0001085146-16-004622.txt : 20161104 0001085146-16-004622.hdr.sgml : 20161104 20161103174435 ACCESSION NUMBER: 0001085146-16-004622 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161104 DATE AS OF CHANGE: 20161103 EFFECTIVENESS DATE: 20161104 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: 161973013 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 false false 0001510434 XXXXXXXX 09-30-2016 09-30-2016 Empirical Financial Services, LLC

1420 5TH AVE SUITE 3150 SEATTLE WA 98101

13F HOLDINGS REPORT 028-14067 N James A. Jones II 206 923-3474 /s/ James A. Jones II Seatlle WA 11-02-2016 0 109 382911 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y1015823301SHSOLE 003301AMAZON COM INCCOM023135106699835SHSOLE 00835AMGEN INCCOM0311621005373218SHSOLE 003218APPLE INCCOM037833100242321430SHSOLE 0021430AT&T INCCOM00206R1023027444SHSOLE 007444AUTOMATIC DATA PROCESSING INCOM0530151032252548SHSOLE 002548BANK AMER CORPCOM06050510439825442SHSOLE 0025442BARCLAYS BK PLCIPSPGS TTL ETN06738C79416612111SHSOLE 0012111BERKSHIRE HATHAWAY INC DELCL A0846701082161SHSOLE 00100BOEING COCOM0970231055173924SHSOLE 003924CAMDEN NATL CORPCOM133034108175336713SHSOLE 0036713CHEVRON CORP NEWCOM166764100110010688SHSOLE 0010688CISCO SYS INCCOM17275R1023109764SHSOLE 009764CLAYMORE EXCHANGE TRD FD TR2021 HG YLD CB18383M22593837784SHSOLE 0037784CLAYMORE EXCHANGE TRD FD TRGUGG BULSH 202218383M258152670502SHSOLE 0070502CLAYMORE EXCHANGE TRD FD TRGUGG BULSH 202118383M266150169485SHSOLE 0069485CLAYMORE EXCHANGE TRD FD TRGUG BUL 2020 HY18383M36593938663SHSOLE 0038663CLAYMORE EXCHANGE TRD FD TRGUG BUL 2019 HY18383M373103342581SHSOLE 0042581CLAYMORE EXCHANGE TRD FD TRGUG BLT2018 HY18383M381102740573SHSOLE 0040573CLAYMORE EXCHANGE TRD FD TRGUG BLT2017 HY18383M39995236757SHSOLE 0036757CLAYMORE EXCHANGE TRD FD TRGUG BLT2016 HY18383M41597537795SHSOLE 0037795CLAYMORE EXCHANGE TRD FD TRGUG BULL2020 E18383M514205994844SHSOLE 0094844CLAYMORE EXCHANGE TRD FD TRGUG BULL2019 E18383M522213999950SHSOLE 0099950CLAYMORE EXCHANGE TRD FD TRGUG BULL2018 E18383M530213299987SHSOLE 0099987CLAYMORE EXCHANGE TRD FD TRGUGG CRP BD 201718383M548212693742SHSOLE 0093742CLAYMORE EXCHANGE TRD FD TRGUGG CRP BD 201618383M555194688208SHSOLE 0088208COCA COLA COCOM1912161003007086SHSOLE 007086CONOCOPHILLIPSCOM20825C1042716238SHSOLE 006238COSTCO WHSL CORP NEWCOM22160K1054833169SHSOLE 003169DANAHER CORP DELCOM2358511022743489SHSOLE 003489DISNEY WALT COCOM DISNEY2546871064234559SHSOLE 004559EXXON MOBIL CORPCOM30231G1025726549SHSOLE 006549FACEBOOK INCCL A30303M1022912272SHSOLE 002272FIRST TR EXCH TRD ALPHA FD IEMERG MKT ALPH33737J18260229024SHSOLE 0029024FIRST TR EXCHANGE TRADED FDSENIOR LN FD33738D3094509289SHSOLE 009289FIRST TR EXCHANGE-TRADED FDPFD SECS INC ETF33739E10892947534SHSOLE 0047534GABELLI EQUITY TR INCCOM3623971018214560SHSOLE 0014560GENERAL ELECTRIC COCOM36960410385628916SHSOLE 0028916GILEAD SCIENCES INCCOM3755581033494411SHSOLE 004411INTEL CORPCOM458140100247865653SHSOLE 0065653INTERNATIONAL BUSINESS MACHSCOM4592001013101953SHSOLE 001953ISHARESMSCI FRNTR100ETF464286145210581973SHSOLE 0081973ISHARES INCCORE MSCI EMKT46434G10317884392103SHSOLE 00392103ISHARES SILVER TRUSTISHARES46428Q10942723485SHSOLE 0023485ISHARES TRCORE S&P TTL STK4642871502094229SHSOLE 004229ISHARES TRTIPS BD ETF464287176448438492SHSOLE 0038492ISHARES TRCORE S&P500 ETF4642872008573940SHSOLE 003940ISHARES TRCORE US AGGBD ET464287226140612503SHSOLE 0012503ISHARES TRIBOXX INV CP ETF4642872424713823SHSOLE 003823ISHARES TR1-3 YR TR BD ETF46428745731617371784SHSOLE 00371784ISHARES TRMSCI EAFE ETF46428746562310528SHSOLE 0010528ISHARES TRCORE S&P MCP ETF4642875072691739SHSOLE 001739ISHARES TRCORE S&P SCP ETF4642878043462788SHSOLE 002788ISHARES TRSHRT NAT MUN ETF464288158177516750SHSOLE 0016750ISHARES TRJP MOR EM MK ETF464288281450538433SHSOLE 0038433ISHARES TRNATIONAL MUN ETF464288414377133450SHSOLE 0033450ISHARES TRCORE US CR BD4642886202101845SHSOLE 001845ISHARES TR1-3 YR CR BD ETF4642886469979430SHSOLE 009430ISHARES TR3-7 YR TR BD ETF4642886614523570SHSOLE 003570ISHARES TRMICRO-CAP ETF4642888696608462SHSOLE 008462ISHARES TRCORE MSCI EAFE46432F84271012872SHSOLE 0012872JOHNSON & JOHNSONCOM4781601043773188SHSOLE 003188MICROSOFT CORPCOM594918104249043228SHSOLE 0043228MOLINA HEALTHCARE INCCOM60855R1003856605SHSOLE 006605NIKE INCCL B6541061032925549SHSOLE 005549OPKO HEALTH INCCOM68375N10323522200SHSOLE 0022200PEPSICO INCCOM7134481082422225SHSOLE 002225PFIZER INCCOM7170811032056053SHSOLE 006053PIMCO ETF TR0-5 HIGH YIELD72201R7837017043SHSOLE 007043POWERSHARES ETF TR IIWK VRDO TX FR73936T43334613901SHSOLE 0013901POWERSHARES QQQ TRUSTUNIT SER 173935A1043082591SHSOLE 002591PROCTER AND GAMBLE COCOM74271810990010031SHSOLE 0010031RYDEX ETF TRUSTGUG S&P500 EQ WT78355W1062613120SHSOLE 003120SCHWAB STRATEGIC TRUS LRG CAP ETF80852420110668206658SHSOLE 00206658SCHWAB STRATEGIC TREMRG MKTEQ ETF808524706223396850SHSOLE 0096850SCHWAB STRATEGIC TRINTL EQTY ETF80852480548816945SHSOLE 0016945SCHWAB STRATEGIC TRUS AGGREGATE B808524839419078063SHSOLE 0078063SCHWAB STRATEGIC TRUS TIPS ETF808524870194334047SHSOLE 0034047SCHWAB STRATEGIC TRINTL SCEQT ETF80852488851316598SHSOLE 0016598SPDR GOLD TRUSTGOLD SHS78463V1072041620SHSOLE 001620SPDR INDEX SHS FDSDJ GLB RL ES ETF78463X7493998005SHSOLE 008005SPDR INDEX SHS FDSS&P INTL ETF78463X77295926073SHSOLE 0026073SPDR S&P 500 ETF TRTR UNIT78462F1039644456SHSOLE 004456SPDR SER TRSHT TRM HGH YLD78468R40820374735780SHSOLE 00735780SPDR SER TRNUVN BR SHT MUNI78468R739197040332SHSOLE 0040332SPDR SERIES TRUSTNUV HGHYLD MUN78464A2846841115310SHSOLE 00115310SPDR SERIES TRUSTINTR TRM CORP BD78464A375111531941SHSOLE 0031941SPDR SERIES TRUSTBRCLY EM LOCL78464A3912839984SHSOLE 009984SPDR SERIES TRUSTBARC SHT TR CP78464A474147547929SHSOLE 0047929SPDR SERIES TRUSTDJ REIT ETF78464A607105310818SHSOLE 0010818STARBUCKS CORPCOM855244109122822688SHSOLE 0022688TWITTER INCCOM90184L10225511060SHSOLE 0011060US BANCORP DELCOM NEW90297330453812549SHSOLE 0012549VANECK VECTORS ETF TRHIGH YLD MUN ETF92189F361130240363SHSOLE 0040363VANECK VECTORS ETF TRAMT FREE INT ETF92189F544112045536SHSOLE 0045536VANGUARD INDEX FDSREIT ETF92290855310560121744SHSOLE 00121744VANGUARD INDEX FDSLARGE CAP ETF922908637943795168SHSOLE 0095168VANGUARD INDEX FDSVALUE ETF92290874491410511SHSOLE 0010511VANGUARD INDEX FDSTOTAL STK MKT922908769418237561SHSOLE 0037561VANGUARD INTL EQUITY INDEX FGLB EX US ETF92204267699517705SHSOLE 0017705VANGUARD MALVERN FDSSTRM INFPROIDX92202080540393813559SHSOLE 00813559VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C409820411018507SHSOLE 001018507VANGUARD SCOTTSDALE FDSINT-TERM CORP92206C87052751588875SHSOLE 00588875VANGUARD SPECIALIZED PORTFOLDIV APP ETF9219088444955893SHSOLE 005893VANGUARD WHITEHALL FDS INCHIGH DIV YLD921946406137219025SHSOLE 0019025VERIZON COMMUNICATIONS INCCOM92343V1042785339SHSOLE 005339WISDOMTREE TREMER MKT HIGH FD97717W31541110951SHSOLE 0010951WISDOMTREE TRSMALLCAP DIVID97717W6047059374SHSOLE 009374WISDOMTREE TRINTL SMCAP DIV97717W7605518979SHSOLE 008979