Chief Compliance Officer

0001599863-14-000008.txt : 20141112 0001599863-14-000008.hdr.sgml : 20141111 20141112101415 ACCESSION NUMBER: 0001599863-14-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141112 DATE AS OF CHANGE: 20141112 EFFECTIVENESS DATE: 20141112 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: 141211937 BUSINESS ADDRESS: STREET 1: 16 KETCHUM ST 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 09-30-2014 09-30-2014 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 11-12-2014 0 135 182219 false INFORMATION TABLE 2 2014Q3-Form13f-NFC.xml 3m Company COM 88579Y101 215 1520 SH SOLE 1520 0 0 Access Midstream Partners LP UNIT 00434L109 1247 19600 SH SOLE 19600 0 0 Alerian MLP Index ETN ALERIAN MLP 00162Q866 258 13450 SH SOLE 13450 0 0 Amazon.Com Inc COM 023135106 550 1707 SH SOLE 1707 0 0 Amer Intl Group Inc COM NEW 026874784 216 4000 SH SOLE 4000 0 0 Amgen Inc COM 031162100 495 3526 SH SOLE 3526 0 0 Anadarko Pete Corp COM 032511107 776 7650 SH SOLE 7650 0 0 Apache Corp COM 037411105 449 4783 SH SOLE 4783 0 0 Apple Computer Inc COM 037833100 1494 14826 SH SOLE 14826 0 0 Ares Capital Corp COM 04010L103 487 30150 SH SOLE 30150 0 0 AT&T Corp New COM 00206R102 242 6855 SH SOLE 6855 0 0 Autodesk Inc COM 052769106 376 6830 SH SOLE 6830 0 0 Automatic Data Processing Inc COM 053015103 697 8387 SH SOLE 8387 0 0 Auxilium Pharmaceuticals Inc COM 05334D107 299 10000 SH SOLE 10000 0 0 Bank Of America Corp COM 060505104 192 11234 SH SOLE 11234 0 0 BERKSHIRE HATHAWAY INCORPORATED CLA CL A 084670108 828 4 SH SOLE 4 0 0 Biocryst Pharmaceuticals Inc COM 09058V103 98 10000 SH SOLE 10000 0 0 Biogen Idec Inc COM 09062X103 1277 3861 SH SOLE 3861 0 0 Blackberry COM 09228F103 199 20000 SH SOLE 20000 0 0 Blackstone Group LP COM UNIT LTD 09253U108 1469 46650 SH SOLE 46650 0 0 Broadcom Corp CL A 111320107 428 10596 SH SOLE 10596 0 0 Cerner Corp COM 156782104 620 10400 SH SOLE 10400 0 0 Cerulean Pharma Inc Com Usd0.0001 COM 15708Q105 84 20000 SH SOLE 20000 0 0 Chevron Corp New COM 166764100 5694 47724 SH SOLE 47724 0 0 CLAYMORE EXCHANGE TRD FD TR GUGG SPINOFF ETF 18383M605 2994 66355 SH SOLE 66355 0 0 Comcast Corp CL A SPL 20030N200 981 18340 SH SOLE 18340 0 0 Community Health Sys Inc New RIGHT 01/27/2016 203668116 99 3949 SH SOLE 3949 0 0 Corning Inc COM 219350105 783 40464 SH SOLE 40464 0 0 Covidien PLC SHS G2554F113 238 2756 SH SOLE 2756 0 0 CREE INC. COM 225447101 301 7345 SH SOLE 7345 0 0 Cubist Pharmaceuticals Inc COM 229678107 402 6055 SH SOLE 6055 0 0 CVS HEALTH CORP COM 126650100 307 3855 SH SOLE 3855 0 0 Darling Ingredients Inc COM 237266101 311 17000 SH SOLE 17000 0 0 Deere & Co COM 244199105 1109 13522 SH SOLE 13522 0 0 Directv Group Inc COM 25490A309 276 3188 SH SOLE 3188 0 0 Disney Walt Co COM 254687106 1055 11851 SH SOLE 11851 0 0 Du Pont E I DeNemours & Co COM 263534109 431 6000 SH SOLE 6000 0 0 Ecolab Inc COM 278865100 367 3200 SH SOLE 3200 0 0 Enbridge Energy Partners LP COM 29250R106 2557 65809 SH SOLE 65809 0 0 Enbridge Inc Com COM 29250N105 311 6500 SH SOLE 6500 0 0 Energy Transfer Equity LP COM UT LTD PTN 29273V100 351 5700 SH SOLE 5700 0 0 Energy Transfer Partners LP UNIT LTD PARTN 29273R109 4294 67100 SH SOLE 67100 0 0 Enterprise ProdSPartners L COM 293792107 7562 187644 SH SOLE 187644 0 0 Exxon Mobil Corp COM 30231G102 3788 40277 SH SOLE 40277 0 0 Fifth Street Finance Cp COM 31678A103 713 77700 SH SOLE 77700 0 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KKR & Co LP COM UNITS 48248M102 2110 94600 SH SOLE 94600 0 0 L-3 Communications Hldgs Inc COM 502424104 392 3300 SH SOLE 3300 0 0 Liberty Interactive Corp Com A INT COM SER A 53071M104 223 7833 SH SOLE 7833 0 0 LIBERTY MEDIA CORPORATION CL A 531229102 258 5475 SH SOLE 5475 0 0 LIBERTY MEDIA CORPORATION COM SER C 531229300 515 10950 SH SOLE 10950 0 0 Magellan Midstream Partners LP COM UNIT RP LP 559080106 4465 53042 SH SOLE 53042 0 0 Marathon Oil Corp COM 565849106 900 23940 SH SOLE 23940 0 0 Markwest Energy Partners LP UNIT LTD PARTN 570759100 1438 18720 SH SOLE 18720 0 0 Mcdonalds Corp COM 580135101 237 2495 SH SOLE 2495 0 0 Mcgraw Hill Financial Inc COM 580645109 353 4181 SH SOLE 4181 0 0 Medley Capital Corp COM 58503F106 667 56470 SH SOLE 56470 0 0 Metlife Inc Com COM 59156R108 5256 97840 SH SOLE 97840 0 0 Mettler-Toledo Intl COM 592688105 320 1250 SH SOLE 1250 0 0 Michael Kors Holdings Ltd Com Npv SHS G60754101 328 4600 SH SOLE 4600 0 0 Micron Technology COM 595112103 925 27000 SH 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11462 0 0 Prudential Finl Inc COM 744320102 223 2531 SH SOLE 2531 0 0 Rexahn Pharmaceuticals Inc COM 761640101 121 150000 SH SOLE 150000 0 0 Royal Dutch Shell ADR Cl B SPON ADR B 780259107 404 5100 SH SOLE 5100 0 0 SANDISK CORPORATION COM 80004C101 677 6910 SH SOLE 6910 0 0 Schlumberger Limited COM 806857108 310 3050 SH SOLE 3050 0 0 Seagate Technology Plc Com Usd0.000 SHS G7945M107 952 16623 SH SOLE 16623 0 0 Sigma Aldrich Corp COM 826552101 1306 9600 SH SOLE 9600 0 0 SPDR Gold Tr Gold ETF GOLD SHS 78463V107 209 1800 SH SOLE 1800 0 0 SPDR S&P 500 Large Cap ETF TR UNIT 78462F103 561 2847 SH SOLE 2847 0 0 SPDR S&P 600 Small Cap ETF S&P 600 SML CAP 78464A813 250 2540 SH SOLE 2540 0 0 SPDR S&P Regional Bkg ETF S&P REGL BKG 78464A698 379 10000 SH SOLE 10000 0 0 SPDR Technology Sector ETF TECHNOLOGY 81369Y803 211 5300 SH SOLE 5300 0 0 Sunesis Pharmaceuticals Inc Com New COM NEW 867328601 79 11000 SH SOLE 11000 0 0 Sunoco Logistics Partners LP COM UNITS 86764L108 1057 21900 SH SOLE 21900 0 0 Thermo FISHER SCIENTIFIC INC COM 883556102 791 6500 SH SOLE 6500 0 0 TJX Companies Inc COM 872540109 531 8979 SH SOLE 8979 0 0 Towers Watson & Co Com CL A 891894107 1018 10230 SH SOLE 10230 0 0 Unitedhealth Group COM 91324P102 847 9815 SH SOLE 9815 0 0 Vanguard Consumer Sector ETF COMSUM STP ETF 92204A207 258 2200 SH SOLE 2200 0 0 Vanguard Emerging Mkts ETF FTSE EMR MKT ETF 922042858 778 18648 SH SOLE 18648 0 0 Vanguard Finance Sector ETF FINANCIALS ETF 92204A405 609 13122 SH SOLE 13122 0 0 Vanguard High Dividend Yld ETF - W HIGH DIV YLD 921946406 933 14055 SH SOLE 14055 0 0 Vanguard Materials Sector ETF MATERIALS ETF 92204A801 353 3200 SH SOLE 3200 0 0 Vertex Pharmaceutcls Inc COM 92532F100 2626 23385 SH SOLE 23385 0 0 Wells Fargo & Co Newperp Pfd Conv C PERP PFD CNV A 949746804 541 450 SH SOLE 450 0 0 Western Digital Corp COM 958102105 292 3000 SH SOLE 3000 0 0 Williams Cos Inc COM 969457100 761 13750 SH SOLE 13750 0 0 Williams Partners LP COM UNIT L P 96950F104 2571 48460 SH SOLE 48460 0 0 Wisdomtree Europe Sm Cap Dvd ETF EUROPE SMCP DV 97717W869 2365 45100 SH SOLE 45100 0 0 Wisdomtree MidCap ETF MDCP EARN FUND 97717W570 1926 22000 SH SOLE 22000 0 0 Zoetis Inc Com Usd0.01 Cl A CL A 98978V103 351 9500 SH SOLE 9500 0 0