Chief Compliance Officer

0001599863-20-000002.txt : 20200214 0001599863-20-000002.hdr.sgml : 20200214 20200213181707 ACCESSION NUMBER: 0001599863-20-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200214 DATE AS OF CHANGE: 20200213 EFFECTIVENESS DATE: 20200214 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: 20612647 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 false false 0001599863 XXXXXXXX 12-31-2019 12-31-2019 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 02-13-2020 0 304 1119187 false INFORMATION TABLE 2 2019Q4-Form13f-NFC.xml 2019Q4-NFC-13F 3M CO COM 88579Y101 380 2152 SH SOLE 0 0 2152 ABBOTT LABS COM 002824100 814 9372 SH SOLE 0 0 9372 ABBVIE INC COM 00287Y109 1017 11488 SH SOLE 0 0 11488 ABIOMED INC COM 003654100 341 2000 SH SOLE 0 0 2000 ADESTO TECHNOLOGIES CORP COM 00687D101 578 68000 SH SOLE 0 0 68000 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 2101 9903 SH SOLE 0 0 9903 ALLERGAN PLC SHS G0177J108 1173 6135 SH SOLE 0 0 6135 ALLIANCEBERNSTEIN HOLDING LP UNIT LTD PARTN 01881G106 377 12466 SH SOLE 0 0 12466 ALLISON TRANSMISSION HLDGS I COM 01973R101 5974 123636 SH SOLE 0 0 123636 ALLSTATE CORP COM 020002101 580 5155 SH SOLE 0 0 5155 ALPHABET INC CAP STK CL A 02079K305 10192 7609 SH SOLE 0 0 7609 ALPHABET INC CAP STK CL C 02079K107 8696 6504 SH SOLE 0 0 6504 ALTRIA GROUP INC COM 02209S103 1987 39809 SH SOLE 0 0 39809 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ISHARES TR MSCI AC ASIA ETF 464288182 904 12300 SH SOLE 0 0 12300 ISHARES TR S&P 500 GRWT ETF 464287309 1748 9029 SH SOLE 0 0 9029 ISHARES TR MSCI EAFE ETF 464287465 587 8447 SH SOLE 0 0 8447 ISHARES TR FLTG RATE NT ETF 46429B655 422 8284 SH SOLE 0 0 8284 ISHARES TR RUS 1000 VAL ETF 464287598 1102 8075 SH SOLE 0 0 8075 ISHARES TR RUS MID CAP ETF 464287499 481 8061 SH SOLE 0 0 8061 ISHARES TR GLOBAL ENERG ETF 464287341 244 7900 SH SOLE 0 0 7900 ISHARES TR MSCI EMG MKT ETF 464287234 351 7818 SH SOLE 0 0 7818 ISHARES TR RUS 1000 GRW ETF 464287614 1325 7531 SH SOLE 0 0 7531 ISHARES TR MSCI UK ETF NEW 46435G334 256 7500 SH SOLE 0 0 7500 ISHARES TR GLB INFRASTR ETF 464288372 341 7120 SH SOLE 0 0 7120 ISHARES TR SELECT DIVID ETF 464287168 587 5560 SH SOLE 0 0 5560 ISHARES TR NASDAQ BIOTECH 464287556 449 3725 SH SOLE 0 0 3725 ISHARES TR U.S. MED DVC ETF 464288810 957 3619 SH SOLE 0 0 3619 ISHARES TR RUS 2000 VAL ETF 464287630 410 3191 SH SOLE 0 0 3191 ISHARES TR MSCI ACWI ETF 464288257 217 2737 SH SOLE 0 0 2737 ISHARES TR CORE S&P MCP ETF 464287507 562 2730 SH SOLE 0 0 2730 ISHARES TR GLOBAL TECH ETF 464287291 426 2026 SH SOLE 0 0 2026 ISHARES TR S&P SML 600 GWT 464287887 373 1930 SH SOLE 0 0 1930 ISHARES TR CORE S&P500 ETF 464287200 556 1721 SH SOLE 0 0 1721 ISHARES TR U.S. PHARMA ETF 464288836 221 1380 SH SOLE 0 0 1380 ISHARES TR U.S. TECH ETF 464287721 276 1186 SH SOLE 0 0 1186 ISHARES TR RUS 1000 ETF 464287622 208 1163 SH SOLE 0 0 1163 ISHARES TR S&P MC 400GR ETF 464287606 249 1044 SH SOLE 0 0 1044 JOHNSON & JOHNSON COM 478160104 5350 36674 SH SOLE 0 0 36674 JOHNSON CTLS INTL PLC SHS G51502105 755 18552 SH SOLE 0 0 18552 JPMORGAN CHASE & CO COM 46625H100 29834 214014 SH SOLE 0 0 214014 KIMBERLY CLARK CORP COM 494368103 1030 7488 SH SOLE 0 0 7488 KINDER MORGAN INC DEL COM 49456B101 649 30662 SH SOLE 0 0 30662 KKR & CO INC CL A 48251W104 4152 142350 SH SOLE 0 0 142350 KRAFT HEINZ CO COM 500754106 203 6320 SH SOLE 0 0 6320 L3HARRIS TECHNOLOGIES INC COM 502431109 3848 19449 SH SOLE 0 0 19449 LIBERTY BROADBAND CORP COM SER C 530307305 10056 79970 SH SOLE 0 0 79970 LIBERTY BROADBAND CORP COM SER A 530307107 281 2256 SH SOLE 0 0 2256 LIBERTY GLOBAL PLC SHS CL C G5480U120 227 10401 SH SOLE 0 0 10401 LIBERTY MEDIA CORP DELAWARE COM C SIRIUSXM 531229607 672 13969 SH SOLE 0 0 13969 LIBERTY MEDIA CORP DELAWARE COM SER C FRMLA 531229854 318 6912 SH SOLE 0 0 6912 LIBERTY MEDIA CORP DELAWARE COM A SIRIUSXM 531229409 321 6648 SH SOLE 0 0 6648 LIGAND PHARMACEUTICALS INC COM NEW 53220K504 200 1915 SH SOLE 0 0 1915 LILLY ELI & CO COM 532457108 4520 34388 SH SOLE 0 0 34388 LINEAGE CELL THERAPEUTICS IN COM 53566P109 466 523756 SH SOLE 0 0 523756 LIVENT CORP COM 53814L108 209 24401 SH SOLE 0 0 24401 LOCKHEED MARTIN CORP COM 539830109 1306 3353 SH SOLE 0 0 3353 MACROGENICS INC COM 556099109 109 10000 SH SOLE 0 0 10000 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 3998 63594 SH SOLE 0 0 63594 MARRIOTT INTL INC NEW CL A 571903202 202 1337 SH SOLE 0 0 1337 MASTERCARD INC CL A 57636Q104 1708 5721 SH SOLE 0 0 5721 MCDONALDS CORP COM 580135101 2881 14579 SH SOLE 0 0 14579 MEDTRONIC PLC SHS G5960L103 325 2861 SH SOLE 0 0 2861 MERCK & CO INC COM 58933Y105 10454 114939 SH SOLE 0 0 114939 METLIFE INC COM 59156R108 6924 135839 SH SOLE 0 0 135839 METTLER TOLEDO INTERNATIONAL COM 592688105 1942 2448 SH SOLE 0 0 2448 MGM RESORTS INTERNATIONAL COM 552953101 424 12750 SH SOLE 0 0 12750 MICROSOFT CORP COM 594918104 13222 83841 SH SOLE 0 0 83841 MONDELEZ INTL INC CL A 609207105 1487 26996 SH SOLE 0 0 26996 MPLX LP COM UNIT REP LTD 55336V100 10290 404158 SH SOLE 0 0 404158 NEOLEUKIN THERAPEUTICS INC COM 64049K104 185 15000 SH SOLE 0 0 15000 NETFLIX INC COM 64110L106 606 1874 SH SOLE 0 0 1874 NIKE INC CL B 654106103 966 9531 SH SOLE 0 0 9531 NOBLE ENERGY INC COM 655044105 240 9677 SH SOLE 0 0 9677 NOBLE MIDSTREAM PARTNERS LP COM UNIT REPST 65506L105 364 13700 SH SOLE 0 0 13700 NORTHERN TR CORP COM 665859104 212 2000 SH SOLE 0 0 2000 NORTHROP GRUMMAN CORP 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PARTNERS LP COM UNIT REP INT 718549207 4605 74700 SH SOLE 0 0 74700 PIMCO ETF TR ACTIVE BD ETF 72201R775 1614 14973 SH SOLE 0 0 14973 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 1981 107700 SH SOLE 0 0 107700 PNC FINL SVCS GROUP INC COM 693475105 2476 15508 SH SOLE 0 0 15508 PROCTER & GAMBLE CO COM 742718109 4071 32592 SH SOLE 0 0 32592 PRUDENTIAL FINL INC COM 744320102 7391 78843 SH SOLE 0 0 78843 QUALCOMM INC COM 747525103 266 3015 SH SOLE 0 0 3015 QURATE RETAIL INC COM SER A 74915M100 174 20663 SH SOLE 0 0 20663 RAYTHEON CO COM NEW 755111507 1627 7404 SH SOLE 0 0 7404 REGENERON PHARMACEUTICALS COM 75886F107 446 1187 SH SOLE 0 0 1187 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 8785 146491 SH SOLE 0 0 146491 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 201 3410 SH SOLE 0 0 3410 SALESFORCE COM INC COM 79466L302 1089 6698 SH SOLE 0 0 6698 SCHLUMBERGER LTD COM 806857108 237 5888 SH SOLE 0 0 5888 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 215 2800 SH SOLE 0 0 2800 SEAGATE TECHNOLOGY PLC SHS G7945M107 893 15001 SH SOLE 0 0 15001 SEATTLE GENETICS INC COM 812578102 446 3900 SH SOLE 0 0 3900 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 8006 87332 SH SOLE 0 0 87332 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 691 6779 SH SOLE 0 0 6779 SENSATA TECHNOLOGIES HLDNG P SHS G8060N102 2924 54273 SH SOLE 0 0 54273 SHELL MIDSTREAM PARTNERS L P UNIT LTD INT 822634101 16209 802047 SH SOLE 0 0 802047 SIGA TECHNOLOGIES INC COM 826917106 250 52339 SH SOLE 0 0 52339 SMITH & NEPHEW PLC SPDN ADR NEW 83175M205 312 6500 SH SOLE 0 0 6500 SMUCKER J M CO COM NEW 832696405 209 2006 SH SOLE 0 0 2006 SONOCO PRODS CO COM 835495102 512 8300 SH SOLE 0 0 8300 SPDR GOLD TRUST GOLD SHS 78463V107 1250 8748 SH SOLE 0 0 8748 SPDR INDEX SHS FDS ASIA PACIF ETF 78463X301 500 4833 SH SOLE 0 0 4833 SPDR S&P 500 ETF TR TR UNIT 78462F103 15373 47763 SH SOLE 0 0 47763 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 345 920 SH SOLE 0 0 920 SPDR SERIES TRUST S&P 600 SML CAP 78464A813 31417 433639 SH SOLE 0 0 433639 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1048 9741 SH SOLE 0 0 9741 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 265 8600 SH SOLE 0 0 8600 SPDR SERIES TRUST HLTH CR EQUIP 78464A581 366 4272 SH SOLE 0 0 4272 SPECTRUM PHARMACEUTICALS INC COM 84763A108 36 10000 SH SOLE 0 0 10000 STARBUCKS CORP COM 855244109 1324 15062 SH SOLE 0 0 15062 STRYKER CORP COM 863667101 819 3900 SH SOLE 0 0 3900 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 205 3527 SH SOLE 0 0 3527 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 535 27122 SH SOLE 0 0 27122 TE CONNECTIVITY LTD REG SHS H84989104 1076 11227 SH SOLE 0 0 11227 TELEFLEX INC COM 879369106 320 850 SH SOLE 0 0 850 TEXAS INSTRS INC COM 882508104 1688 13160 SH SOLE 0 0 13160 THE CHARLES SCHWAB CORPORATI COM 808513105 4782 100554 SH SOLE 0 0 100554 THERMO FISHER SCIENTIFIC INC COM 883556102 2215 6819 SH SOLE 0 0 6819 TJX COS INC NEW COM 872540109 1241 20320 SH SOLE 0 0 20320 TRANSOCEAN LTD REG SHS H8817H100 1823 265000 SH SOLE 0 0 265000 TWITTER INC COM 90184L102 952 29697 SH SOLE 0 0 29697 TYLER TECHNOLOGIES INC COM 902252105 3619 12061 SH SOLE 0 0 12061 UNITED TECHNOLOGIES CORP COM 913017109 432 2886 SH SOLE 0 0 2886 UNITEDHEALTH GROUP INC COM 91324P102 1328 4518 SH SOLE 0 0 4518 UNIVERSAL CORP VA COM 913456109 628 11000 SH SOLE 0 0 11000 VANECK VECTORS ETF TRUST VIETNAM ETF 92189F817 177 11049 SH SOLE 0 0 11049 VANGUARD GROUP DIV APP ETF 921908844 26336 211258 SH SOLE 0 0 211258 VANGUARD INDEX FDS GROWTH ETF 922908736 105886 581241 SH SOLE 0 0 581241 VANGUARD INDEX FDS TOTAL STK MKT 922908769 24352 148832 SH SOLE 0 0 148832 VANGUARD INDEX FDS SM CP VAL ETF 922908611 4739 34570 SH SOLE 0 0 34570 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 2053 17224 SH SOLE 0 0 17224 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 4969 16799 SH SOLE 0 0 16799 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1126 7091 SH SOLE 0 0 7091 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 5092 94739 SH SOLE 0 0 94739 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 1338 22835 SH SOLE 0 0 22835 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 729 16401 SH SOLE 0 0 16401 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 60194 642343 SH SOLE 0 0 642343 VANGUARD WHITEHALL FDS INC INTL HIGH ETF 921946794 2240 35120 SH SOLE 0 0 35120 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 19809 259694 SH SOLE 0 0 259694 VANGUARD WORLD FDS ENERGY ETF 92204A306 489 6000 SH SOLE 0 0 6000 VANGUARD WORLD FDS MATERIALS ETF 92204A801 363 2709 SH SOLE 0 0 2709 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 411 2548 SH SOLE 0 0 2548 VANGUARD WORLD FDS INF TECH ETF 92204A702 395 1614 SH SOLE 0 0 1614 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 200 1300 SH SOLE 0 0 1300 VARONIS SYS INC COM 922280102 272 3500 SH SOLE 0 0 3500 VERIZON COMMUNICATIONS INC COM 92343V104 1413 23019 SH SOLE 0 0 23019 VERTEX PHARMACEUTICALS INC COM 92532F100 869 3971 SH SOLE 0 0 3971 VISA INC COM CL A 92826C839 1244 6621 SH SOLE 0 0 6621 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 286 14793 SH SOLE 0 0 14793 WALGREENS BOOTS ALLIANCE INC COM 931427108 489 8300 SH SOLE 0 0 8300 WALMART INC COM 931142103 530 4457 SH SOLE 0 0 4457 WASTE MGMT INC DEL COM 94106L109 6142 53900 SH SOLE 0 0 53900 WATSCO INC COM 942622200 1250 6940 SH SOLE 0 0 6940 WELLS FARGO CO NEW COM 949746101 864 16057 SH SOLE 0 0 16057 WELLS FARGO CO NEW PERP PFD CNV A 949746804 2436 1680 SH SOLE 0 0 1680 WESTERN DIGITAL CORP COM 958102105 623 9808 SH SOLE 0 0 9808 WILLIS TOWERS WATSON PUB LTD SHS G96629103 638 3157 SH SOLE 0 0 3157 WISDOMTREE TR US MIDCAP FUND 97717W570 5155 122481 SH SOLE 0 0 122481 WISDOMTREE TR US QTLY DIV GRT 97717X669 1086 22409 SH SOLE 0 0 22409 ZAFGEN INC COM 98885E103 26 23243 SH SOLE 0 0 23243 ZOETIS INC CL A 98978V103 2647 20002 SH SOLE 0 0 20002