0001599863-17-000004.txt : 20170428 0001599863-17-000004.hdr.sgml : 20170428 20170428125101 ACCESSION NUMBER: 0001599863-17-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170428 DATE AS OF CHANGE: 20170428 EFFECTIVENESS DATE: 20170428 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: 17793437 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 03-31-2017 03-31-2017 Northeast Financial Consultants Inc

PO BOX 2630 WESTPORT CT 06880

13F HOLDINGS REPORT 028-15844 N Patrice S Reilly 2032268997 Patrice S Reilly Westport CT 04-28-2017 0 149 239461 false INFORMATION TABLE 2 2017Q1-Form13f-NFC.xml 2017Q1-FORM13F-NFC 3m Company COM 88579Y101 386 2020 SH SOLE 2020 0 0 Abbvie Inc COM 00287Y109 203 3120 SH SOLE 3120 0 0 ALPS ETF TR Alerian MLP Index 00162Q866 217 17100 SH SOLE 17100 0 0 Allergan Inc SHS G0177J108 616 2578 SH SOLE 2578 0 0 Alphabet Inc Cl A CAP STK CL A 02079K305 3700 4364 SH SOLE 4364 0 0 Alphabet Inc Cl C CAP STK CL C 02079K107 3773 4548 SH SOLE 4548 0 0 Altria Group Inc. COM 022095103 255 3569 SH SOLE 3569 0 0 Amazon.Com Inc COM 023135106 4848 5469 SH SOLE 5469 0 0 Amgen Inc COM 031162100 775 4726 SH SOLE 4726 0 0 Anadarko Pete Corp COM 032511107 807 13012 SH SOLE 13012 0 0 Apache Corp COM 037411105 246 4783 SH SOLE 4783 0 0 Apollo Invt Corp Com COM 03761U106 479 73000 SH SOLE 73000 0 0 Apple Computer Inc COM 037833100 1913 13319 SH SOLE 13319 0 0 Ares Capital Corp COM 04010L103 417 24000 SH SOLE 24000 0 0 Asterias Biotherapeutics Inc COM SER A 04624N107 2490 732265 SH SOLE 732265 0 0 AT&T Corp New COM 00206R102 414 9967 SH SOLE 9967 0 0 Autodesk Inc COM 052769106 591 6830 SH SOLE 6830 0 0 Automatic Data Processing Inc COM 053015103 1060 10348 SH SOLE 10348 0 0 Avangrid Inc COM 05351W103 1279 29936 SH SOLE 29936 0 0 Bank Of America Corp COM 060505104 291 12344 SH SOLE 12344 0 0 BERKSHIRE HATHAWAY INC CL A 084670108 999 4 SH SOLE 4 0 0 Biocryst Pharmaceuticals Inc COM 09058V103 168 20000 SH SOLE 20000 0 0 Biogen Idec Inc COM 09062X103 750 2743 SH SOLE 2743 0 0 Blackrock Muni Hldgs Fd COM 09253N104 249 15000 SH SOLE 15000 0 0 Blackrock Muni Yield Fund COM 09253W104 560 39000 SH SOLE 39000 0 0 Blackstone Group LP COM 09253U108 735 24758 SH SOLE 24758 0 0 Boeing Co COM 097023105 495 2800 SH SOLE 2800 0 0 Bristol Myers Squibb COM 110122108 226 4152 SH SOLE 4152 0 0 Broadcom Ltd SHS Y09827109 725 3313 SH SOLE 3313 0 0 CDK Global Inc COM 12508E101 202 3113 SH SOLE 3113 0 0 Cerner Corp COM 156782104 612 10400 SH SOLE 10400 0 0 Cerulean Pharma Inc COM 15708Q105 16 20000 SH SOLE 20000 0 0 Chevron Corp COM 166764100 6472 60274 SH SOLE 60274 0 0 Citrix Systems Inc COM 177376100 293 3516 SH SOLE 3516 0 0 Comcast Corp CL A SPL 20030N101 1015 26996 SH SOLE 26996 0 0 Corning Inc COM 219350105 1298 48063 SH SOLE 48063 0 0 CREE INC. COM 225447101 349 13039 SH SOLE 13039 0 0 CVS Health Corp COM 126650100 659 8400 SH SOLE 8400 0 0 Deere & Company COM 244199105 1115 10242 SH SOLE 10242 0 0 Disney Walt Co COM 254687106 1446 12755 SH SOLE 12755 0 0 DOLBY LABORATORIES INC COM 25659T107 229 4369 SH SOLE 4369 0 0 Dow Chemical Co COM 260543103 364 5730 SH SOLE 5730 0 0 Ecolab Inc COM 278865100 338 2700 SH SOLE 2700 0 0 Enbridge Energy Partners LP COM 29250R106 448 23600 SH SOLE 23600 0 0 Energy Transfer Partners LP UNIT LTD PARTN 29273R109 1430 39150 SH SOLE 39150 0 0 Enterprise Product Partners LP COM 293792107 3680 133280 SH SOLE 133280 0 0 Exxon Mobil Corp COM 30231G102 2268 27657 SH SOLE 27657 0 0 Facebook Inc Com COM 30303M102 251 1769 SH SOLE 1769 0 0 First Trust EXCH TRADED FD DJ Internet IDX 33733E302 1519 17254 SH SOLE 17254 0 0 First Trust EXCH TRADED FD NASDAQ 100 EX 33733E401 1452 32500 SH SOLE 32500 0 0 Fluor Corp New COM 343412102 353 6711 SH SOLE 6711 0 0 Freeport McMoran Copper & Gold CL B 35671D857 494 36958 SH SOLE 36958 0 0 General Electric Co COM 369604103 1223 41033 SH SOLE 41033 0 0 Goldman Sachs Group Inc COM 38141G104 650 2830 SH SOLE 2830 0 0 Golub Cap BDC Inc Com COM 38173M102 340 17090 SH SOLE 17090 0 0 RYDEX ETF TRUST Gugg S&P500 Eq Wt 78355W833 1389 13300 SH SOLE 13300 0 0 Harris Corp Del COM 413875105 1113 10000 SH SOLE 10000 0 0 Illinois Tool Wks Inc COM 452308109 265 2000 SH SOLE 2000 0 0 IMMUNOGEN INC. COM 45253H101 133 34315 SH SOLE 34315 0 0 Ingersoll Rand PLC COM G47791101 559 6877 SH SOLE 6877 0 0 Intl Business Machines COM 459200101 437 2509 SH SOLE 2509 0 0 Intl Flavors& Fragrances COM 459506101 3460 26105 SH SOLE 26105 0 0 Investors Bancorp Inc Com COM 46146L101 293 20400 SH SOLE 20400 0 0 Ionis Pharmaceuticals Inc COM 462222100 310 7703 SH SOLE 7703 0 0 ISHARES TR INTL SEL DIV ETF 464288448 349 11100 SH SOLE 11100 0 0 ISHARES TR NASDQ BIOTEC ETF 464287556 205 700 SH SOLE 700 0 0 ISHARES TR Russell 2000 ETF 464287655 206 1496 SH SOLE 1496 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 733 8831 SH SOLE 8831 0 0 ISHARES TR SELECT DIVID ETF 464287168 446 4900 SH SOLE 4900 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 251 2204 SH SOLE 2204 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 2252 26850 SH SOLE 26850 0 0 Johnson & Johnson COM 478160104 2834 22756 SH SOLE 22756 0 0 Johnson Ctls Int'l PLC SHS G51502105 623 14799 SH SOLE 14799 0 0 JP Morgan Chase & Co COM 46625H100 1326 15100 SH SOLE 15100 0 0 Keryx Biopharmaceuticals Inc COM 492515101 283 46100 SH SOLE 46100 0 0 Kimberly Clark Corp COM 494368103 538 4088 SH SOLE 4088 0 0 Kinder Morgan Inc COM 49456B101 1512 69589 SH SOLE 69589 0 0 Kinder Morgan Inc PFD A 49456B200 498 10000 SH SOLE 10000 0 0 KKR & Co LP COM UNITS 48248M102 961 52730 SH SOLE 52730 0 0 L3 Technologies Inc COM 502413107 549 3323 SH SOLE 3323 0 0 Liberty Broadband Corp Com Cl C 530307305 296 3427 SH SOLE 3427 0 0 Liberty Media Corp Com C SiriusXM 531229607 669 17269 SH SOLE 17269 0 0 Magellan Midstream Partners LP COM UNIT RP LP 559080106 1553 20200 SH SOLE 20200 0 0 Medtronic PLC SHS G5960L103 208 2585 SH SOLE 2585 0 0 Merck & Co Inc COM 589331107 222 3505 SH SOLE 3505 0 0 Metlife Inc Com COM 59156R108 4546 86084 SH SOLE 86084 0 0 Mettler-Toledo Intl COM 592688105 442 925 SH SOLE 925 0 0 Microsoft Corp COM 594918104 566 8600 SH SOLE 8600 0 0 MPLX LP COM UNIT REP LTD 55336V100 430 11919 SH SOLE 11919 0 0 Nucor Corp COM 670346105 482 8081 SH SOLE 8081 0 0 Nuveen Quality Muncp Inc Fd COM 67066V101 319 23355 SH SOLE 23355 0 0 Orbital A T K Inc COM 68557N103 588 6000 SH SOLE 6000 0 0 Pepsico Inc COM 713448108 1256 11233 SH SOLE 11233 0 0 Pfizer Inc COM 717081103 51016 1491288 SH SOLE 1491288 0 0 Phillips 66 Com COM 718546104 940 11875 SH SOLE 11875 0 0 Powershares ETF Tr DYNA BUYBK ACH 73935X286 233 4500 SH SOLE 4500 0 0 Powershares ETF Tr DYN PHRMA PORT 73935X799 730 12425 SH SOLE 12425 0 0 Powershares ETF Tr II PFD PORTFOLIO 73936T565 203 13730 SH SOLE 13730 0 0 Powershs QQQ TRUST Ser ETF UNIT SER 0 73935A104 4252 32124 SH SOLE 32124 0 0 Procter & Gamble Co COM 742718109 1085 12082 SH SOLE 12082 0 0 Rexahn Pharmaceuticals Inc COM 761640101 76 150000 SH SOLE 150000 0 0 Royal Dutch Shell ADR Cl B SPON ADR B 780259107 1832 32825 SH SOLE 32825 0 0 Ryanair Hldgs Plc Adr SPON ADR NE 783513104 242 2925 SH SOLE 2925 0 0 Rydex ETF Trust Gug S&P 500 Eq WT 78355W106 227 2500 SH SOLE 2500 0 0 Seagate Technology PLC COM G7945M107 969 21112 SH SOLE 21112 0 0 Smucker J M Co New COM 832696405 262 2000 SH SOLE 2000 0 0 SELECT SECTOR SPDR TR SBI INT ENERGY 81369Y506 349 5000 SH SOLE 5000 0 0 SPDR Gold Tr Gold ETF GOLD SHS 78463V107 427 3600 SH SOLE 3600 0 0 SPDR S&P 500 Large Cap ETF TR UNIT 78462F103 1615 6851 SH SOLE 6851 0 0 SPDR S&P 600 Small Cap ETF S&P 600 SML CAP 78464A813 4462 36785 SH SOLE 36785 0 0 Sunoco Logistics Partners LP COM UNITS 86764L108 484 19833 SH SOLE 19833 0 0 TE Connectivity LTD REG SHS H84989104 620 8329 SH SOLE 8329 0 0 SPDR Technology Sector ETF TECHNOLOGY 81369Y803 885 16610 SH SOLE 16610 0 0 Terraform Power Inc Cl A Com 88104R100 123 10000 SH SOLE 10000 0 0 Thermo Fisher Scientific COM 883556102 844 5500 SH SOLE 5500 0 0 TJX Companies Inc COM 872540109 710 8979 SH SOLE 8979 0 0 Twitter Inc Com COM 90184L102 447 29928 SH SOLE 29928 0 0 Unitedhealth Group COM 91324P102 896 5465 SH SOLE 5465 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 490 6054 SH SOLE 6054 0 0 VANGUARD WORLD FUNDS COMSUM STP ETF 92204A207 333 2371 SH SOLE 2371 0 0 VANGUARD INTL EQUITY INDEX FTSE EMR MKT ETF 922042858 425 10700 SH SOLE 10700 0 0 VANGUARD WORLD FUNDS ENERGY ETF 92204A306 241 2500 SH SOLE 2500 0 0 VANGUARD INTL EQUITY INDEX FDS ALLWRLD EX US 922042775 566 11838 SH SOLE 11838 0 0 VANGUARD INDEX FDS GRWTH ETF 922908736 19488 160190 SH SOLE 160190 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 505 4475 SH SOLE 4475 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 1112 10914 SH SOLE 10914 0 0 VANGUARD INDEX FDS REIT ETF 922908553 2391 28952 SH SOLE 28952 0 0 VANGUARD INDEX FDS S & P 500 ETF SHS 922908363 2123 9817 SH SOLE 9817 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 251 3149 SH SOLE 3149 0 0 VANGUARD WORLD FUNDS FINANCIALS ETF 92204A405 2783 46040 SH SOLE 46040 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 3831 31185 SH SOLE 31185 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 826 9190 SH SOLE 9190 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 8210 67675 SH SOLE 67675 0 0 VANGUARD WHITEHALL FD HIGH DIV YLD 921946406 16986 218758 SH SOLE 218758 0 0 VANGUARD WHITEHALL FD INTL HIGH ETF 921946794 466 7697 SH SOLE 7697 0 0 Verizon Communications COM 92343V104 234 4800 SH SOLE 4800 0 0 Vertex Pharmaceutcls Inc COM 92532F100 2621 23971 SH SOLE 23971 0 0 Vulcan Materials Co COM 929160109 1589 13194 SH SOLE 13194 0 0 Walgreens Boots Allianc COM 931427108 306 3693 SH SOLE 3693 0 0 Waste Management COM 94106L109 510 7000 SH SOLE 7000 0 0 Wells Fargo & Co New COM 949746101 289 5200 SH SOLE 5200 0 0 Wells Fargo & Co New Perp Pfd Cnv A 949746804 340 275 SH SOLE 275 0 0 Western Digital Corp COM 958102105 485 5884 SH SOLE 5884 0 0 Williams Cos Inc COM 969457100 332 11250 SH SOLE 11250 0 0 Williams Partners LP COM UNIT LP 96950F104 870 21318 SH SOLE 21318 0 0 Willis Towers Watson Pub Ltd SHS G96629103 832 6358 SH SOLE 6358 0 0 Wisdomtree Tr EUROPE SMCP DV 97717W869 593 10050 SH SOLE 10050 0 0 Wisdomtree Tr MDCP EARN FUND 97717W570 3676 104250 SH SOLE 104250 0 0 Zoetis Inc Com CL A 98978V103 507 9500 SH SOLE 9500 0 0