0001599863-20-000004.txt : 20200513 0001599863-20-000004.hdr.sgml : 20200513 20200513124308 ACCESSION NUMBER: 0001599863-20-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200513 DATE AS OF CHANGE: 20200513 EFFECTIVENESS DATE: 20200513 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: 20872039 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 03-31-2020 03-31-2020 Northeast Financial Consultants Inc

PO BOX 2630 WESTPORT CT 06880

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14973 SH SOLE 0 0 14973 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 569 107700 SH SOLE 0 0 107700 PNC FINL SVCS GROUP INC COM 693475105 1477 15426 SH SOLE 0 0 15426 PRECIGEN INC COM 74017N105 139 40881 SH SOLE 0 0 40881 PROCTER & GAMBLE CO COM 742718109 3594 32674 SH SOLE 0 0 32674 QUALCOMM INC COM 747525103 204 3015 SH SOLE 0 0 3015 QURATE RETAIL INC COM SER A 74915M100 108 17663 SH SOLE 0 0 17663 RAYTHEON CO COM NEW 755111507 907 6915 SH SOLE 0 0 6915 REGENERON PHARMACEUTICALS COM 75886F107 731 1497 SH SOLE 0 0 1497 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 3929 120290 SH SOLE 0 0 120290 SALESFORCE COM INC COM 79466L302 1112 7721 SH SOLE 0 0 7721 SCHWAB CHARLES CORP COM 808513105 3381 100554 SH SOLE 0 0 100554 SEAGATE TECHNOLOGY PLC SHS G7945M107 906 18575 SH SOLE 0 0 18575 SEATTLE GENETICS INC COM 812578102 450 3900 SH SOLE 0 0 3900 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 7146 88932 SH SOLE 0 0 88932 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 601 6787 SH SOLE 0 0 6787 SENSATA TECHNOLOGIES HLDNG P SHS G8060N102 1570 54273 SH SOLE 0 0 54273 SHELL MIDSTREAM PARTNERS L P UNIT LTD INT 822634101 8614 863096 SH SOLE 0 0 863096 SIGA TECHNOLOGIES INC COM 826917106 250 52339 SH SOLE 0 0 52339 SMITH & NEPHEW GROUP PLC SPDN ADR NEW 83175M205 233 6500 SH SOLE 0 0 6500 SMUCKER J M CO COM NEW 832696405 223 2006 SH SOLE 0 0 2006 SONOCO PRODS CO COM 835495102 385 8300 SH SOLE 0 0 8300 SPDR GOLD TRUST GOLD SHS 78463V107 1414 9548 SH SOLE 0 0 9548 SPDR INDEX SHS FDS ASIA PACIF ETF 78463X301 349 4105 SH SOLE 0 0 4105 SPDR S&P 500 ETF TR TR UNIT 78462F103 12524 48588 SH SOLE 0 0 48588 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 242 920 SH SOLE 0 0 920 SPDR SER TR S&P 600 SML CAP 78464A813 17667 364790 SH SOLE 0 0 364790 SPDR SER TR S&P DIVID ETF 78464A763 784 9818 SH SOLE 0 0 9818 SPDR SER TR PORTFOLIO S&P600 78468R853 493 22587 SH SOLE 0 0 22587 SPDR SER TR HLTH CR EQUIP 78464A581 306 4272 SH SOLE 0 0 4272 SPECTRUM PHARMACEUTICALS INC COM 84763A108 23 10000 SH SOLE 0 0 10000 STARBUCKS CORP COM 855244109 992 15085 SH SOLE 0 0 15085 STRYKER CORP COM 863667101 662 3975 SH SOLE 0 0 3975 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 412 27122 SH SOLE 0 0 27122 TE CONNECTIVITY LTD REG SHS H84989104 707 11227 SH SOLE 0 0 11227 TELEFLEX INCORPORATED COM 879369106 249 850 SH SOLE 0 0 850 TEXAS INSTRS INC COM 882508104 1315 13160 SH SOLE 0 0 13160 THERMO FISHER SCIENTIFIC INC COM 883556102 1935 6823 SH SOLE 0 0 6823 TJX COS INC NEW COM 872540109 971 20320 SH SOLE 0 0 20320 TORTOISE ENERGY INFRA CORP COM 89147L100 38 15000 SH SOLE 0 0 15000 TRANE TECHNOLOGIES PLC SHS G8994E103 1176 14236 SH SOLE 0 0 14236 TRANSOCEAN LTD REG SHS H8817H100 307 265000 SH SOLE 0 0 265000 TWITTER INC COM 90184L102 768 31276 SH SOLE 0 0 31276 TYLER TECHNOLOGIES INC COM 902252105 3577 12061 SH SOLE 0 0 12061 UNITED TECHNOLOGIES CORP COM 913017109 285 3020 SH SOLE 0 0 3020 UNITEDHEALTH GROUP INC COM 91324P102 1127 4518 SH SOLE 0 0 4518 UNIVERSAL CORP VA COM 913456109 486 11000 SH SOLE 0 0 11000 VANECK VECTORS ETF TR VIETNAM ETF 92189F817 115 11055 SH SOLE 0 0 11055 VANGUARD INDEX FDS GROWTH ETF 922908736 90434 577183 SH SOLE 0 0 577183 VANGUARD INDEX FDS TOTAL STK MKT 922908769 19078 147992 SH SOLE 0 0 147992 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 4047 17088 SH SOLE 0 0 17088 VANGUARD INDEX FDS SM CP VAL ETF 922908611 3159 35570 SH SOLE 0 0 35570 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 1349 16591 SH SOLE 0 0 16591 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 898 7091 SH SOLE 0 0 7091 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 3018 73567 SH SOLE 0 0 73567 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 988 22835 SH SOLE 0 0 22835 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 464 13841 SH SOLE 0 0 13841 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 23061 223066 SH SOLE 0 0 223066 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 44712 631983 SH SOLE 0 0 631983 VANGUARD WHITEHALL FDS INTL HIGH ETF 921946794 1384 30563 SH SOLE 0 0 30563 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 12035 237287 SH SOLE 0 0 237287 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 353 2560 SH SOLE 0 0 2560 VANGUARD WORLD FDS INF TECH ETF 92204A702 342 1614 SH SOLE 0 0 1614 VANGUARD WORLD FDS MATERIALS ETF 92204A801 261 2709 SH SOLE 0 0 2709 VANGUARD WORLD FDS ENERGY ETF 92204A306 229 6000 SH SOLE 0 0 6000 VARONIS SYS INC COM 922280102 223 3500 SH SOLE 0 0 3500 VERIZON COMMUNICATIONS INC COM 92343V104 1223 22753 SH SOLE 0 0 22753 VERTEX PHARMACEUTICALS INC COM 92532F100 963 4046 SH SOLE 0 0 4046 VISA INC COM CL A 92826C839 1477 9165 SH SOLE 0 0 9165 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 204 14805 SH SOLE 0 0 14805 WALGREENS BOOTS ALLIANCE INC COM 931427108 381 8319 SH SOLE 0 0 8319 WALMART INC COM 931142103 907 7981 SH SOLE 0 0 7981 WASTE MGMT INC DEL COM 94106L109 4989 53900 SH SOLE 0 0 53900 WELLS FARGO CO NEW PERP PFD CNV A 949746804 2141 1680 SH SOLE 0 0 1680 WELLS FARGO CO NEW COM 949746101 499 17376 SH SOLE 0 0 17376 WESTERN DIGITAL CORP. COM 958102105 408 9808 SH SOLE 0 0 9808 WILLIS TOWERS WATSON PLC LTD SHS G96629103 536 3157 SH SOLE 0 0 3157 WISDOMTREE TR US MIDCAP FUND 97717W570 3187 120645 SH SOLE 0 0 120645 WISDOMTREE TR US QTLY DIV GRT 97717X669 872 22419 SH SOLE 0 0 22419 ZAFGEN INC COM 98885E103 18 23243 SH SOLE 0 0 23243 ZOETIS INC CL A 98978V103 2347 19944 SH SOLE 0 0 19944