Chief Compliance Officer

0001599863-16-000019.txt : 20161108 0001599863-16-000019.hdr.sgml : 20161108 20161108171330 ACCESSION NUMBER: 0001599863-16-000019 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161108 DATE AS OF CHANGE: 20161108 EFFECTIVENESS DATE: 20161108 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: 161982021 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 09-30-2016 09-30-2016 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 11-08-2016 0 157 236832 false INFORMATION TABLE 2 2016Q3-Form13f-NFC.xml 3m Company COM 88579Y101 268 1520 SH SOLE 1520 0 0 Allegion Public Ltd Co ORD SHS G0176J109 1328 19265 SH SOLE 19265 0 0 Allergan Inc SHS G0177J108 600 2606 SH SOLE 2606 0 0 Alphabet Inc Cl A CAP STK CL A 02079K305 3079 3826 SH SOLE 3826 0 0 Alphabet Inc Cl C CAP STK CL C 02079K107 3615 4648 SH SOLE 4648 0 0 Altria Group Inc. COM 022095103 238 3762 SH SOLE 3762 0 0 Amazon.Com Inc COM 023135106 3923 4687 SH SOLE 4687 0 0 Amgen Inc COM 031162100 788 4726 SH SOLE 4726 0 0 Anadarko Pete Corp COM 032511107 824 13012 SH SOLE 13012 0 0 Apache Corp COM 037411105 305 4783 SH SOLE 4783 0 0 Apollo Invt Corp Com COM 03761U106 689 118500 SH SOLE 118500 0 0 Apple Computer Inc COM 037833100 2282 20186 SH SOLE 20186 0 0 Ares Capital Corp COM 04010L103 473 30500 SH SOLE 30500 0 0 Asterias Biotherapeutics Inc Com Ser A COM SER A 04624N107 3105 732265 SH SOLE 732265 0 0 AT&T Corp New COM 00206R102 391 9655 SH SOLE 9655 0 0 Autodesk Inc COM 052769106 494 6830 SH SOLE 6830 0 0 Automatic Data Processing Inc COM 053015103 824 9348 SH SOLE 9348 0 0 Bank Of America Corp COM 060505104 193 12332 SH SOLE 12332 0 0 BERKSHIRE HATHAWAY INCORPORATED CLASS A CL A 084670108 865 4 SH SOLE 4 0 0 Biocryst Pharmaceuticals Inc COM 09058V103 88 20000 SH SOLE 20000 0 0 Biogen Idec Inc COM 09062X103 796 2543 SH SOLE 2543 0 0 Blackrock Muni Hldgs Fd COM 09253N104 276 15000 SH SOLE 15000 0 0 Blackrock Muni Yield NY Qlty COM 09255E102 268 19000 SH SOLE 19000 0 0 Blackrock Muni Yield Fund COM 09253W104 619 39000 SH SOLE 39000 0 0 Blackstone Group LP COM 09253U108 655 25675 SH SOLE 25675 0 0 Boeing Co COM 097023105 369 2800 SH SOLE 2800 0 0 Bristol Myers Squibb COM 110122108 456 8473 SH SOLE 8473 0 0 Broadcom Ltd SHS Y09827109 572 3313 SH SOLE 3313 0 0 Buckeye Partners L P unit Ltd PARTN 118230101 308 4300 SH SOLE 4300 0 0 Cerner Corp COM 156782104 642 10400 SH SOLE 10400 0 0 Cerulean Pharma Inc COM 15708Q105 21 20000 SH SOLE 20000 0 0 Chesapeake Energy Corporation COM 165167107 183 29250 SH SOLE 29250 0 0 Chevron Corp COM 166764100 6389 62074 SH SOLE 62074 0 0 Citrix Systems Inc COM 177376100 300 3516 SH SOLE 3516 0 0 Comcast Corp CL A SPL 20030N101 895 13498 SH SOLE 13498 0 0 Contrafect Corp COM 212326102 41 16667 SH SOLE 16667 0 0 Contrafect Corp W Exp 01/31/2017 212326110 2 16667 SH SOLE 16667 0 0 Corning Inc COM 219350105 1137 48063 SH SOLE 48063 0 0 Crane Co Com COM 224399105 970 15400 SH SOLE 15400 0 0 CREE INC. COM 225447101 335 13039 SH SOLE 13039 0 0 CVS Health Corp COM 126650100 504 5800 SH SOLE 5800 0 0 Deere & Company COM 244199105 874 10242 SH SOLE 10242 0 0 Disney Walt Co COM 254687106 1277 13755 SH SOLE 13755 0 0 DOLBY LABORATORIES INC COM 25659T107 237 4369 SH SOLE 4369 0 0 Ecolab Inc COM 278865100 450 3700 SH SOLE 3700 0 0 Enbridge Energy Partners LP COM 29250R106 638 25100 SH SOLE 25100 0 0 Energy Transfer Partners LP UNIT LTD PARTN 29273R109 1833 49550 SH SOLE 49550 0 0 Enterprise Product Partners LP COM 293792107 3848 139480 SH SOLE 139480 0 0 Exxon Mobil Corp COM 30231G102 4842 55502 SH SOLE 55502 0 0 F M C Corp New COM 302491303 1537 31800 SH SOLE 31800 0 0 Fifth Street Finance Cp COM 31678A103 190 32700 SH SOLE 32700 0 0 First Trust Nasdaq 100 Ex-Tech Sector NASDAQ 100 EX 33733E401 1316 32500 SH SOLE 32500 0 0 Fluor Corp New COM 343412102 344 6711 SH SOLE 6711 0 0 Freeport McMoran Copper & Gold Cl B CL B 35671D857 401 36958 SH SOLE 36958 0 0 General Electric Co COM 369604103 1445 48800 SH SOLE 48800 0 0 Goldman Sachs Group Inc COM 38141G104 457 2830 SH SOLE 2830 0 0 Golub Cap BDC Inc Com COM 38173M102 201 10890 SH SOLE 10890 0 0 Harris Corp Del COM 413875105 1691 18456 SH SOLE 18456 0 0 Home Depot Inc COM 437076102 836 6500 SH SOLE 6500 0 0 Honeywell Intl Inc COM 438516106 233 2000 SH SOLE 2000 0 0 Illinois Tool Wks Inc COM 452308109 240 2000 SH SOLE 2000 0 0 IMMUNOGEN INC. COM 45253H101 92 34315 SH SOLE 34315 0 0 Ingersoll Rand PLC COM G47791101 1689 24859 SH SOLE 24859 0 0 Intl Business Machines COM 459200101 399 2509 SH SOLE 2509 0 0 Intl Flavors& Fragrances COM 459506101 3732 26105 SH SOLE 26105 0 0 Investors Bancorp Inc Com COM 46146L101 245 20400 SH SOLE 20400 0 0 Ionis Pharmaceuticals Inc COM 462222100 282 7703 SH SOLE 7703 0 0 ISHARES TR S&P 100 ETF 464287432 358 2606 SH SOLE 2606 0 0 ISHARES TR INTL SEL DIV ETF 464288448 1091 36400 SH SOLE 36400 0 0 ISHARES TR MSCI ACWI ETF 464288257 207 3499 SH SOLE 3499 0 0 ISHARES TR NASDQ BIOTEC ETF 464287556 525 1815 SH SOLE 1815 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 335 3169 SH SOLE 3169 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 671 8738 SH SOLE 8738 0 0 ISHARES TR GLOBAL ENERG ETF 464287341 406 12350 SH SOLE 12350 0 0 ISHARES TR SELECT DIVID ETF 464287168 420 4900 SH SOLE 4900 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 230 2204 SH SOLE 2204 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 2177 26782 SH SOLE 26782 0 0 Johnson & Johnson COM 478160104 2563 21696 SH SOLE 21696 0 0 Johnson Ctls Int'l PLC SHS G51502105 689 14799 SH SOLE 14799 0 0 JP Morgan Chase & Co COM 46625H100 1012 15200 SH SOLE 15200 0 0 Keryx Biopharmaceuticals Inc COM 492515101 245 46100 SH SOLE 46100 0 0 Kimberly Clark Corp COM 494368103 465 3688 SH SOLE 3688 0 0 Kinder Morgan Inc COM 49456B101 3068 132686 SH SOLE 132686 0 0 Kinder Morgan Inc PFD A 49456B200 501 10000 SH SOLE 10000 0 0 KKR & Co LP COM UNITS 48248M102 757 53100 SH SOLE 53100 0 0 L-3 Communications Hldgs Inc COM 502424104 499 3313 SH SOLE 3313 0 0 Liberty Broadband Corp Com Cl C 530307305 245 3427 SH SOLE 3427 0 0 Liberty Media Corp Com C SiriusXM 531229607 577 17269 SH SOLE 17269 0 0 Magellan Midstream Partners LP COM UNIT RP LP 559080106 1429 20200 SH SOLE 20200 0 0 Marathon Oil Corp COM 565849106 337 21340 SH SOLE 21340 0 0 Martin Marietta Matrls COM 573284106 358 2000 SH SOLE 2000 0 0 Medley Capital Corp COM 58503F106 191 25000 SH SOLE 25000 0 0 Medtronic Inc SHS G5960L103 223 2585 SH SOLE 2585 0 0 Merck & Co Inc COM 589331107 256 4105 SH SOLE 4105 0 0 Metlife Inc Com COM 59156R108 3991 89584 SH SOLE 89584 0 0 Mettler-Toledo Intl COM 592688105 388 925 SH SOLE 925 0 0 Microsoft Corp COM 594918104 501 8700 SH SOLE 8700 0 0 MPLX LP COM UNIT REP LTD 55336V100 457 13554 SH SOLE 13554 0 0 Nucor Corp COM 670346105 400 8081 SH SOLE 8081 0 0 Nuveen Quality Muncp Inc Fd COM 67066V101 352 23355 SH SOLE 23355 0 0 Orbital A T K Inc COM 68557N103 457 6000 SH SOLE 6000 0 0 Pepsico Inc COM 713448108 1113 10233 SH SOLE 10233 0 0 Pfizer Inc COM 717081103 52680 1555375 SH SOLE 1555375 0 0 Phillips 66 Com COM 718546104 960 11925 SH SOLE 11925 0 0 Plains All American Pipeline LP UNIT LTD PARTN 726503105 975 31050 SH SOLE 31050 0 0 Powershares ETF Tr DYNA BUYBK ACH 73935X286 232 4900 SH SOLE 4900 0 0 Powershares ETF Tr DYN PHRMA PORT 73935X799 5555 90315 SH SOLE 90315 0 0 Powershares ETF Tr II PFD PORTFOLIO 73936T565 208 13730 SH SOLE 13730 0 0 Powershs QQQ TRUST Ser ETF UNIT SER 0 73935A104 4019 33856 SH SOLE 33856 0 0 Procter & Gamble Co COM 742718109 1031 11489 SH SOLE 11489 0 0 Rexahn Pharmaceuticals Inc COM 761640101 31 150000 SH SOLE 150000 0 0 Royal Dutch Shell ADR Cl B SPON ADR B 780259107 1671 31625 SH SOLE 31625 0 0 Ryanair Hldgs Plc Adr SPON ADR NE 783513104 219 2925 SH SOLE 2925 0 0 Rydex ETF Trust Gug S&P 500 Eq WT 78355W106 209 2500 SH SOLE 2500 0 0 Seagate Technology PLC COM G7945M107 814 21112 SH SOLE 21112 0 0 Smucker J M Co New COM 832696405 271 2000 SH SOLE 2000 0 0 SELECT SECTOR SPDR TR SBI INT ENERGY 81369Y506 353 5000 SH SOLE 5000 0 0 SPDR Gold Tr Gold ETF GOLD SHS 78463V107 528 4200 SH SOLE 4200 0 0 SPDR S&P 500 Large Cap ETF TR UNIT 78462F103 4777 22084 SH SOLE 22084 0 0 SPDR S&P 600 Small Cap ETF S&P 600 SML CAP 78464A813 1101 9874 SH SOLE 9874 0 0 SPDR Technology Sector ETF TECHNOLOGY 81369Y803 443 9272 SH SOLE 9272 0 0 Sunoco Logistics Partners LP COM UNITS 86764L108 563 19833 SH SOLE 19833 0 0 TE Connectivity LTD REG SHS H84989104 536 8329 SH SOLE 8329 0 0 Thermo Fisher Scientific COM 883556102 875 5500 SH SOLE 5500 0 0 TJX Companies Inc COM 872540109 671 8979 SH SOLE 8979 0 0 Twitter Inc Com COM 90184L102 522 22639 SH SOLE 22639 0 0 Unitedhealth Group COM 91324P102 765 5465 SH SOLE 5465 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 459 5455 SH SOLE 5455 0 0 VANGUARD WORLD FUNDS COMSUM STP ETF 92204A207 320 2340 SH SOLE 2340 0 0 VANGUARD INTL EQUITY INDEX FTSE EMR MKT ETF 922042858 403 10700 SH SOLE 10700 0 0 VANGUARD WORLD FUNDS ENERGY ETF 92204A306 244 2500 SH SOLE 2500 0 0 VANGUARD INDEX FDS GRWTH ETF 922908736 5272 46961 SH SOLE 46961 0 0 VANGUARD WHITEHALL FD HIGH DIV YLD 921946406 11631 161245 SH SOLE 161245 0 0 VANGUARD INTL EQUITY INDEX FDS ALLWRLD EX US 922042775 512 11293 SH SOLE 11293 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 476 4475 SH SOLE 4475 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 1031 11019 SH SOLE 11019 0 0 VANGUARD INDEX FDS REIT ETF 922908553 2414 27828 SH SOLE 27828 0 0 VANGUARD INDEX FDS S & P 500 ETF SHS 922908363 1940 9766 SH SOLE 9766 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 251 3116 SH SOLE 3116 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 3456 31235 SH SOLE 31235 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 478 5700 SH SOLE 5700 0 0 VANGUARD STAR FD VG TL INTL STK F 921909768 217 4600 SH SOLE 4600 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 8377 75245 SH SOLE 75245 0 0 Verizon Communications COM 92343V104 311 6000 SH SOLE 6000 0 0 Vertex Pharmaceutcls Inc COM 92532F100 2023 23192 SH SOLE 23192 0 0 Vulcan Materials Co COM 929160109 7069 62160 SH SOLE 62160 0 0 Walgreens Boots Allianc COM 931427108 217 2693 SH SOLE 2693 0 0 Waste Management COM 94106L109 319 5000 SH SOLE 5000 0 0 Wells Fargo & Co New COM 949746101 584 13200 SH SOLE 13200 0 0 Western Digital Corp COM 958102105 344 5884 SH SOLE 5884 0 0 Williams Cos Inc COM 969457100 346 11250 SH SOLE 11250 0 0 Williams Partners LP COM UNIT LP 96950F104 793 21318 SH SOLE 21318 0 0 Willis Towers Watson Pub Ltd SHS G96629103 844 6358 SH SOLE 6358 0 0 Wisdomtree Europe Sm Cap Dvd ETF EUROPE SMCP DV 97717W869 2002 36185 SH SOLE 36185 0 0 Wisdomtree MidCap ETF MDCP EARN FUND 97717W570 7063 73822 SH SOLE 73822 0 0 Zoetis Inc Com CL A 98978V103 494 9500 SH SOLE 9500 0 0