Chief Compliance Officer

0001599863-18-000006.txt : 20180727 0001599863-18-000006.hdr.sgml : 20180727 20180727100316 ACCESSION NUMBER: 0001599863-18-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180727 DATE AS OF CHANGE: 20180727 EFFECTIVENESS DATE: 20180727 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: 18973558 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 06-30-2018 06-30-2018 Northeast Financial Consultants Inc

PO BOX 2630 WESTPORT CT 06880

13F HOLDINGS REPORT 028-15844 N Patrice Reilly Chief Compliance Officer 2032268997 Patrice Reilly Westport CT 07-27-2018 0 145 324634 false INFORMATION TABLE 2 2018Q2-Form13f-NFC.xml 3m Company COM 88579Y101 397 2020 SH SOLE 2020 0 0 Abbott Labs COM 002824100 258 4232 SH SOLE 4232 0 0 Abbvie Inc COM 00287Y109 270 2920 SH SOLE 2920 0 0 ALPS ETF TR Alerian MLP Index 00162Q866 122 12100 SH SOLE 12100 0 0 Alibaba Group Hldg Ltd Sponsored Ads 01609W102 919 4957 SH SOLE 4957 0 0 Allergan Inc SHS G0177J108 967 5805 SH SOLE 5805 0 0 Alphabet Inc Cl A CAP STK CL A 02079K305 5719 5065 SH SOLE 5065 0 0 Alphabet Inc Cl C CAP STK CL C 02079K107 5152 4618 SH SOLE 4618 0 0 Altria Group Inc. COM 022095103 228 4031 SH SOLE 4031 0 0 Amazon.Com Inc COM 023135106 5478 3223 SH SOLE 3223 0 0 Amgen Inc COM 031162100 872 4726 SH SOLE 4726 0 0 Anadarko Pete Corp COM 032511107 1185 16182 SH SOLE 16182 0 0 Apache Corp COM 037411105 223 4783 SH SOLE 4783 0 0 Apollo Invt Corp Com COM 03761U106 172 31000 SH SOLE 31000 0 0 Apple Computer Inc COM 037833100 3085 16666 SH SOLE 16666 0 0 Ares Capital Corp COM 04010L103 468 28450 SH SOLE 28450 0 0 Asterias Biotherapeutics Inc COM SER A 04624N107 988 732265 SH SOLE 732265 0 0 AT&T Corp New COM 00206R102 202 6300 SH SOLE 6300 0 0 Autodesk Inc COM 052769106 895 6830 SH SOLE 6830 0 0 Automatic Data Processing Inc COM 053015103 1307 9748 SH SOLE 9748 0 0 Avangrid Inc COM 05351W103 1584 29936 SH SOLE 29936 0 0 Bank Of America Corp COM 060505104 604 21428 SH SOLE 21428 0 0 BERKSHIRE HATHAWAY INCORPORATED CLASS A CL A 084670108 1128 4 SH SOLE 4 0 0 Biocryst Pharmaceuticals Inc COM 09058V103 114 20000 SH SOLE 20000 0 0 Biogen Idec Inc COM 09062X103 796 2743 SH SOLE 2743 0 0 Blackrock Muni Yield Fund COM 09253W104 386 29000 SH SOLE 29000 0 0 Blackstone Group LP COM 09253U108 842 26175 SH SOLE 26175 0 0 Boeing Co COM 097023105 939 2800 SH SOLE 2800 0 0 Brighthouse Financial COM 10922N103 261 6526 SH SOLE 6526 0 0 Broadcom Ltd SHS Y09827109 803 3313 SH SOLE 3313 0 0 Cerner Corp COM 156782104 621 10400 SH SOLE 10400 0 0 Chesapeake Utils Corp COM 165303108 287 3600 SH SOLE 3600 0 0 Chevron Corp COM 166764100 7086 56050 SH SOLE 56050 0 0 Citrix Systems Inc COM 177376100 368 3516 SH SOLE 3516 0 0 Comcast Corp CL A SPL 20030N101 705 21488 SH SOLE 21488 0 0 Corning Inc COM 219350105 1322 48063 SH SOLE 48063 0 0 CREE INC. COM 225447101 542 13039 SH SOLE 13039 0 0 Deere & Company COM 244199105 1543 11042 SH SOLE 11042 0 0 Disney Walt Co COM 254687106 1377 13143 SH SOLE 13143 0 0 DOLBY LABORATORIES INC COM 25659T107 269 4369 SH SOLE 4369 0 0 DowDuPont Inc COM 26078J100 462 7012 SH SOLE 7012 0 0 Ecolab Inc COM 278865100 378 2700 SH SOLE 2700 0 0 Enbridge Energy Partners LP COM 29250R106 181 16600 SH SOLE 16600 0 0 Energy Transfer Partners LP UNIT LTD PARTN 29273R109 1117 58708 SH SOLE 58708 0 0 Enterprise Product Partners LP COM 293792107 3400 122900 SH SOLE 122900 0 0 Exxon Mobil Corp COM 30231G102 681 8238 SH SOLE 8238 0 0 Facebook Inc Com COM 30303M102 257 1325 SH SOLE 1325 0 0 First Trust EXCH TRADED FD DJ Internet IDX 33733E302 12222 88791 SH SOLE 88791 0 0 First Trust EXCH TRADED FD Nasdaq 100 Ex 33733E401 1632 32500 SH SOLE 32500 0 0 Fluor Corp New COM 343412102 526 10788 SH SOLE 10788 0 0 Freeport McMoran Copper & Gold Cl B CL B 35671D857 637 36958 SH SOLE 36958 0 0 Goldman Sachs Group Inc COM 38141G104 615 2789 SH SOLE 2789 0 0 Golub Cap BDC Inc Com COM 38173M102 378 20690 SH SOLE 20690 0 0 INVESCO EXCHANGE TRADED FD S&P500 EQL IND 78355W833 2309 20157 SH SOLE 20157 0 0 Harris Corp Del COM 413875105 2812 19456 SH SOLE 19456 0 0 Home Depot Inc COM 437076102 1316 6747 SH SOLE 6747 0 0 IMMUNOGEN INC. COM 45253H101 333 34315 SH SOLE 34315 0 0 Intl Business Machines COM 459200101 350 2509 SH SOLE 2509 0 0 Intl Flavors& Fragrances COM 459506101 2524 20362 SH SOLE 20362 0 0 INVESCO EXCHANGE TRADED FD S&P500 EQL WGT 46137V357 254 2500 SH SOLE 2500 0 0 Ionis Pharmaceuticals Inc COM 462222100 320 7703 SH SOLE 7703 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 614 5059 SH SOLE 5059 0 0 ISHARES TR Russell 2000 ETF 464287655 861 5261 SH SOLE 5261 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 796 8999 SH SOLE 8999 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 220 1670 SH SOLE 1670 0 0 ISHARES TR GLOBAL TECH ETF 464287291 264 1607 SH SOLE 1607 0 0 ISHARES TR SELECT DIVID ETF 464287168 478 4900 SH SOLE 4900 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 864 6010 SH SOLE 6010 0 0 ISHARES TR MSCI EAFE ETF 464287465 835 12473 SH SOLE 12473 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 336 7766 SH SOLE 7766 0 0 ISHARES TR RUS MID CAP ETF 464287499 454 2144 SH SOLE 2144 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 2294 26998 SH SOLE 26998 0 0 ISHARES TR U.S. Tech ETF 464287721 201 1130 SH SOLE 1130 0 0 Johnson & Johnson COM 478160104 3153 25988 SH SOLE 25988 0 0 Johnson Ctls Int'l PLC SHS G51502105 490 14664 SH SOLE 14664 0 0 JP Morgan Chase & Co COM 46625H100 1562 14996 SH SOLE 14996 0 0 Kimberly Clark Corp COM 494368103 430 4088 SH SOLE 4088 0 0 Kinder Morgan Inc COM 49456B101 214 12146 SH SOLE 12146 0 0 KKR & Co LP COM UNITS 48248M102 725 29200 SH SOLE 29200 0 0 L3 Technologies Inc COM 502413107 637 3313 SH SOLE 3313 0 0 Liberty Broadband Corp Com Cl C Com Cl C 530307305 259 3427 SH SOLE 3427 0 0 Liberty Media Corp Com C SiriusXM Com C SiriusXM 531229607 783 17269 SH SOLE 17269 0 0 Lockheed Martin Corp COM 539830109 354 1200 SH SOLE 1200 0 0 Magellan Midstream Partners LP COM UNIT RP LP 559080106 967 14000 SH SOLE 14000 0 0 Mcdonalds Corp COM 580135101 485 3100 SH SOLE 3100 0 0 Medtronic PLC SHS G5960L103 221 2585 SH SOLE 2585 0 0 Merck & Co Inc COM 589331107 208 3434 SH SOLE 3434 0 0 Metlife Inc Com COM 59156R108 3635 83384 SH SOLE 83384 0 0 Microsoft Corp COM 594918104 1174 11909 SH SOLE 11909 0 0 MPLX LP COM UNIT REP LTD 55336V100 1693 49592 SH SOLE 49592 0 0 Nike Inc Class B CL B 654106103 235 2952 SH SOLE 2952 0 0 Northern Trust Corporation COM 665859104 205 2000 SH SOLE 2000 0 0 Northrop Grumman Corp COM 666807102 250 815 SH SOLE 815 0 0 Nucor Corp COM 670346105 505 8081 SH SOLE 8081 0 0 Nuveen Quality Muncp Inc Fd COM 67066V101 173 13066 SH SOLE 13066 0 0 Pepsico Inc COM 713448108 1222 11233 SH SOLE 11233 0 0 Pfizer Inc COM 717081103 48097 1325717 SH SOLE 1325717 0 0 Phillips 66 Partners Lp COM UNIT REP INT 718549207 510 10000 SH SOLE 10000 0 0 POWERSHARES ETF TR II KBW BK ETF 73937B746 379 7085 SH SOLE 7085 0 0 Powershares ETF Tr II PFD PORTFOLIO 73936T565 190 13080 SH SOLE 13080 0 0 Powershs QQQ TRUST Ser ETF UNIT SER 0 73935A104 5485 31959 SH SOLE 31959 0 0 Procter & Gamble Co COM 742718109 613 7860 SH SOLE 7860 0 0 Rexahn Pharmaceuticals Inc COM 761640200 21 15000 SH SOLE 15000 0 0 Royal Dutch Shell ADR Cl B SPON ADR B 780259107 2257 31078 SH SOLE 31078 0 0 Salesforce Com Inc COM 79466L302 232 1706 SH SOLE 1706 0 0 Seagate Technology PLC COM G7945M107 717 12701 SH SOLE 12701 0 0 Smucker J M Co New COM 832696405 214 2000 SH SOLE 2000 0 0 SPDR INDEX SHS FDS EMERG ASIA PAC ETF 78463X301 485 4875 SH SOLE 4875 0 0 SPDR Gold Tr GOLD SHS 78463V107 427 3600 SH SOLE 3600 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 5309 19571 SH SOLE 19571 0 0 SPDR SERIES TRUST S&P 600 SML CAP 78464A813 15530 214802 SH SOLE 214802 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 213 600 SH SOLE 600 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 2540 36576 SH SOLE 36576 0 0 TE Connectivity LTD REG SHS H84989104 750 8329 SH SOLE 8329 0 0 Thermo Fisher Scientific COM 883556102 207 1000 SH SOLE 1000 0 0 TJX Companies Inc COM 872540109 854 8979 SH SOLE 8979 0 0 Twitter Inc Com COM 90184L102 1283 29391 SH SOLE 29391 0 0 Unitedhealth Group COM 91324P102 929 3789 SH SOLE 3789 0 0 VANGUARD WORLD FUNDS COMSUM STP ETF 92204A207 325 2428 SH SOLE 2428 0 0 VANGUARD INTL EQUITY INDEX FTSE EMR MKT ETF 922042858 579 13730 SH SOLE 13730 0 0 VANGUARD WORLD FUNDS FINANCIALS ETF 92204A405 16507 244730 SH SOLE 244730 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 38480 256872 SH SOLE 256872 0 0 VANGUARD WHITEHALL FD HIGH DIV YLD 921946406 22482 270701 SH SOLE 270701 0 0 VANGUARD INTL EQUITY INDEX FDS FTSE EUROPE ETF 922042874 327 5835 SH SOLE 5835 0 0 VANGUARD INTL EQUITY INDEX FDS ALLWRLD EX US 922042775 5151 99379 SH SOLE 99379 0 0 VANGUARD WHITEHALL FD INTL HIGH ETF 921946794 8063 129570 SH SOLE 129570 0 0 VANGUARD WORLD FUNDS MATERIALS ETF 92204A801 232 1765 SH SOLE 1765 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 502 3740 SH SOLE 3740 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 961 8707 SH SOLE 8707 0 0 VANGUARD INDEX FDS S & P 500 ETF SHS 922908363 1825 7316 SH SOLE 7316 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 286 3666 SH SOLE 3666 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 4234 31185 SH SOLE 31185 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 4577 45046 SH SOLE 45046 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 9053 64468 SH SOLE 64468 0 0 Vertex Pharmaceutcls Inc COM 92532F100 4074 23971 SH SOLE 23971 0 0 Visa Inc COM CL A 92826C839 346 2619 SH SOLE 2619 0 0 Vulcan Materials Co COM 929160109 442 3426 SH SOLE 3426 0 0 Walmart Inc COM 931142103 351 4100 SH SOLE 4100 0 0 Waste Management COM 94106L109 569 7000 SH SOLE 7000 0 0 Western Digital Corp COM 958102105 455 5884 SH SOLE 5884 0 0 Williams Partners LP COM UNIT LP 96950F104 633 15600 SH SOLE 15600 0 0 Willis Towers Watson Pub Ltd SHS G96629103 554 3657 SH SOLE 3657 0 0 Wisdomtree Tr Europe SMCP Dvd ETF EUROPE SMCP DV 97717W869 655 10050 SH SOLE 10050 0 0 Wisdomtree Tr MDCP Earn ETF MDCP EARN FUND 97717W570 3614 89970 SH SOLE 89970 0 0 Zoetis Inc Com CL A 98978V103 1130 13271 SH SOLE 13271 0 0