0001507971-16-000008.txt : 20161114
0001507971-16-000008.hdr.sgml : 20161111
20161114144104
ACCESSION NUMBER: 0001507971-16-000008
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160930
FILED AS OF DATE: 20161114
DATE AS OF CHANGE: 20161114
EFFECTIVENESS DATE: 20161114
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: 161993821
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
09-30-2016
09-30-2016
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 Viscovich
New York
NY
11-14-2016
0
148
176724
false
INFORMATION TABLE
2
wsaam13f09302016.xml
3D SYS CORP DEL COM NEW
COM
88554D205
6567
365894
SH
SOLE
301915
0
63979
3M CO COM
COM
88579Y101
220
1250
SH
SOLE
550
0
700
ABBOTT LABS COM
COM
002824100
257
6100
SH
SOLE
5200
0
900
ABBVIE INC COM
COM
00287Y109
4623
73300
SH
SOLE
36400
0
36900
ABTECH HLDGS INC COM
COM
00400H108
6
225000
SH
SOLE
225000
0
0
AEGEAN MARINE PETROLEUM NETWOR
COM
Y0017S102
520
52000
SH
SOLE
29000
0
23000
AEROJET ROCKETDYNE HOLDINGS IN
COM
007800105
467
26588
SH
SOLE
26588
0
0
AES TR III TR PFD CONV SECS CP
PFD
00808N202
981
19250
SH
SOLE
6000
0
13250
ALLERGAN PLC
COM
g0177j108
383
1665
SH
SOLE
1665
0
0
ALPHABET INC CAP STK CL A
COM
02079K305
873
1087
SH
SOLE
987
0
100
ALPHABET INC CAP STK CL C
COM
02079K107
817
1052
SH
SOLE
952
0
100
ALTRIA GROUP INC COM
COM
02209S103
376
5950
SH
SOLE
5950
0
0
AMERICAN INTL GROUP INC COM NE
COM
026874784
490
8264
SH
SOLE
8264
0
0
AMERICAN RAILCAR INDUSTRIES IN
COM
02916p103
103
2475
SH
SOLE
2475
0
0
AMERIGAS PARTNERS L P UNIT LTD
COM
030975106
335
7350
SH
SOLE
3300
0
4050
AMERIPRISE FINL INC COM
COM
03076C106
353
3539
SH
SOLE
3539
0
0
AMGEN INC
COM
031162100
558
3348
SH
SOLE
3348
0
0
AMOREPACIFIC CORP PFD SHS NON
PFD
Y01258113
548
2850
SH
SOLE
2850
0
0
ANNALY CAP MGMT INC
COM
035710409
453
43113
SH
SOLE
43113
0
0
APPLE INC COM
COM
037833100
2068
18295
SH
SOLE
14395
0
3900
ARCELORMITTAL SA LUXEMBOURG NY
COM
03938l104
36
6000
SH
SOLE
6000
0
0
ARCHER DANIELS MIDLAND CO
COM
039483102
57
1360
SH
SOLE
1360
0
0
AT&T INC COM
COM
00206R102
493
12154
SH
SOLE
5844
0
6310
AVERY DENNISON CORP COM
COM
053611109
2893
37202
SH
SOLE
12270
0
24932
BAIDU COM INC SPONS ADR REPSTG
COM ADR
056752108
1058
5811
SH
SOLE
5811
0
0
BANCO SANTANDER SA ADR ISIN#US
COM ADR
05964H105
62
14155
SH
SOLE
14155
0
0
BARRICK GOLD CORP COM ISIN#CA0
COM
067901108
255
14420
SH
SOLE
13620
0
800
BAXTER INTL INC COM
COM
071813109
1037
21790
SH
SOLE
8840
0
12950
BERKSHIRE HATHAWAY INC DEL CL
COM
084670108
1729
8
SH
SOLE
8
0
0
BERKSHIRE HATHAWAY INC DEL CL
COM
084670702
1955
13537
SH
SOLE
12287
0
1250
BIOGEN IDEC INC COM
COM
09062X103
751
2400
SH
SOLE
2400
0
0
BOEING CO COM
COM
097023105
652
4950
SH
SOLE
4125
0
825
BP PLC SPONS ADR
COM ADR
055622104
3123
88855
SH
SOLE
42855
0
46000
BRISTOL MYERS SQUIBB CO COM
COM
110122108
548
10181
SH
SOLE
600
0
9581
CANADIAN NATURAL RES LTD ISIN#
COM
136385101
1014
31650
SH
SOLE
16650
0
15000
CATERPILLAR INC
COM
149123101
330
3712
SH
SOLE
3712
0
0
CECO ENVIRONMENTAL CORP
COM
125141101
1946
172599
SH
SOLE
82350
0
90249
CENTRAL PARK GROUP CARLYLE EQU
COM
15499E105
102
102458
SH
SOLE
102458
0
0
CENTRAL PARK GROUP CARLYLE FUN
COM
15499C109
116
115763
SH
SOLE
115763
0
0
CHEMTURA CORP COM NEW
COM
163893209
2770
84450
SH
SOLE
41150
0
43300
CHEVRON CORP NEW COM
COM
166764100
1282
12460
SH
SOLE
6399
0
6061
CHIPOTLE MEXICAN GRILL INC COM
COM
169656105
397
939
SH
SOLE
939
0
0
CHUBB LTD COM ISIN#CH004432874
COM
H1467J104
1621
12906
SH
SOLE
5416
0
7490
CINCINNATI FINL CORP COM
COM
172062101
1767
23431
SH
SOLE
7500
0
15931
CISCO SYSTEMS INC
COM
17275R102
3968
125099
SH
SOLE
68174
0
56925
CITIGROUP INC COM NEW ISIN#US1
COM
172967424
281
5956
SH
SOLE
5956
0
0
COCRYSTAL PHARMA INC COM
COM
19188J102
24
50000
SH
SOLE
0
0
50000
CONOCOPHILLIPS COM
COM
20825C104
901
20738
SH
SOLE
6007
0
14731
CYTOSORBENTS CORP
COM
23283x206
16
2500
SH
SOLE
2500
0
0
DARLING INGREDIENTS INC COM
COM
237266101
1880
139165
SH
SOLE
55400
0
83765
DIGIMARC CORP NEW COM
COM
25381B101
3204
83550
SH
SOLE
46150
0
37400
DISNEY WALT CO DISNEY COM
COM
254687106
938
10111
SH
SOLE
1179
0
8932
DOW CHEMICAL CO
COM
260543103
388
7481
SH
SOLE
7481
0
0
DU PONT E I DE NEMOURS & CO CO
COM
263534109
241
3606
SH
SOLE
3026
0
580
EAGLE MATERIALS INC COM
COM
26969P108
4744
61384
SH
SOLE
31050
0
30334
EASTMAN CHEM CO
COM
277432100
186
2755
SH
SOLE
2755
0
0
EOG RES INC COM
COM
26875P101
222
2300
SH
SOLE
300
0
2000
EVERSOURCE ENERGY COM
COM
30040W108
3214
59338
SH
SOLE
13025
0
46313
EXXON MOBIL CORP COM
COM
30231G102
3873
44382
SH
SOLE
20919
0
23463
FACEBOOK INC CL A
COM
30303M102
313
2446
SH
SOLE
2446
0
0
FIDELITY NATL FINL INC NEW FNF
COM
31620R303
6869
186120
SH
SOLE
86291
0
99829
FIDELITY NATL FINL INC NEW FNF
COM
31620R402
2695
215960
SH
SOLE
106910
0
109050
FIDELITY NATL INFORMATION SVCS
COM
31620M106
5485
71216
SH
SOLE
33694
0
37522
FLAMEL TECHNOLOGIES SA SPONSOR
COM ADR
338488109
2320
187150
SH
SOLE
99900
0
87250
GABELLI MULTIMEDIA TR INC COM
COM
36239Q109
2990
388868
SH
SOLE
181169
0
207699
GENERAL ELECTRIC CO COM
COM
369604103
799
26985
SH
SOLE
16461
0
10524
GENERAL MTRS CO COM
COM
37045V100
333
10509
SH
SOLE
10509
0
0
GILEAD SCIENCES INC
COM
375558103
289
3658
SH
SOLE
3658
0
0
GOLDMAN SACHS GROUP INC
COM
38141g104
289
1791
SH
SOLE
1791
0
0
GOLDMAN SACHS GROUP INC COM
COM
38141G104
221
1374
SH
SOLE
1374
0
0
HESS CORP
COM
42809h107
203
3785
SH
SOLE
3785
0
0
HSBC HOLDINGS PLC SP ADR
ADR
404280406
200
5325
SH
SOLE
5325
0
0
HUNTINGTON BANCSHARES INC
COM
446150104
949
96291
SH
SOLE
4300
0
91991
HUNTSMAN CORP
COM
447011107
503
30908
SH
SOLE
30908
0
0
INTEL CORP COM
COM
458140100
397
10531
SH
SOLE
7331
0
3200
INTERCONTINENTAL EXCHANGE INC
COM
45866F104
2721
10103
SH
SOLE
10103
0
0
INTERNATIONAL BUSINESS MACHS C
COM
459200101
826
5202
SH
SOLE
3202
0
2000
INTUITIVE SURGICAL INC COM NEW
COM
46120E602
217
300
SH
SOLE
300
0
0
ISHARES TR 1-3 YR CR BD ETF
COM
464288646
276
2613
SH
SOLE
2613
0
0
ISHARES TR 1-3 YR TREAS BD ETF
COM
464287457
225
2652
SH
SOLE
2652
0
0
ISHARES TR MSCI EMERGING MKTS
COM
464287234
207
5541
SH
SOLE
5541
0
0
ISHARES TR NATL MUN BD ETF FD
COM
464288414
339
3009
SH
SOLE
3009
0
0
ISHARES TR RUSSELL 2000 VALUE
COM
464287630
685
6543
SH
SOLE
6543
0
0
ISHARES TR S&P MIDCAP 400 GROW
COM
464287606
318
1821
SH
SOLE
1821
0
0
ISHARES TR S&P U S PFD STK IND
COM
464288687
613
15540
SH
SOLE
14310
0
1230
ISHARES TR TIPS BD ETF
COM
464287176
582
5000
SH
SOLE
5000
0
0
JOHNSON & JOHNSON COM
COM
478160104
1385
11725
SH
SOLE
390
0
11335
JP MORGAN CHASE & CO COM ISIN#
COM
46625H100
406
6097
SH
SOLE
5172
0
925
KBR INC
COM
48242w106
285
18865
SH
SOLE
18865
0
0
KINDER MORGAN INC DEL COM
COM
49456B101
4079
176386
SH
SOLE
73814
0
102572
KINDER MORGAN INC DEL WT EXP P
Warrants
49456B119
4
298885
SH
SOLE
109100
0
189785
KINNEVIK ABM B
COM
w5139v109
69
2800
SH
SOLE
2800
0
0
KONINKLIJKE PHILIPS NV
COM
500472303
298
10060
SH
SOLE
10060
0
0
KRAFT HEINZ CO COM STK
COM
500754106
202
2264
SH
SOLE
2023
0
241
LEUCADIA NATL CORP
COM
527288104
210
11054
SH
SOLE
11054
0
0
LUMINEX CORP DEL COM
COM
55027E102
5557
244619
SH
SOLE
175000
0
69619
MAIN STR CAP CORP COM
COM
56035L104
4358
126956
SH
SOLE
46850
0
80106
MAIN STR CAP CORP SR NTS CPN 6
PFD
56035L302
580
22350
SH
SOLE
5100
0
17250
MANULIFE FINL CORP COM ISIN#CA
COM
56501R106
2398
169997
SH
SOLE
77900
0
92097
MARSH & MCLENNAN COS INC COM
COM
571748102
201
2994
SH
SOLE
2994
0
0
MATERIALISE NV SPONSORED ADS R
COM ADR
57667T100
627
81450
SH
SOLE
52450
0
29000
MCDONALDS CORP
COM
580135101
278
2418
SH
SOLE
1718
0
700
MERCK & CO INC NEW COM
COM
58933Y105
431
6920
SH
SOLE
1910
0
5010
MICROSOFT CORP COM
COM
594918104
5522
95874
SH
SOLE
53277
0
42597
MONDELEZ INTL INC CL A
COM
609207105
582
13271
SH
SOLE
7220
0
6051
MONSANTO CO NEW COM
COM
61166W101
304
2975
SH
SOLE
2975
0
0
MOSYS INC COM
COM
619718109
47
63500
SH
SOLE
61000
0
2500
NATIONAL FUEL GAS CO NJ
COM
636180101
207
3837
SH
SOLE
3837
0
0
NAVIOS MARITME HLDGS INC COM I
COM
Y62196103
52
43000
SH
SOLE
43000
0
0
NEW YORK COMMUNITY BANCORP INC
COM
649445103
470
15710
SH
SOLE
31060
0
0
NON INVASIVE MONITORING SYS IN
COM
655366508
5
40000
SH
SOLE
0
0
40000
NORTHFIELD BANCORP INC DEL COM
COM
66611T108
644
40055
SH
SOLE
40055
0
0
NUVEEN NEW YORK AMT- FREE MUN
COM
670656107
278
19755
SH
SOLE
19755
0
0
OMEGA HEALTHCARE INVS INC COM
COM
681936100
920
25966
SH
SOLE
1000
0
24966
OXFORD LANE CAP CORP COM
COM
691543102
2043
195158
SH
SOLE
50611
0
144547
PARK-OHIO HLDGS CORP COM
COM
700666100
8085
221820
SH
SOLE
112110
0
109710
PEOPLES UTD FINL INC COM
COM
712704105
906
57281
SH
SOLE
18400
0
38881
PFIZER INC COM
COM
717081103
2936
86679
SH
SOLE
35372
0
51307
PHILLIPS 66 COM
COM
718546104
441
5478
SH
SOLE
178
0
5300
PIMCO ETF TR 0-5 YR HIGH YIELD
COM
72201R783
228
2295
SH
SOLE
2295
0
0
PROCTER & GAMBLE CO COM
COM
742718109
4405
49086
SH
SOLE
20136
0
28950
PSYCHEMEDICS CORP COM NEW
COM
744375205
2669
134688
SH
SOLE
45125
0
89563
PURE CYCLE CORP COM
COM
746228303
2189
381455
SH
SOLE
214955
0
166500
QUALCOMM INC
COM
747525103
120
1755
SH
SOLE
1755
0
0
REDWOOD TR INC COM
COM
758075402
356
25200
SH
SOLE
11300
0
13900
ROLLS-ROYCE HOLDINGS PLC LONDO
COM
G76225104
133
14300
SH
SOLE
14300
0
0
ROYAL DUTCH SHELL PLC SPONSORE
COM ADR
780259206
215
4300
SH
SOLE
1000
0
3300
RSTK NORTHFIELD BANCORP INC DE
COM
66611T918
172
10700
SH
SOLE
10700
0
0
SCHOLASTIC CORP
COM
807066105
3129
79500
SH
SOLE
41600
0
37900
SCORPIO TANKERS INC SHS ISIN#M
COM
Y7542C106
497
107500
SH
SOLE
54500
0
53000
SELECT SECTOR SPDR TR ENERGY
COM
81369Y506
201
2856
SH
SOLE
2856
0
0
SPDR S&P 500 ETF TR TR UNIT
COM
78462F103
489
2262
SH
SOLE
2262
0
0
SUBURBAN PROPANE PARTNERS L P
COM
864482104
2269
68151
SH
SOLE
26617
0
41534
TEVA PHARMACEUTICAL INDUSTRIES
COM ADR
881624209
3193
69400
SH
SOLE
35750
0
33650
TICC CAP CORP COM
COM
87244T109
778
133760
SH
SOLE
46100
0
87660
TIME WARNER INC NEW COM NEW
COM
887317303
838
10534
SH
SOLE
6500
0
4034
TITAN INTL INC IL
COM
88830m102
415
40980
SH
SOLE
40980
0
0
TORTOISE MLP FD INC COM
COM
89148B101
826
41331
SH
SOLE
5600
0
35731
TRANSOCEAN LTD REG
COM
h8817h100
50
4705
SH
SOLE
4705
0
0
TRIUMPH GROUP INC
COM
896818101
66
2370
SH
SOLE
2370
0
0
TSAKOS ENERGY NAVIGATION LTD S
COM
G9108L108
1137
236000
SH
SOLE
138000
0
98000
UNIVERSAL DISPLAY CORP COM
COM
91347P105
345
6226
SH
SOLE
2475
0
3751
VANGUARD INDEX FDS VANGUARD TO
COM
922908769
213
1916
SH
SOLE
1916
0
0
VERIZON COMMUNICATIONS INC COM
COM
92343V104
331
6369
SH
SOLE
4396
0
1973
WELLS FARGO & CO NEW COM
COM
949746101
303
6850
SH
SOLE
1100
0
5750
WEYERHAEUSER CO
COM
962166104
2961
92720
SH
SOLE
44202
0
48518
XPLORE TECHNOLOGIES CORP COM P
COM
983950700
47
20000
SH
SOLE
20000
0
0
YAHOO INC
COM
984332106
403
9360
SH
SOLE
9360
0
0