0001085146-14-001350.txt : 20140717 0001085146-14-001350.hdr.sgml : 20140717 20140717131106 ACCESSION NUMBER: 0001085146-14-001350 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140717 DATE AS OF CHANGE: 20140717 EFFECTIVENESS DATE: 20140717 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Empirical Financial Services, LLC CENTRAL INDEX KEY: 0001510434 IRS NUMBER: 272114998 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14067 FILM NUMBER: 14979862 BUSINESS ADDRESS: STREET 1: 1420 5TH AVE SUITE 3150 CITY: SEATTLE STATE: WA ZIP: 98101 BUSINESS PHONE: 2069233474 MAIL ADDRESS: STREET 1: 1420 5TH AVE SUITE 3150 CITY: SEATTLE STATE: WA ZIP: 98101 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001510434 XXXXXXXX 06-30-2014 06-30-2014 false Empirical Financial Services, LLC

1420 5TH AVE SUITE 3150 SEATTLE WA 98101

13F HOLDINGS REPORT 028-14067 N Shannon Contreras 503-808-9005 /s/ Shannon Contreras Portland OR 07-17-2014 0 101 403389 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 631 4407 SH SOLE 0 0 4407 AMGEN INC COM 031162100 387 3266 SH SOLE 0 0 3266 APPLE INC COM 037833100 1401 15078 SH SOLE 0 0 15078 BANK OF AMERICA CORPORATION COM 060505104 437 28444 SH SOLE 0 0 28444 BARCLAYS BK PLC IPSPGS TTL ETN 06738C794 20090 585211 SH SOLE 0 0 585211 BOEING CO COM 097023105 243 1911 SH SOLE 0 0 1911 CHEVRON CORP NEW COM 166764100 468 3587 SH SOLE 0 0 3587 CLAYMORE EXCHANGE TRD FD TR GUGG BULSH 2021 18383M266 945 44947 SH SOLE 0 0 44947 CLAYMORE EXCHANGE TRD FD TR GUG BUL 2019 HY 18383M373 614 23130 SH SOLE 0 0 23130 CLAYMORE EXCHANGE TRD FD TR GUG BLT2018 HY 18383M381 665 24219 SH SOLE 0 0 24219 CLAYMORE EXCHANGE TRD FD TR GUG BLT2017 HY 18383M399 712 25814 SH SOLE 0 0 25814 CLAYMORE EXCHANGE TRD FD TR GUG BLT2016 HY 18383M415 742 27065 SH SOLE 0 0 27065 CLAYMORE EXCHANGE TRD FD TR GUGG BULL 2015 18383M423 741 27539 SH SOLE 0 0 27539 CLAYMORE EXCHANGE TRD FD TR GUGG BULL 2014 18383M431 710 26828 SH SOLE 0 0 26828 CLAYMORE EXCHANGE TRD FD TR GUG BULL2020 E 18383M514 2145 100905 SH SOLE 0 0 100905 CLAYMORE EXCHANGE TRD FD TR GUG BULL2019 E 18383M522 2136 100865 SH SOLE 0 0 100865 CLAYMORE EXCHANGE TRD FD TR GUG BULL2018 E 18383M530 2296 107930 SH SOLE 0 0 107930 CLAYMORE EXCHANGE TRD FD TR GUGG CRP BD 2017 18383M548 2439 106452 SH SOLE 0 0 106452 CLAYMORE EXCHANGE TRD FD TR GUGG CRP BD 2016 18383M555 2677 119622 SH SOLE 0 0 119622 CLAYMORE EXCHANGE TRD FD TR GUGG CRP BD 2015 18383M563 2573 117470 SH SOLE 0 0 117470 CLAYMORE EXCHANGE TRD FD TR GUGG CRP BD 2014 18383M571 2540 120253 SH SOLE 0 0 120253 COCA COLA CO COM 191216100 279 6576 SH SOLE 0 0 6576 CONOCOPHILLIPS COM 20825C104 370 4315 SH SOLE 0 0 4315 DISNEY WALT CO COM DISNEY 254687106 263 3072 SH SOLE 0 0 3072 GENERAL ELECTRIC CO COM 369604103 596 22667 SH SOLE 0 0 22667 GILEAD SCIENCES INC COM 375558103 228 2748 SH SOLE 0 0 2748 INTERNATIONAL BUSINESS MACHS COM 459200101 220 1214 SH SOLE 0 0 1214 ISHARES MSCI FRNTR100ETF 464286145 1969 54596 SH SOLE 0 0 54596 ISHARES TIPS BD ETF 464287176 9125 79099 SH SOLE 0 0 79099 ISHARES CORE S&P500 ETF 464287200 581 2947 SH SOLE 0 0 2947 ISHARES CORE TOTUSBD ETF 464287226 2023 18490 SH SOLE 0 0 18490 ISHARES MSCI EMG MKT ETF 464287234 995 23009 SH SOLE 0 0 23009 ISHARES IBOXX INV CP ETF 464287242 210 1760 SH SOLE 0 0 1760 ISHARES 1-3 YR TR BD ETF 464287457 7145 84496 SH SOLE 0 0 84496 ISHARES MSCI EAFE ETF 464287465 2110 30855 SH SOLE 0 0 30855 ISHARES RUSSELL 2000 ETF 464287655 236 1986 SH SOLE 0 0 1986 ISHARES CORE S&P SCP ETF 464287804 283 2522 SH SOLE 0 0 2522 ISHARES EAFE SML CP ETF 464288273 572 10807 SH SOLE 0 0 10807 ISHARES CALI AMT-FRE ETF 464288356 231 1994 SH SOLE 0 0 1994 ISHARES NAT AMT FREE BD 464288414 6247 57494 SH SOLE 0 0 57494 ISHARES INTL DEVPPTY ETF 464288422 961 24605 SH SOLE 0 0 24605 ISHARES 1-3 YR CR BD ETF 464288646 1649 15606 SH SOLE 0 0 15606 ISHARES 3-7 YR TR BD ETF 464288661 666 5468 SH SOLE 0 0 5468 ISHARES MICRO-CAP ETF 464288869 634 8324 SH SOLE 0 0 8324 ISHARES 17 AMT-FREE ETF 464289271 239 4320 SH SOLE 0 0 4320 ISHARES 15 AMT-FREE ETF 464289339 289 5447 SH SOLE 0 0 5447 ISHARES 14 AMT-FREE ETF 464289362 305 5959 SH SOLE 0 0 5959 ISHARES INC CORE MSCI EMKT 46434G103 11773 227718 SH SOLE 0 0 227718 JOHNSON & JOHNSON COM 478160104 247 2363 SH SOLE 0 0 2363 MARKET VECTORS ETF TR MKTVEC INTMUETF 57060U845 1419 61030 SH SOLE 0 0 61030 MARKET VECTORS ETF TR HG YLD MUN ETF 57060U878 1480 49061 SH SOLE 0 0 49061 MICROSOFT CORP COM 594918104 1312 31454 SH SOLE 0 0 31454 OPKO HEALTH INC COM 68375N103 177 20000 SH SOLE 0 0 20000 PETROLEUM & RES CORP COM 716549100 361 11593 SH SOLE 0 0 11593 PIMCO ETF TR 1-3YR USTREIDX 72201R106 20697 406300 SH SOLE 0 0 406300 PIMCO ETF TR BROAD US TIPS 72201R403 451 7765 SH SOLE 0 0 7765 PIMCO ETF TR TOTL RETN ETF 72201R775 218 2000 SH SOLE 0 0 2000 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 7348 68758 SH SOLE 0 0 68758 POWERSHARES GLOBAL ETF TRUST WK VRDO TX FR 73936T433 2353 94224 SH SOLE 0 0 94224 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 239 2550 SH SOLE 0 0 2550 PROCTER & GAMBLE CO COM 742718109 553 7031 SH SOLE 0 0 7031 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 205 2671 SH SOLE 0 0 2671 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 29366 627071 SH SOLE 0 0 627071 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 2490 95651 SH SOLE 0 0 95651 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 1862 56447 SH SOLE 0 0 56447 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 3661 70533 SH SOLE 0 0 70533 SCHWAB STRATEGIC TR US TIPS ETF 808524870 26291 472019 SH SOLE 0 0 472019 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 720 15438 SH SOLE 0 0 15438 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 352 6994 SH SOLE 0 0 6994 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 414 8073 SH SOLE 0 0 8073 SPDR S&P 500 ETF TR TR UNIT 78462F103 990 5060 SH SOLE 0 0 5060 SPDR SER TR SHT TRM HGH YLD 78468R408 6950 224483 SH SOLE 0 0 224483 SPDR SERIES TRUST NUV HGHYLD MUN 78464A284 3303 58666 SH SOLE 0 0 58666 SPDR SERIES TRUST INTR TRM CORP BD 78464A375 1236 35867 SH SOLE 0 0 35867 SPDR SERIES TRUST BRCLY EM LOCL 78464A391 1700 54452 SH SOLE 0 0 54452 SPDR SERIES TRUST NUVN BR SHT MUNI 78464A425 1341 55126 SH SOLE 0 0 55126 SPDR SERIES TRUST BARC SHT TR CP 78464A474 610 19786 SH SOLE 0 0 19786 SPDR SERIES TRUST DJ REIT ETF 78464A607 1564 18841 SH SOLE 0 0 18841 SPDR SERIES TRUST S&P DIVID ETF 78464A763 236 3083 SH SOLE 0 0 3083 STARBUCKS CORP COM 855244109 383 4949 SH SOLE 0 0 4949 TWITTER INC COM 90184L102 271 6615 SH SOLE 0 0 6615 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 1603 19947 SH SOLE 0 0 19947 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 467 5680 SH SOLE 0 0 5680 VANGUARD INDEX FDS REIT ETF 922908553 16173 216101 SH SOLE 0 0 216101 VANGUARD INDEX FDS LARGE CAP ETF 922908637 11490 127651 SH SOLE 0 0 127651 VANGUARD INDEX FDS GROWTH ETF 922908736 210 2119 SH SOLE 0 0 2119 VANGUARD INDEX FDS VALUE ETF 922908744 945 11672 SH SOLE 0 0 11672 VANGUARD INDEX FDS TOTAL STK MKT 922908769 4694 46121 SH SOLE 0 0 46121 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 1666 28704 SH SOLE 0 0 28704 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 1483 23825 SH SOLE 0 0 23825 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 586 13594 SH SOLE 0 0 13594 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 1309 26119 SH SOLE 0 0 26119 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 78826 980793 SH SOLE 0 0 980793 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 48445 559665 SH SOLE 0 0 559665 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 15704 368735 SH SOLE 0 0 368735 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 723 10908 SH SOLE 0 0 10908 WISDOMTREE TR EMERG MKTS ETF 97717W315 308 5939 SH SOLE 0 0 5939 WISDOMTREE TR SMALLCAP DIVID 97717W604 464 6624 SH SOLE 0 0 6624 WISDOMTREE TR INTL SMCAP DIV 97717W760 335 5168 SH SOLE 0 0 5168 WISDOMTREE TR EM LCL DEBT FD 97717X867 1150 24187 SH SOLE 0 0 24187 ZAGG INC COM 98884U108 217 40022 SH SOLE 0 0 40022