Chief Compliance Officer

0001599863-19-000008.txt : 20191113 0001599863-19-000008.hdr.sgml : 20191113 20191113133159 ACCESSION NUMBER: 0001599863-19-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191113 DATE AS OF CHANGE: 20191113 EFFECTIVENESS DATE: 20191113 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: 191212938 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 09-30-2019 09-30-2019 Northeast Financial Consultants Inc

PO BOX 2630 WESTPORT CT 06880

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SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 559 6206 SH SOLE 0 0 6206 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 6836 84894 SH SOLE 0 0 84634 SENSATA TECHNOLOGIES HLDNG P SHS G8060N102 2717 54273 SH SOLE 0 0 54273 SHELL MIDSTREAM PARTNERS L P UNIT LTD INT 822634101 16465 805157 SH SOLE 0 0 804657 SIGA TECHNOLOGIES INC COM 826917106 268 52339 SH SOLE 0 0 52339 SMITH & NEPHEW PLC SPDN ADR NEW 83175M205 313 6500 SH SOLE 0 0 6500 SMUCKER J M CO COM NEW 832696405 221 2006 SH SOLE 0 0 2006 SONOCO PRODS CO COM 835495102 483 8300 SH SOLE 0 0 8300 SPDR GOLD TRUST GOLD SHS 78463V107 1369 9858 SH SOLE 0 0 9858 SPDR INDEX SHS FDS ASIA PACIF ETF 78463X301 547 5851 SH SOLE 0 0 5851 SPDR S&P 500 ETF TR TR UNIT 78462F103 12983 43749 SH SOLE 0 0 43710 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 324 920 SH SOLE 0 0 920 SPDR SERIES TRUST HLTH CR EQUIP 78464A581 334 4272 SH SOLE 0 0 4272 SPDR SERIES TRUST S&P DIVID ETF 78464A763 993 9679 SH SOLE 0 0 9679 SPDR SERIES TRUST S&P 600 SML CAP 78464A813 31418 467492 SH SOLE 0 0 466696 SPECTRUM PHARMACEUTICALS INC COM 84763A108 83 10000 SH SOLE 0 0 10000 STARBUCKS CORP COM 855244109 1395 15772 SH SOLE 0 0 15772 STRYKER CORP COM 863667101 844 3900 SH SOLE 0 0 3900 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 919 53444 SH SOLE 0 0 53444 TE CONNECTIVITY LTD REG SHS H84989104 1046 11227 SH SOLE 0 0 11227 TELEDYNE TECHNOLOGIES INC COM 879360105 344 1069 SH SOLE 0 0 1069 TELEFLEX INC COM 879369106 289 850 SH SOLE 0 0 850 TEXAS INSTRS INC COM 882508104 2079 16088 SH SOLE 0 0 16088 THE CHARLES SCHWAB CORPORATI COM 808513105 4225 101014 SH SOLE 0 0 101014 THERMO FISHER SCIENTIFIC INC COM 883556102 3534 12134 SH SOLE 0 0 12134 TJX COS INC NEW COM 872540109 1133 20320 SH SOLE 0 0 20320 TRANSOCEAN LTD REG SHS H8817H100 1433 320500 SH SOLE 0 0 320500 TWITTER INC COM 90184L102 1214 29491 SH SOLE 0 0 29391 TYLER TECHNOLOGIES INC COM 902252105 3166 12061 SH SOLE 0 0 12061 UNITED PARCEL SERVICE INC CL B 911312106 273 2281 SH SOLE 0 0 2281 UNITED TECHNOLOGIES CORP COM 913017109 712 5217 SH SOLE 0 0 5217 UNITEDHEALTH GROUP INC COM 91324P102 1145 5268 SH SOLE 0 0 5268 UNIVERSAL CORP VA COM 913456109 603 11000 SH SOLE 0 0 11000 US BANCORP DEL COM NEW 902973304 311 5624 SH SOLE 0 0 5624 VANECK VECTORS ETF TR VIETNAM ETF 92189F817 179 10976 SH SOLE 0 0 10976 VANGUARD GROUP DIV APP ETF 921908844 24134 201840 SH SOLE 0 0 201425 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1050 7091 SH SOLE 0 0 7091 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 4625 16974 SH SOLE 0 0 16724 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 1943 17197 SH SOLE 0 0 17197 VANGUARD INDEX FDS SM CP VAL ETF 922908611 4796 37220 SH SOLE 0 0 37220 VANGUARD INDEX FDS TOTAL STK MKT 922908769 22474 148832 SH SOLE 0 0 148832 VANGUARD INDEX FDS GROWTH ETF 922908736 94432 568060 SH SOLE 0 0 562478 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 666 16535 SH SOLE 0 0 16535 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 1224 22835 SH SOLE 0 0 22835 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 5727 114761 SH SOLE 0 0 114761 VANGUARD WHITEHALL FDS INC INTL HIGH ETF 921946794 3033 51077 SH SOLE 0 0 51077 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 57588 649050 SH SOLE 0 0 648531 VANGUARD WORLD FDS INF TECH ETF 92204A702 348 1614 SH SOLE 0 0 1614 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 394 2514 SH SOLE 0 0 2514 VANGUARD WORLD FDS MATERIALS ETF 92204A801 342 2708 SH SOLE 0 0 2708 VANGUARD WORLD FDS ENERGY ETF 92204A306 468 6000 SH SOLE 0 0 6000 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 19174 273919 SH SOLE 0 0 273919 VARONIS SYS INC COM 922280102 209 3500 SH SOLE 0 0 3500 VERIZON COMMUNICATIONS INC COM 92343V104 1530 25340 SH SOLE 0 0 25340 VERTEX PHARMACEUTICALS INC COM 92532F100 698 4121 SH SOLE 0 0 4121 VISA INC COM CL A 92826C839 1181 6866 SH SOLE 0 0 6866 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 300 15058 SH SOLE 0 0 15058 WABCO HLDGS INC COM 92927K102 264 1975 SH SOLE 0 0 1975 WALGREENS BOOTS ALLIANCE INC COM 931427108 459 8300 SH SOLE 0 0 8300 WALMART INC COM 931142103 545 4600 SH SOLE 0 0 4500 WASTE MGMT INC DEL COM 94106L109 6123 53240 SH SOLE 0 0 53240 WATSCO INC COM 942622200 1174 6940 SH SOLE 0 0 6940 WELLS FARGO CO NEW PERP PFD CNV A 949746804 2558 1680 SH SOLE 0 0 1680 WELLS FARGO CO NEW COM 949746101 1271 25199 SH SOLE 0 0 25199 WESTERN DIGITAL CORP COM 958102105 590 9898 SH SOLE 0 0 9898 WILLIAMS COS INC DEL COM 969457100 707 29402 SH SOLE 0 0 29402 WILLIS TOWERS WATSON PUB LTD SHS G96629103 609 3157 SH SOLE 0 0 3157 WISDOMTREE TR EUROPE SMCP DV 97717W869 235 4210 SH SOLE 0 0 4210 WISDOMTREE TR US QTLY DIV GRT 97717X669 1010 22398 SH SOLE 0 0 22398 WISDOMTREE TR US MIDCAP FUND 97717W570 4860 123231 SH SOLE 0 0 123231 ZAFGEN INC COM 98885E103 17 23243 SH SOLE 0 0 23243 ZOETIS INC CL A 98978V103 2533 20330 SH SOLE 0 0 20330