 09253W104 587 39000 SH SOLE 587 0 0 Blackstone Group LP COM 09253U108 1026 30758 SH SOLE 1026 0 0 Boeing Co COM 097023105 712 2800 SH SOLE 712 0 0 Brighthouse Financial COM 10922N103 474 7800 SH SOLE 474 0 0 Broadcom Ltd SHS Y09827109 804 3313 SH SOLE 804 0 0 Cerner Corp COM 156782104 742 10400 SH SOLE 742 0 0 Chevron Corp COM 166764100 6586 56050 SH SOLE 6586 0 0 Citrix Systems Inc COM 177376100 270 3516 SH SOLE 270 0 0 Clorox Co Del COM 189054109 475 3600 SH SOLE 475 0 0 Colgate-Palmolive Co COM 194162103 219 3000 SH SOLE 219 0 0 Comcast Corp CL A SPL 20030N101 1039 26996 SH SOLE 1039 0 0 Corning Inc COM 219350105 1438 48063 SH SOLE 1438 0 0 CREE INC. COM 225447101 368 13039 SH SOLE 368 0 0 CVS Health Corp COM 126650100 638 7849 SH SOLE 638 0 0 Deere & Company COM 244199105 1349 10742 SH SOLE 1349 0 0 Disney Walt Co COM 254687106 1257 12755 SH SOLE 1257 0 0 DOLBY LABORATORIES INC COM 25659T107 251 4369 SH SOLE 251 0 0 DowDuPont Inc COM 26078J100 485 7012 SH SOLE 485 0 0 Ecolab Inc COM 278865100 347 2700 SH SOLE 347 0 0 Enbridge Energy Partners LP COM 29250R106 291 18200 SH SOLE 291 0 0 Energy Transfer Partners LP UNIT LTD PARTN 29273R109 1250 68358 SH SOLE 1250 0 0 Enterprise Product Partners LP COM 293792107 3196 122600 SH SOLE 3196 0 0 Exxon Mobil Corp COM 30231G102 784 9566 SH SOLE 784 0 0 Facebook Inc Com COM 30303M102 294 1719 SH SOLE 294 0 0 First Trust EXCH TRADED FD DJ Internet IDX 33733E302 5983 58452 SH SOLE 5983 0 0 First Trust EXCH TRADED FD NASDAQ 100 EX 33733E401 1521 32500 SH SOLE 1521 0 0 Fluor Corp New COM 343412102 454 10788 SH SOLE 454 0 0 Freeport McMoran Copper & Gold CL B 35671D857 519 36958 SH SOLE 519 0 0 General Electric Co COM 369604103 472 19533 SH SOLE 472 0 0 Goldman Sachs Group Inc COM 38141G104 662 2789 SH SOLE 662 0 0 Golub Cap BDC Inc Com COM 38173M102 389 20690 SH SOLE 389 0 0 RYDEX ETF TRUST Gugg S&P500 Eq Wt 78355W833 2264 20157 SH SOLE 2264 0 0 Harris Corp Del COM 413875105 2430 18456 SH SOLE 2430 0 0 Illinois Tool Wks Inc COM 452308109 296 2000 SH SOLE 296 0 0 IMMUNOGEN INC. COM 45253H101 263 34315 SH SOLE 263 0 0 Intl Business Machines COM 459200101 364 2509 SH SOLE 364 0 0 Intl Flavors& Fragrances COM 459506101 3188 22305 SH SOLE 3188 0 0 Investors Bancorp Inc Com COM 46146L101 278 20400 SH SOLE 278 0 0 Ionis Pharmaceuticals Inc COM 462222100 391 7703 SH SOLE 391 0 0 ISHARES TR INTL SEL DIV ETF 464288448 247 7310 SH SOLE 247 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 263 2218 SH SOLE 263 0 0 ISHARES TR Russell 2000 ETF 464287655 305 2061 SH SOLE 305 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 757 8917 SH SOLE 757 0 0 ISHARES TR RUS 1000 ETF 464287622 204 1458 SH SOLE 204 0 0 ISHARES TR GLOBAL TECH ETF 464287291 227 1594 SH SOLE 227 0 0 ISHARES TR SELECT DIVID ETF 464287168 459 4900 SH SOLE 459 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 399 3189 SH SOLE 399 0 0 ISHARES TR MSCI EAFE ETF 464287465 289 4226 SH SOLE 289 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 2400 27921 SH SOLE 2400 0 0 Johnson & Johnson COM 478160104 3379 25988 SH SOLE 3379 0 0 Johnson Ctls Int'l PLC SHS G51502105 754 18720 SH SOLE 754 0 0 JP Morgan Chase & Co COM 46625H100 1450 15180 SH SOLE 1450 0 0 Kimberly Clark Corp COM 494368103 481 4088 SH SOLE 481 0 0 Kinder Morgan Inc COM 49456B101 263 13704 SH SOLE 263 0 0 Kinder Morgan Inc PFD A 49456B200 426 10000 SH SOLE 426 0 0 KKR & Co LP COM UNITS 48248M102 1052 51730 SH SOLE 1052 0 0 L3 Technologies Inc COM 502413107 624 3313 SH SOLE 624 0 0 Liberty Broadband Corp Com Cl C 530307305 327 3427 SH SOLE 327 0 0 Liberty Media Corp Com C SiriusXM 531229607 723 17269 SH SOLE 723 0 0 Lockheed Martin Corp COM 539830109 372 1200 SH SOLE 372 0 0 Magellan Midstream Partners LP COM UNIT RP LP 559080106 1279 18000 SH SOLE 1279 0 0 Mcdonalds Corp COM 580135101 486 3100 SH SOLE 486 0 0 Medtronic PLC SHS G5960L103 201 2585 SH SOLE 201 0 0 Merck & Co Inc COM 589331107 723 11289 SH SOLE 723 0 0 Metlife Inc Com COM 59156R108 4508 86784 SH SOLE 4508 0 0 Mettler-Toledo Intl COM 592688105 579 925 SH SOLE 579 0 0 Microsoft Corp COM 594918104 752 10100 SH SOLE 752 0 0 MPLX LP COM UNIT REP LTD 55336V100 1386 39592 SH SOLE 1386 0 0 National Oilwell Varco Inc COM 637071101 207 5799 SH SOLE 207 0 0 Nucor Corp COM 670346105 453 8081 SH SOLE 453 0 0 Nuveen Quality Muncp Inc Fd COM 67066V101 331 23355 SH SOLE 331 0 0 Omnicell Inc COM 68213N109 204 4000 SH SOLE 204 0 0 Orbital A T K Inc COM 68557N103 799 6000 SH SOLE 799 0 0 Pepsico Inc COM 713448108 1252 11233 SH SOLE 1252 0 0 Pfizer Inc COM 717081103 46862 1312660 SH SOLE 46862 0 0 Powershares ETF Tr DYN PHRMA PORT 73935X799 237 3625 SH SOLE 237 0 0 Powershares ETF Tr II PFD PORTFOLIO 73936T565 206 13730 SH SOLE 206 0 0 Powershs QQQ TRUST Ser ETF UNIT SER 0 73935A104 5106 35107 SH SOLE 5106 0 0 Procter & Gamble Co COM 742718109 824 9060 SH SOLE 824 0 0 Rexahn Pharmaceuticals Inc COM 761640200 36 15000 SH SOLE 36 0 0 Royal Dutch Shell ADR Cl B SPON ADR B 780259107 1929 30850 SH SOLE 1929 0 0 Ryanair Hldgs Plc Adr SPON ADR NE 783513104 308 2925 SH SOLE 308 0 0 Rydex ETF Trust Gug S&P 500 Eq WT 78355W106 239 2500 SH SOLE 239 0 0 Seagate Technology PLC COM G7945M107 700 21112 SH SOLE 700 0 0 Smucker J M Co New COM 832696405 210 2000 SH SOLE 210 0 0 SPDR Gold Tr Gold ETF GOLD SHS 78463V107 438 3600 SH SOLE 438 0 0 SPDR S&P 500 Large Cap ETF TR UNIT 78462F103 3006 11967 SH SOLE 3006 0 0 SPDR S&P 600 Small Cap ETF S&P 600 SML CAP 78464A813 7528 57869 SH SOLE 7528 0 0 SPDR Technology Sector ETF TECHNOLOGY 81369Y803 1365 23100 SH SOLE 1365 0 0 TE Connectivity LTD REG SHS H84989104 692 8329 SH SOLE 692 0 0 Terraform Power Inc Com Cl A Cl A Com 88104R100 132 10000 SH SOLE 132 0 0 Thermo Fisher Scientific COM 883556102 1041 5500 SH SOLE 1041 0 0 TJX Companies Inc COM 872540109 662 8979 SH SOLE 662 0 0 Twitter Inc Com COM 90184L102 505 29928 SH SOLE 505 0 0 Unitedhealth Group COM 91324P102 1070 5465 SH SOLE 1070 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 212 2591 SH SOLE 212 0 0 VANGUARD WORLD FUNDS COMSUM STP ETF 92204A207 331 2388 SH SOLE 331 0 0 VANGUARD INTL EQUITY INDEX FTSE EMR MKT ETF 922042858 487 11170 SH SOLE 487 0 0 VANGUARD WORLD FUNDS FINANCIALS ETF 92204A405 6492 99330 SH SOLE 6492 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 25577 192669 SH SOLE 25577 0 0 VANGUARD WHITEHALL FD HIGH DIV YLD 921946406 19660 242507 SH SOLE 19660 0 0 VANGUARD INTL EQUITY INDEX FDS ALLWRLD EX US 922042775 3220 61088 SH SOLE 3220 0 0 VANGUARD WHITEHALL FD INTL HIGH ETF 921946794 8132 123791 SH SOLE 8132 0 0 VANGUARD WORLD FUNDS MATERIALS ETF 92204A801 227 1765 SH SOLE 227 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 511 4200 SH SOLE 511 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 1058 10015 SH SOLE 1058 0 0 VANGUARD INDEX FDS REIT ETF 922908553 703 8465 SH SOLE 703 0 0 VANGUARD INDEX FDS S & P 500 ETF SHS 922908363 2287 9912 SH SOLE 2287 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 255 3185 SH SOLE 255 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 3985 31185 SH SOLE 3985 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 1166 12298 SH SOLE 1166 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 8825 68138 SH SOLE 8825 0 0 Vertex Pharmaceutcls Inc COM 92532F100 3645 23971 SH SOLE 3645 0 0 Visa Inc COM CL A 92826C839 222 2111 SH SOLE 222 0 0 Vulcan Materials Co COM 929160109 1606 13426 SH SOLE 1606 0 0 Walgreens Boots Allianc COM 931427108 285 3693 SH SOLE 285 0 0 Waste Management COM 94106L109 548 7000 SH SOLE 548 0 0 Western Digital Corp COM 958102105 508 5884 SH SOLE 508 0 0 Williams Cos Inc COM 969457100 263 8750 SH SOLE 263 0 0 Williams Partners LP COM UNIT LP 96950F104 708 18199 SH SOLE 708 0 0 Willis Towers Watson Pub Ltd SHS G96629103 564 3657 SH SOLE 564 0 0 Wisdomtree Tr EUROPE SMCP DV 97717W869 698 10050 SH SOLE 698 0 0 Wisdomtree Tr MDCP EARN FUND 97717W570 3715 99750 SH SOLE 3715 0 0 Zoetis Inc Com CL A 98978V103 606 9500 SH SOLE 606 0 0