AML/Compliance Officer FinOp

0001315785-19-000002.txt : 20190502 0001315785-19-000002.hdr.sgml : 20190502 20190502152750 ACCESSION NUMBER: 0001315785-19-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190502 DATE AS OF CHANGE: 20190502 EFFECTIVENESS DATE: 20190502 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Essex Financial Services, Inc. CENTRAL INDEX KEY: 0001315785 IRS NUMBER: 364529342 STATE OF INCORPORATION: CT FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11126 FILM NUMBER: 19791588 BUSINESS ADDRESS: STREET 1: P.O. BOX 999 STREET 2: 176 WESTBROOK RD CITY: ESSEX STATE: CT ZIP: 064260999 BUSINESS PHONE: 860-767-4300 MAIL ADDRESS: STREET 1: P.O. BOX 999 STREET 2: 176 WESTBROOK RD CITY: ESSEX STATE: CT ZIP: 064260999 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001315785 XXXXXXXX 03-31-2019 03-31-2019 Essex Financial Services, Inc.

P.O. BOX 999 176 WESTBROOK RD ESSEX CT 064260999

13F HOLDINGS REPORT 028-11126 N William Terribile AML/Compliance Officer FinOp 8607674300 William Terribile Essex CT 05-02-2019 0 237 330921 false INFORMATION TABLE 2 13fefs1q19.xml ABBOTT LABS COM COM 002824100 1675 20949 SH SOLE 0 0 0 0 AIR PRODS & CHEMSINC COM 009158106 455 2381 SH SOLE 0 0 0 0 ALLIANZGI CONV & INCOME FD II COM 018825109 57 10000 SH SOLE 0 0 0 0 ALLSTATE CORP COM 020002101 596 6323 SH SOLE 0 0 0 0 AMAZON COM INC COM 023135106 7629 4284 SH SOLE 0 0 0 0 AMERICAN EXPRESSCOMPANY COM 025816109 711 6503 SH SOLE 0 0 0 0 AMERICAN STS WTR CO COM 029899101 232 3255 SH SOLE 0 0 0 0 AMGEN INC COM 031162100 9442 49699 SH SOLE 0 0 0 0 AMPHENOL CORP CLA COM 032095101 256 2708 SH SOLE 0 0 0 0 ANNALY CAP MGMT INC COM 035710409 636 63677 SH SOLE 0 0 0 0 ANTHEM INC COM 036752103 695 2423 SH SOLE 0 0 0 0 APPLE INC COM 037833100 11902 62661 SH SOLE 0 0 0 0 AUTOMATIC DATAPROCESSING INC COM 053015103 2531 15847 SH SOLE 0 0 0 0 BP PLC ADR 055622104 247 5653 SH SOLE 0 0 0 0 BANK AMER CORP COM 060505104 4299 155806 SH SOLE 0 0 0 0 BANK AMER CORP PFD 060505682 426 327 SH SOLE 0 0 0 0 BANK OF NEW YORKMELLON CORP COM 064058100 704 13953 SH SOLE 0 0 0 0 BECTON DICKINSON &CO COM 075887109 1119 4481 SH SOLE 0 0 0 0 BERKSHIRE HATHAWAYINC DEL CL A CLA COM 084670108 5422 18 SH SOLE 0 0 0 0 BERKSHIRE HATHAWAYINC DEL CL B NEW CLB COM 084670702 4524 22520 SH SOLE 0 0 0 0 BLACKROCK CAPITAL INVESTMENT CORP COM 092533108 388 64778 SH SOLE 0 0 0 0 BOEING CO COM 097023105 9082 23812 SH SOLE 0 0 0 0 BRISTOL MYERS SQUIBBCO COM 110122108 1550 32497 SH SOLE 0 0 0 0 BROOKFIELD ASSETMGMT INC CLA COM 112585104 617 13219 SH SOLE 0 0 0 0 BROWN FORMAN CORP CLB COM 115637209 267 5053 SH SOLE 0 0 0 0 CIGNA CORP COM 125509109 918 5706 SH SOLE 0 0 0 0 CSX CORPORATION COM 126408103 446 5961 SH SOLE 0 0 0 0 CVS HEALTH CORP COM 126650100 1776 32938 SH SOLE 0 0 0 0 CATERPILLAR INC COM 149123101 1000 7384 SH SOLE 0 0 0 0 CELGENE CORP COM 151020104 1836 19462 SH SOLE 0 0 0 0 CENTURYLINK INC COM 156700106 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1706 SH SOLE 0 0 0 0 ALPHABET INC CLA COM 02079K305 4644 3946 SH SOLE 0 0 0 0 ALTRIA GROUP INC COM 02209S103 2800 48763 SH SOLE 0 0 0 0 AMERICA MOVIL SAB DEC V ADR 02364W105 685 48000 SH SOLE 0 0 0 0 AMERICAN TOWER REIT COM 03027X100 651 3301 SH SOLE 0 0 0 0 ARES CAP CORP COM 04010L103 573 33433 SH SOLE 0 0 0 0 BARINGS PARTN INVS SH BEN INT 06761A103 432 28138 SH SOLE 0 0 0 0 BLACKROCK MUN HOLDINGS FD INC COM 09253N104 171 10700 SH SOLE 0 0 0 0 BLACKSTONE GROUP L P LP 09253U108 943 26970 SH SOLE 0 0 0 0 BLACKSTONE MTG TR COM CLA 09257W100 313 9050 SH SOLE 0 0 0 0 BLUEKNIGHT ENERGY PARTS LP LP 09625U109 10 10000 SH SOLE 0 0 0 0 BROADCOM INC COM 11135F101 210 697 SH SOLE 0 0 0 0 CISCO SYSTEMS INC COM 17275R102 4590 85016 SH SOLE 0 0 0 0 COMCAST CORP CLA COM 20030N101 1220 20514 SH SOLE 0 0 0 0 COMPASS DIVERSIFIEDHLDGS SH BEN INT 20451Q104 13660 870621 SH SOLE 0 0 0 0 CONOCOPHILLIPS COM 20825C104 2306 34546 SH SOLE 0 0 0 0 CONSTELLATION BRANDSINC CLA COM 21036P108 674 3847 SH SOLE 0 0 0 0 CORMEDIX INC COM 21900C308 95 10000 SH SOLE 0 0 0 0 COSTCO WHOLESALECORP COM 22160K105 647 2671 SH SOLE 0 0 0 0 CROSS AMERICA PARTNERS LP UNIT LMTD LP 22758A105 183 10000 SH SOLE 0 0 0 0 DIAGEO PLC ADR 25243Q205 488 2984 SH SOLE 0 0 0 0 DOMINION ENERGY INC COM 25746U109 217 2832 SH SOLE 0 0 0 0 DOWDUPONT INC COM 26078J100 2756 51689 SH SOLE 0 0 0 0 DREYFUS STRATEGIC MUNS INC COM 26202F107 130 16800 SH SOLE 0 0 0 0 DUKE ENERGY CORP COM 26441C204 1021 11342 SH SOLE 0 0 0 0 EATON VANCE TAXMANAGED BUYWRITE OPP FD SH BEN INT 27828Y108 322 21431 SH SOLE 0 0 0 0 ENERGY TRANSFERPARTNERS L P LTD PART 29273R109 562 36537 SH SOLE 0 0 0 0 EVERSOURCE ENERGY COM 30040W108 691 9739 SH SOLE 0 0 0 0 EXELON CORP COM 30161N101 784 15646 SH SOLE 0 0 0 0 EXXON MOBIL CORP COM 30231G102 8945 110700 SH SOLE 0 0 0 0 FACEBOOK INC CLA COM 30303M102 2342 14051 SH SOLE 0 0 0 0 FEDEX CORP COM 31428X106 236 1303 SH SOLE 0 0 0 0 FIDELITY NATL INFORMATION SVCS INC COM 31620M106 299 2647 SH SOLE 0 0 0 0 FORTIVE CORP COM 34959J108 277 3298 SH SOLE 0 0 0 0 GENERAL MOTORS CO COM 37045V100 220 5929 SH SOLE 0 0 0 0 GLAXOSMITHKLINE PLC ADR 37733W105 281 6721 SH SOLE 0 0 0 0 GOLDMAN SACHS GROUPINC COM 38141G104 618 3221 SH SOLE 0 0 0 0 IDEXX LABS INC COM 45168D104 643 2874 SH SOLE 0 0 0 0 INVESCO TR INVT GRADNEW YORK MUNS COM 46131T101 199 15286 SH SOLE 0 0 0 0 INVESTCO S&P 500 EQL WGT ETF 46137V357 1455 13932 SH SOLE 0 0 0 0 IRON MTN INC COM 46284V101 287 8095 SH SOLE 0 0 0 0 ISHARES USA MIN VOL ETF 46429B697 403 6854 SH SOLE 0 0 0 0 ISHARES TR CORE MSCI TOTAL ETF 46432F834 602 10364 SH SOLE 0 0 0 0 JP MORGAN CHASE &CO COM 46625H100 4383 43296 SH SOLE 0 0 0 0 JP MORGAN CHASE &CO ALERIAN MLP INDEX ETN ETF 46625H365 261 10225 SH SOLE 0 0 0 0 KKR & CO LTD PART 48248M102 501 21345 SH SOLE 0 0 0 0 KINDER MORGAN INCDEL COM 49456B101 345 17246 SH SOLE 0 0 0 0 LABORATORY CORP AMERHLDGS COM 50540R409 1000 6535 SH SOLE 0 0 0 0 MASTERCARD INC CL A CLA COM 57636Q104 648 2751 SH SOLE 0 0 0 0 MERCK & CO INC COM 58933Y105 2526 30372 SH SOLE 0 0 0 0 NEW RESIDENTIAL INVT CORP COM 64828T201 169 10000 SH SOLE 0 0 0 0 NEXTERA ENERGY INC COM 65339F101 712 3684 SH SOLE 0 0 0 0 NOVARTIS AG ADR 66987V109 826 8594 SH SOLE 0 0 0 0 NVIDIA CORP COM 67066G104 670 3732 SH SOLE 0 0 0 0 O REILLYAUTOMOTIVE INC COM 67103H107 397 1022 SH SOLE 0 0 0 0 ORACLE CORP COM 68389X105 473 8806 SH SOLE 0 0 0 0 PRICE T ROWE GROUP INC COM 74144T108 224 2234 SH SOLE 0 0 0 0 PROSHARES TR S&P 500 DIVD ARISTOCRATS ETF 74348A467 442 6515 SH SOLE 0 0 0 0 PROSPECT CAP CORP COM 74348T102 214 32811 SH SOLE 0 0 0 0 S&P GLOBAL INC COM 78409V104 204 969 SH SOLE 0 0 0 0 SPDR S&P 500 ETF 78462F103 1461 5171 SH SOLE 0 0 0 0 SPDR SER TR S&P DIVD ETF 78464A763 200 2016 SH SOLE 0 0 0 0 SABRA HEALTH CARE REIT INC COM 78573L106 320 16422 SH SOLE 0 0 0 0 SALESFORCE.COM INC COM 79466L302 707 4465 SH SOLE 0 0 0 0 SANOFI ADR 80105N105 302 6829 SH SOLE 0 0 0 0 SERVICENOW INC COM 81762P102 493 2000 SH SOLE 0 0 0 0 SPROTT PHYSICAL GOLD TR COM 85207H104 744 71158 SH SOLE 0 0 0 0 SPROTT FOCUS TR INC COM 85028J109 2027 295852 SH SOLE 0 0 0 0 STARWOODPPTY TR INC COM 85571B105 268 12000 SH SOLE 0 0 0 0 TESLA MTRS INC COM 88160R101 928 3315 SH SOLE 0 0 0 0 3M CO COM 88579Y101 1111 5347 SH SOLE 0 0 0 0 UNITEDHEALTH GROUPINC COM 91324P102 1991 8050 SH SOLE 0 0 0 0 VALERO ENERGY CORP COM 91913Y100 388 4578 SH SOLE 0 0 0 0 VANGUARD CHAROLETTE TOTAL INTL BD INDEX FD ETF 92203J407 253 4531 SH SOLE 0 0 0 0 VANGUARD WORLD FDS FINLS ETF ETF 92204A405 208 3216 SH SOLE 0 0 0 0 VERIZONCOMMUNICATIONS INC COM 92343V104 3298 55769 SH SOLE 0 0 0 0 VISA INC CLA COM 92826C839 3703 23709 SH SOLE 0 0 0 0 WASTE MGMT INC COM 94106L109 270 2595 SH SOLE 0 0 0 0 WELLTOWER INC COM 95040Q104 262 3374 SH SOLE 0 0 0 0 AON PLC CLA COM G0408V102 559 3277 SH SOLE 0 0 0 0 ACCENTURE PLCIRELAND CLA COM G1151C101 517 2935 SH SOLE 0 0 0 0 CONSOLIDATED WATERCO COM G23773107 182 14159 SH SOLE 0 0 0 0 EATON CORP COM G29183103 420 5218 SH SOLE 0 0 0 0 MEDTRONICS PLC COM G5960L103 1408 15460 SH SOLE 0 0 0 0 APTIV PLC SHS COM G6095L109 554 6975 SH SOLE 0 0 0 0 CHUBB LTD COM H1467J104 1494 10665 SH SOLE 0 0 0 0 TEEKAY LNG PARTNERS LP LP Y8564M105 411 27500 SH SOLE 0 0 0 0 TEEKAY OFFSHORE PARTNERS LP Y8565J101 60 50000 SH SOLE 0 0 0 0 TEEKAY TANKERS LTDCL A CLA COM Y8565N102 113 116000 SH SOLE 0 0 0 0