0001507971-14-000004.txt : 20141107 0001507971-14-000004.hdr.sgml : 20141107 20141107103003 ACCESSION NUMBER: 0001507971-14-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141107 DATE AS OF CHANGE: 20141107 EFFECTIVENESS DATE: 20141107 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Wall Street Access Asset Management, LLC CENTRAL INDEX KEY: 0001507971 IRS NUMBER: 134152843 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14077 FILM NUMBER: 141203086 BUSINESS ADDRESS: STREET 1: 17 BATTERY PLACE STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 212 709-9400 MAIL ADDRESS: STREET 1: 17 BATTERY PLACE STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10004 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001507971 XXXXXXXX 09-30-2014 09-30-2014 Wall Street Access Asset Management, LLC
17 BATTERY PLACE 11TH FLOOR NEW YORK NY 10004
13F HOLDINGS REPORT 028-14077 N
Greg Viscovich Chief Compliance Officer 212 709-9429 Greg Viscoich New York NY 11-07-2014 0 117 184498 false
INFORMATION TABLE 2 wsaam13f09302014.xml 3D SYS CORP DEL COM NEW COM 88554D205 13865 364655 SH SOLE 41850 0 322805 ABBOTT LABS COM COM 2824100 266 6100 SH SOLE 900 0 5200 ABBVIE INC COM COM 00287Y109 4245 67300 SH SOLE 21800 0 45500 ABTECH HLDGS INC COM COM 00400H108 73 225000 SH SOLE 0 0 225000 AES TR III TR PFD CONV SECS CP PFD 00808N202 1028 20400 SH SOLE 14400 0 6000 AIR PRODS & CHEMS INC COM COM 9158106 296 2200 SH SOLE 0 0 2200 ALTRIA GROUP INC COM COM 02209S103 273 5650 SH SOLE 0 0 5650 AMERICAN INTL GROUP INC COM NE COM 26874784 434 8104 SH SOLE 0 0 8104 AMERICAN VANGUARD CORP COM COM 30371108 1329 115500 SH SOLE 42500 0 73000 AMERIGAS PARTNERS L P UNIT LTD COM 30975106 353 7650 SH SOLE 4250 0 3400 AMERIPRISE FINL INC COM COM 03076C106 447 3539 SH SOLE 0 0 3539 APPLE INC COM COM 37833100 578 5348 SH SOLE 1400 0 3948 AT&T INC COM COM 00206R102 364 10439 SH SOLE 4998 0 5441 AVERY DENNISON CORP COM COM 53611109 2087 44640 SH SOLE 15200 0 29440 BANCO SANTANDER SA ADR ISIN#US COM ADR 05964H105 236 26944 SH SOLE 0 0 26944 BARRICK GOLD CORP COM ISIN#CA0 COM 67901108 256 21586 SH SOLE 0 0 21586 BED BATH & BEYOND INC COM COM 75896100 280 4160 SH SOLE 0 0 4160 BERKSHIRE HATHAWAY INC DEL CL COM 84670108 1680 8 SH SOLE 0 0 8 BERKSHIRE HATHAWAY INC DEL CL COM 84670702 1724 12297 SH SOLE 1250 0 11047 BIOGEN IDEC INC COM COM 09062X103 642 2000 SH SOLE 0 0 2000 BOEING CO COM COM 97023105 269 2150 SH SOLE 1050 0 1100 BP PLC SPONS ADR COM ADR 55622104 572 13150 SH SOLE 2450 0 10700 BRISTOL MYERS SQUIBB CO COM COM 110122108 581 9981 SH SOLE 9581 0 400 CANADIAN NATURAL RES LTD ISIN# COM 136385101 1422 40200 SH SOLE 16200 0 24000 CANTEL MEDICAL CORP COM 138098108 124 3600 SH SOLE 0 0 3600 CECO ENVIRONMENTAL CORP COM 125141101 2612 183750 SH SOLE 74800 0 108950 CHEMTURA CORP COM NEW COM 163893209 1944 83450 SH SOLE 40300 0 43150 CHEVRON CORP NEW COM COM 166764100 1415 11803 SH SOLE 6161 0 5642 CHUBB CORP COM 171232101 2385 24000 SH SOLE 0 0 24000 CINCINNATI FINL CORP COM COM 172062101 2021 40050 SH SOLE 8050 0 32000 CISCO SYSTEMS INC COM 17275R102 3132 127808 SH SOLE 51100 0 76708 CONOCOPHILLIPS COM COM 20825C104 4608 63644 SH SOLE 24437 0 39207 CORNING INC COM 219350105 87 4500 SH SOLE 0 0 4500 CYBERONICS COM 23251P102 77 1500 SH SOLE 0 0 1500 DARLING INTL INC COM 237266101 3276 185600 SH SOLE 71900 0 113700 DIGIMARC CORP NEW COM COM 25381B101 1855 65400 SH SOLE 29300 0 36100 DISNEY WALT CO DISNEY COM COM 254687106 953 10430 SH SOLE 0 0 10430 DU PONT E I DE NEMOURS & CO CO COM 263534109 4575 66053 SH SOLE 26667 0 39386 DYNAVAX TECHNOLOGIES CORP COM COM 268158102 60 36500 SH SOLE 0 0 36500 EAGLE MATERIALS INC COM COM 26969P108 7186 81950 SH SOLE 34200 0 47750 ENBRIDGE ENERGY PARTNERS LP CO COM 29250R106 231 6400 SH SOLE 0 0 6400 ENERGY TRANSFER PARTNERS L P U COM 29273R109 270 4185 SH SOLE 0 0 4185 EOG RES INC COM COM 26875P101 295 3100 SH SOLE 2000 0 1100 EXXON MOBIL CORP COM COM 30231G102 4778 49409 SH SOLE 7100 0 42309 FIDELITY NATL FINL INC NEW FNF COM 31620R303 6583 221457 SH SOLE 88887 0 132570 FIDELITY NATL FINL INC NEW FNFV COM 31620R402 1577 117217 SH SOLE 49130 0 68087 FIDELITY NATL INFORMATION SVCS COM 31620M106 4428 75919 SH SOLE 29815 0 46104 FIRSTMERIT CORP COM COM 337915102 1148 62576 SH SOLE 34062 0 28514 GABELLI MULTIMEDIA TR INC COM COM 36239Q109 2385 248822 SH SOLE 105772 0 143050 GENERAL ELECTRIC CO COM COM 369604103 660 25559 SH SOLE 9524 0 16035 GENERAL MTRS CO COM COM 37045V100 322 10230 SH SOLE 0 0 10230 GOOGLE INC CL A COM 38259P508 301 530 SH SOLE 100 0 430 GOOGLE INC CL C COM 38259P706 313 560 SH SOLE 100 0 460 HALLIBURTON CO COM COM 406216101 278 5043 SH SOLE 0 0 5043 HDFC BK LTD ADR REPSTG 3 SHS COM ADR 40415F101 210 4000 SH SOLE 0 0 4000 IMMERSION CORP COM COM 452521107 105 12520 SH SOLE 0 0 12520 INTEL CORP COM COM 458140100 474 13936 SH SOLE 2300 0 11636 INTERCONTINENTAL EXCHANGE INC COM 45866F104 2255 10826 SH SOLE 0 0 10826 INTERNATIONAL BUSINESS MACHS C COM 459200101 638 3878 SH SOLE 2000 0 1878 ISHARES INC MSCI JAPAN ETF COM 464286848 290 24075 SH SOLE 0 0 24075 ISHARES TR 1-3 YR CR BD ETF COM 464288646 325 3084 SH SOLE 0 0 3084 ISHARES TR MSCI EMERGING MKTS COM 464287234 301 7131 SH SOLE 0 0 7131 ISHARES TR RUSSELL 2000 VALUE COM 464287630 597 5968 SH SOLE 0 0 5968 ISHARES TR S&P MIDCAP 400 GROW COM 464287606 312 1995 SH SOLE 0 0 1995 ISHARES TR S&P U S PFD STK IND COM 464288687 1011 25425 SH SOLE 0 0 25425 ISHARES TR TIPS BD ETF COM 464287176 565 5000 SH SOLE 0 0 5000 JOHNSON & JOHNSON COM COM 478160104 1443 13391 SH SOLE 2301 0 11090 JP MORGAN CHASE & CO COM ISIN# COM 46625H100 317 5241 SH SOLE 1075 0 4166 KINDER MORGAN INC DEL COM COM 49456B101 6645 171820 SH SOLE 70925 0 100895 KINDER MORGAN INC DEL WT EXP P Warrants 49456B119 1463 418968 SH SOLE 176736 0 242232 KRAFT FOODS GROUP INC COM COM 50076Q106 271 4806 SH SOLE 0 0 4806 LUMINEX CORP DEL COM COM 55027E102 4819 253350 SH SOLE 50300 0 203050 MAIN STR CAP CORP COM COM 56035L104 4076 128500 SH SOLE 60850 0 67650 MANULIFE FINL CORP COM ISIN#CA COM 56501R106 2407 126750 SH SOLE 46000 0 80750 MARSH & MCLENNAN COS INC COM COM 571748102 380 6994 SH SOLE 0 0 6994 MATERIALISE NV SPONSORED ADS R COM ADR 57667T100 1243 112770 SH SOLE 34800 0 77970 MERCK & CO INC NEW COM COM 58933Y105 470 8110 SH SOLE 5010 0 3100 MICROSOFT CORP COM COM 594918104 4245 90454 SH SOLE 29900 0 60554 MONDELEZ INTL INC CL A COM 609207105 508 14420 SH SOLE 0 0 14420 MONSANTO CO NEW COM COM 61166W101 217 1885 SH SOLE 0 0 1885 MOSYS INC COM COM 619718109 90 33550 SH SOLE 0 0 33550 NEW YORK CMNTY BANCORP INC COM COM 649445103 197 12350 SH SOLE 0 0 12350 NORTHEAST UTILITIES COM 664397106 3204 65325 SH SOLE 31150 0 34175 NORTHFIELD BANCORP INC DEL COM COM 66611T108 578 40555 SH SOLE 0 0 40555 NUVEEN NEW YORK AMT- FREE MUN COM 670656107 131 10080 SH SOLE 0 0 10080 OMEGA HEALTHCARE INVS INC COM COM 681936100 820 21500 SH SOLE 10500 0 11000 OXFORD LANE CAP CORP COM COM 691543102 3439 217436 SH SOLE 98825 0 118611 PARK-OHIO HLDGS CORP COM COM 700666100 12356 234060 SH SOLE 81700 0 152360 PEOPLES UTD FINL INC COM COM 712704105 821 56218 SH SOLE 17518 0 38700 PERSHING GOLD CORP COM COM 715302105 16 50000 SH SOLE 50000 0 0 PFIZER INC COM COM 717081103 2521 84228 SH SOLE 36306 0 47922 PHILLIPS 66 COM COM 718546104 564 7189 SH SOLE 6868 0 321 PIMCO ETF TR 0-5 YR HIGH YIELD COM 72201R783 306 2936 SH SOLE 0 0 2936 PLUM CREEK TIMBER CO INC COM COM 729251108 2489 60925 SH SOLE 19200 0 41725 PROCTER & GAMBLE CO COM COM 742718109 2101 24131 SH SOLE 13650 0 10481 PSYCHEMEDICS CORP COM NEW COM 744375205 2031 141525 SH SOLE 68200 0 73325 PURE CYCLE CORP COM COM 746228303 2441 404105 SH SOLE 163000 0 241105 REDWOOD TR INC COM COM 758075402 540 29500 SH SOLE 16100 0 13400 ROYAL DUTCH SHELL PLC SPONSORE COM ADR 780259206 309 4300 SH SOLE 3300 0 1000 RSTK NORTHFIELD BANCORP INC DE COM 66611T918 152 10700 SH SOLE 0 0 10700 SOUTHWESTERN ENERGY CO COM COM 845467109 234 7200 SH SOLE 0 0 7200 SPDR S&P 500 ETF TR TR UNIT COM 78462F103 383 1900 SH SOLE 0 0 1900 SUBURBAN PROPANE PARTNERS L P COM 864482104 3445 76552 SH SOLE 40150 0 36402 TEVA PHARMACEUTICAL INDUSTRIES COM ADR 881624209 3688 65500 SH SOLE 27650 0 37850 THERMO FISHER SCIENTIFIC INC C COM 883556102 588 5000 SH SOLE 0 0 5000 TICC CAP CORP COM COM 87244T109 2597 296006 SH SOLE 142050 0 153956 TIME WARNER CABLE INC COM COM 88732J207 466 3167 SH SOLE 0 0 3167 TIME WARNER INC NEW COM NEW COM 887317303 1201 15118 SH SOLE 0 0 15118 TORTOISE MLP FD INC COM COM 89148B101 1472 51800 SH SOLE 22700 0 29100 UNIVERSAL DISPLAY CORP COM COM 91347P105 271 8650 SH SOLE 4200 0 4450 VALLEY NATL BANCORP COM COM 919794107 1140 114500 SH SOLE 53100 0 61400 VANGUARD INDEX FDS VANGUARD RE COM 922908553 1284 16261 SH SOLE 0 0 16261 VERIZON COMMUNICATIONS INC COM COM 92343V104 365 7267 SH SOLE 1847 0 5420 WATTS WATER TECHNOLOGIES INC C COM 942749102 2492 41300 SH SOLE 16300 0 25000 WELLS FARGO & CO NEW COM COM 949746101 342 6450 SH SOLE 5750 0 700 WEYERHAEUSER CO COM 962166104 580 17122 SH SOLE 6400 0 10722 ZYNGA INC CL A COM 98986T108 78 30500 SH SOLE 0 0 30500