0001599863-18-000004.txt : 20180419 0001599863-18-000004.hdr.sgml : 20180419 20180419132445 ACCESSION NUMBER: 0001599863-18-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180419 DATE AS OF CHANGE: 20180419 EFFECTIVENESS DATE: 20180419 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: 18763116 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 03-31-2018 03-31-2018 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 04-19-2018 0 146 297540 false INFORMATION TABLE 2 2018Q1-Form13f-NFC.xml 2018 Q1 FORM 13F 3m Company COM 88579Y101 443 2020 SH SOLE 2020 0 0 Abbott Labs COM 002824100 253 4232 SH SOLE 4232 0 0 Abbvie Inc COM 00287Y109 276 2920 SH SOLE 2920 0 0 ALPS ETF TR Alerian MLP Index 00162Q866 113 12100 SH SOLE 12100 0 0 Alibaba Group Hldg Ltd Sponsored Ads 01609W102 909 4957 SH SOLE 4957 0 0 Allergan Inc SHS G0177J108 976 5805 SH SOLE 5805 0 0 Alphabet Inc Cl A CAP STK CL A 02079K305 5233 4578 SH SOLE 4578 0 0 Alphabet Inc Cl C CAP STK CL C 02079K107 4764 4618 SH SOLE 4618 0 0 Altria Group Inc. COM 022095103 251 4029 SH SOLE 4029 0 0 Amazon.Com Inc COM 023135106 8841 6109 SH SOLE 6109 0 0 Amgen Inc COM 031162100 805 4726 SH SOLE 4726 0 0 Anadarko Pete Corp COM 032511107 977 16182 SH SOLE 16182 0 0 Apollo Invt Corp Com COM 03761U106 161 31000 SH SOLE 31000 0 0 Apple Computer Inc COM 037833100 2855 17018 SH SOLE 17018 0 0 Ares Capital Corp COM 04010L103 358 22600 SH SOLE 22600 0 0 Asterias Biotherapeutics Inc COM SER A 04624N107 1061 732265 SH SOLE 732265 0 0 AT&T Corp New COM 00206R102 238 6700 SH SOLE 6700 0 0 Autodesk Inc COM 052769106 857 6830 SH SOLE 6830 0 0 Automatic Data Processing Inc COM 053015103 1106 9748 SH SOLE 9748 0 0 Avangrid Inc COM 05351W103 1530 29936 SH SOLE 29936 0 0 Bank Of America Corp COM 060505104 642 21428 SH SOLE 21428 0 0 BERKSHIRE HATHAWAY INC CL A 084670108 1196 4 SH SOLE 4 0 0 Biocryst Pharmaceuticals Inc COM 09058V103 95 20000 SH SOLE 20000 0 0 Biogen Idec Inc COM 09062X103 751 2743 SH SOLE 2743 0 0 Blackrock Muni Hldgs Fd COM 09253N104 228 15000 SH SOLE 15000 0 0 Blackrock Muni Yield Fund COM 09253W104 467 35000 SH SOLE 35000 0 0 Blackstone Group LP COM 09253U108 973 30475 SH SOLE 30475 0 0 Boeing Co COM 097023105 918 2800 SH SOLE 2800 0 0 Brighthouse Financial COM 10922N103 339 6609 SH SOLE 6609 0 0 Broadcom Ltd SHS Y09827109 780 3313 SH SOLE 3313 0 0 Cerner Corp COM 156782104 603 10400 SH SOLE 10400 0 0 Chesapeake Utils Corp COM 165303108 253 3600 SH SOLE 3600 0 0 Chevron Corp COM 166764100 6391 56050 SH SOLE 56050 0 0 Citrix Systems Inc COM 177376100 326 3516 SH SOLE 3516 0 0 Clorox Co Del COM 189054109 479 3600 SH SOLE 3600 0 0 Colgate-Palmolive Co COM 194162103 215 3000 SH SOLE 3000 0 0 Comcast Corp CL A SPL 20030N101 650 19028 SH SOLE 19028 0 0 Corning Inc COM 219350105 1339 48063 SH SOLE 48063 0 0 CREE INC. COM 225447101 525 13039 SH SOLE 13039 0 0 Deere & Company COM 244199105 1715 11042 SH SOLE 11042 0 0 Disney Walt Co COM 254687106 1320 13143 SH SOLE 13143 0 0 DOLBY LABORATORIES INC COM 25659T107 277 4369 SH SOLE 4369 0 0 DowDuPont Inc COM 26078J100 446 7012 SH SOLE 7012 0 0 Ecolab Inc COM 278865100 370 2700 SH SOLE 2700 0 0 Enbridge Energy Partners LP COM 29250R106 160 16600 SH SOLE 16600 0 0 Energy Transfer Partners LP UNIT LTD PARTN 29273R109 984 60708 SH SOLE 60708 0 0 Enterprise Product Partners LP COM 293792107 3336 136300 SH SOLE 136300 0 0 Exxon Mobil Corp COM 30231G102 633 8488 SH SOLE 8488 0 0 Facebook Inc Com COM 30303M102 211 1325 SH SOLE 1325 0 0 First Trust EXCH TRADED FD DJ Internet IDX 33733E302 8150 67641 SH SOLE 67641 0 0 First Trust EXCH TRADED FD Nasdaq 100 Ex 33733E401 1571 32500 SH SOLE 32500 0 0 Fluor Corp New COM 343412102 617 10788 SH SOLE 10788 0 0 Freeport McMoran Copper & Gold Cl B CL B 35671D857 649 36958 SH SOLE 36958 0 0 Goldman Sachs Group Inc COM 38141G104 702 2789 SH SOLE 2789 0 0 Golub Cap BDC Inc Com COM 38173M102 370 20690 SH SOLE 20690 0 0 RYDEX ETF TRUST Gugg S&P500 Eq Wt 78355W833 2406 20157 SH SOLE 20157 0 0 Harris Corp Del COM 413875105 3137 19456 SH SOLE 19456 0 0 Home Depot Inc COM 437076102 1202 6747 SH SOLE 6747 0 0 IMMUNOGEN INC. COM 45253H101 360 34315 SH SOLE 34315 0 0 Intl Business Machines COM 459200101 384 2509 SH SOLE 2509 0 0 Intl Flavors& Fragrances COM 459506101 2787 20362 SH SOLE 20362 0 0 Ionis Pharmaceuticals Inc COM 462222100 339 7703 SH SOLE 7703 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 606 5059 SH SOLE 5059 0 0 ISHARES TR Russell 2000 ETF 464287655 798 5261 SH SOLE 5261 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 777 8999 SH SOLE 8999 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 203 1670 SH SOLE 1670 0 0 ISHARES TR GLOBAL TECH ETF 464287291 253 1602 SH SOLE 1602 0 0 ISHARES TR SELECT DIVID ETF 464287168 466 4900 SH SOLE 4900 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 817 6010 SH SOLE 6010 0 0 ISHARES TR MSCI EAFE ETF 464287465 869 12473 SH SOLE 12473 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 374 7766 SH SOLE 7766 0 0 ISHARES TR RUS MID CAP ETF 464287499 442 2144 SH SOLE 2144 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 2280 26998 SH SOLE 26998 0 0 Johnson & Johnson COM 478160104 3330 25988 SH SOLE 25988 0 0 Johnson Ctls Int'l PLC SHS G51502105 516 14664 SH SOLE 14664 0 0 JP Morgan Chase & Co COM 46625H100 1649 14996 SH SOLE 14996 0 0 Kimberly Clark Corp COM 494368103 450 4088 SH SOLE 4088 0 0 Kinder Morgan Inc COM 49456B101 182 12146 SH SOLE 12146 0 0 KKR & Co LP COM UNITS 48248M102 807 39800 SH SOLE 39800 0 0 L3 Technologies Inc COM 502413107 689 3313 SH SOLE 3313 0 0 Liberty Broadband Corp Com Cl C Com Cl C 530307305 293 3427 SH SOLE 3427 0 0 Liberty Media Corp Com C SiriusXM Com C SiriusXM 531229607 705 17269 SH SOLE 17269 0 0 Lockheed Martin Corp COM 539830109 405 1200 SH SOLE 1200 0 0 Magellan Midstream Partners LP COM UNIT RP LP 559080106 1050 18000 SH SOLE 18000 0 0 Mcdonalds Corp COM 580135101 484 3100 SH SOLE 3100 0 0 Medtronic PLC SHS G5960L103 207 2585 SH SOLE 2585 0 0 Metlife Inc Com COM 59156R108 3826 83384 SH SOLE 83384 0 0 Microsoft Corp COM 594918104 1086 11909 SH SOLE 11909 0 0 MPLX LP COM UNIT REP LTD 55336V100 1638 49592 SH SOLE 49592 0 0 Northern Trust Corporation COM 665859104 206 2000 SH SOLE 2000 0 0 Northrop Grumman Corp COM 666807102 284 815 SH SOLE 815 0 0 Nucor Corp COM 670346105 493 8081 SH SOLE 8081 0 0 Nuveen Quality Muncp Inc Fd COM 67066V101 171 13066 SH SOLE 13066 0 0 Orbital A T K Inc COM 68557N103 795 6000 SH SOLE 6000 0 0 Pepsico Inc COM 713448108 1226 11233 SH SOLE 11233 0 0 Pfizer Inc COM 717081103 47081 1326617 SH SOLE 1326617 0 0 Phillips 66 Partners Lp COM UNIT REP INT 718549207 477 10000 SH SOLE 10000 0 0 POWERSHARES ETF TR II KBW BK ETF 73937B746 276 5027 SH SOLE 5027 0 0 Powershares ETF Tr II PFD PORTFOLIO 73936T565 200 13730 SH SOLE 13730 0 0 Powershs QQQ TRUST Ser ETF UNIT SER 0 73935A104 5070 31664 SH SOLE 31664 0 0 Procter & Gamble Co COM 742718109 718 9060 SH SOLE 9060 0 0 Rexahn Pharmaceuticals Inc COM 761640200 22 15000 SH SOLE 15000 0 0 Royal Dutch Shell ADR Cl B SPON ADR B 780259107 2043 31178 SH SOLE 31178 0 0 Rydex ETF Trust Gug S&P 500 Eq WT 78355W106 248 2500 SH SOLE 2500 0 0 Seagate Technology PLC COM G7945M107 743 12701 SH SOLE 12701 0 0 Smucker J M Co New COM 832696405 248 2000 SH SOLE 2000 0 0 SPDR INDEX SHS FDS EMERG ASIA PAC ETF 78463X301 519 4875 SH SOLE 4875 0 0 SPDR Gold Tr GOLD SHS 78463V107 452 3600 SH SOLE 3600 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 4045 15373 SH SOLE 15373 0 0 SPDR SERIES TRUST S&P 600 SML CAP 78464A813 9099 68426 SH SOLE 68426 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 205 600 SH SOLE 600 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1812 27702 SH SOLE 27702 0 0 TE Connectivity LTD REG SHS H84989104 832 8329 SH SOLE 8329 0 0 Thermo Fisher Scientific COM 883556102 206 1000 SH SOLE 1000 0 0 TJX Companies Inc COM 872540109 732 8979 SH SOLE 8979 0 0 Twitter Inc Com COM 90184L102 852 29391 SH SOLE 29391 0 0 Unitedhealth Group COM 91324P102 810 3789 SH SOLE 3789 0 0 VANGUARD WORLD FUNDS COMSUM STP ETF 92204A207 330 2428 SH SOLE 2428 0 0 VANGUARD INTL EQUITY INDEX FTSE EMR MKT ETF 922042858 645 13730 SH SOLE 13730 0 0 VANGUARD WHITEHALL FD HIGH DIV YLD 921946406 20851 252772 SH SOLE 252772 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 31174 219726 SH SOLE 219726 0 0 VANGUARD INTL EQUITY INDEX FDS FTSE EUROPE ETF 922042874 339 5835 SH SOLE 5835 0 0 VANGUARD INTL EQUITY INDEX FDS ALLWRLD EX US 922042775 5142 94586 SH SOLE 94586 0 0 VANGUARD WHITEHALL FD INTL HIGH ETF 921946794 8409 126556 SH SOLE 126556 0 0 VANGUARD WORLD FUNDS MATERIALS ETF 92204A801 227 1765 SH SOLE 1765 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 484 3740 SH SOLE 3740 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 918 8398 SH SOLE 8398 0 0 VANGUARD INDEX FDS REIT ETF 922908553 313 4154 SH SOLE 4154 0 0 VANGUARD INDEX FDS S & P 500 ETF SHS 922908363 1771 7316 SH SOLE 7316 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 285 3642 SH SOLE 3642 0 0 VANGUARD WORLD FUNDS FINANCIALS ETF 92204A405 11547 166217 SH SOLE 166217 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 4035 31185 SH SOLE 31185 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 3360 33255 SH SOLE 33255 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 8639 63658 SH SOLE 63658 0 0 Vertex Pharmaceutcls Inc COM 92532F100 3906 23971 SH SOLE 23971 0 0 Visa Inc COM CL A 92826C839 313 2619 SH SOLE 2619 0 0 Vulcan Materials Co COM 929160109 391 3426 SH SOLE 3426 0 0 WALMART INC COM 931142103 364 4100 SH SOLE 4100 0 0 Waste Management COM 94106L109 588 7000 SH SOLE 7000 0 0 WELLS FARGO CO NEW PERP PFD CNV A 949746804 354 275 SH SOLE 275 0 0 Western Digital Corp COM 958102105 542 5884 SH SOLE 5884 0 0 Williams Partners LP COM UNIT LP 96950F104 596 17333 SH SOLE 17333 0 0 Willis Towers Watson Pub Ltd SHS G96629103 556 3657 SH SOLE 3657 0 0 Wisdomtree Tr Europe SMCP Dvd ETF EUROPE SMCP DV 97717W869 702 10050 SH SOLE 10050 0 0 Wisdomtree Tr MDCP Earn ETF MDCP EARN FUND 97717W570 3596 92970 SH SOLE 92970 0 0 Zoetis Inc Com CL A 98978V103 793 9500 SH SOLE 9500 0 0