0001085146-17-000340.txt : 20170208
0001085146-17-000340.hdr.sgml : 20170208
20170207211916
ACCESSION NUMBER: 0001085146-17-000340
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161231
FILED AS OF DATE: 20170208
DATE AS OF CHANGE: 20170207
EFFECTIVENESS DATE: 20170208
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: 17580762
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
12-31-2016
12-31-2016
Empirical Financial Services, LLC
1420 5TH AVE SUITE 3150
SEATTLE
WA
98101
13F HOLDINGS REPORT
028-14067
N
James A. Jones II
Chief Compliance Officer
206 923-3474
/s/ James A. Jones II
Seatlle
WA
02-06-2017
0
123
407432
false
INFORMATION TABLE
2
form13fInfoTable.xml
DESCRIPTION FOR INFORMATION TABLE
3M COCOM88579Y1014572558SHSOLE
255800ALASKA AIR GROUP INCCOM0116591092312602SHSOLE
260200ALPHABET INCCAP STK CL A02079K305207261SHSOLE
26100AMAZON COM INCCOM023135106714952SHSOLE
95200AMGEN INCCOM0311621004673192SHSOLE
319200APPLE INCCOM037833100248121424SHSOLE
2142400AT&T INCCOM00206R10248711447SHSOLE
1144700AUTOMATIC DATA PROCESSING INCOM0530151032432360SHSOLE
236000BANK AMER CORPCOM06050510470531889SHSOLE
3188900BERKSHIRE HATHAWAY INC DELCL A0846701082441SHSOLE
10000BOEING COCOM0970231057835028SHSOLE
502800CAMDEN NATL CORPCOM133034108239753919SHSOLE
5391900CHEVRON CORP NEWCOM166764100126510747SHSOLE
1074700CLAYMORE EXCHANGE TRD FD TR2022 HG YLD CB18383M2172028092SHSOLE
809200CLAYMORE EXCHANGE TRD FD TR2021 HG YLD CB18383M225104442262SHSOLE
4226200CLAYMORE EXCHANGE TRD FD TRGUGG BULSH 202218383M258158075518SHSOLE
7551800CLAYMORE EXCHANGE TRD FD TRGUGG BULSH 202118383M266158475450SHSOLE
7545000CLAYMORE EXCHANGE TRD FD TRGUG BUL 2020 HY18383M365104342982SHSOLE
4298200CLAYMORE EXCHANGE TRD FD TRGUG BUL 2019 HY18383M373113346920SHSOLE
4692000CLAYMORE EXCHANGE TRD FD TRGUG BLT2018 HY18383M381113645100SHSOLE
4510000CLAYMORE EXCHANGE TRD FD TRGUG BLT2017 HY18383M399107341563SHSOLE
4156300CLAYMORE EXCHANGE TRD FD TRGUG BULL2020 E18383M514208998528SHSOLE
9852800CLAYMORE EXCHANGE TRD FD TRGUG BULL2019 E18383M5222148101594SHSOLE
10159400CLAYMORE EXCHANGE TRD FD TRGUG BULL2018 E18383M5302220104807SHSOLE
10480700CLAYMORE EXCHANGE TRD FD TRGUGG CRP BD 201718383M548220197339SHSOLE
9733900COCA COLA COCOM1912161002836836SHSOLE
683600CONOCOPHILLIPSCOM20825C1042785535SHSOLE
553500COSTCO WHSL CORP NEWCOM22160K1055993743SHSOLE
374300DANAHER CORP DELCOM2358511022723490SHSOLE
349000DISNEY WALT COCOM DISNEY2546871065445219SHSOLE
521900EXXON MOBIL CORPCOM30231G1025446032SHSOLE
603200FACEBOOK INCCL A30303M1023382935SHSOLE
293500FIRST TR EXCH TRD ALPHA FD IEMERG MKT ALPH33737J18259029050SHSOLE
2905000FIRST TR EXCHANGE TRADED FDSENIOR LN FD33738D3094519289SHSOLE
928900FIRST TR EXCHANGE-TRADED FDPFD SECS INC ETF33739E10857130070SHSOLE
3007000GABELLI EQUITY TR INCCOM3623971018314949SHSOLE
1494900GENERAL ELECTRIC COCOM369604103103332693SHSOLE
3269300GILEAD SCIENCES INCCOM3755581033114348SHSOLE
434800INTEL CORPCOM458140100201055412SHSOLE
5541200INTERNATIONAL BUSINESS MACHSCOM4592001013662202SHSOLE
220200ISHARESMSCI FRNTR100ETF464286145218687956SHSOLE
8795600ISHARES INCCORE MSCI EMKT46434G10317460411317SHSOLE
41131700ISHARES SILVER TRUSTISHARES46428Q10935523485SHSOLE
2348500ISHARES TRCORE S&P TTL STK4642871504168115SHSOLE
811500ISHARES TRTIPS BD ETF464287176425637608SHSOLE
3760800ISHARES TRCORE S&P500 ETF46428720010734770SHSOLE
477000ISHARES TRCORE US AGGBD ET464287226128011845SHSOLE
1184500ISHARES TRIBOXX INV CP ETF4642872422472106SHSOLE
210600ISHARES TRS&P 500 GRWT ETF4642873096105005SHSOLE
500500ISHARES TRS&P 500 VAL ETF4642874086556465SHSOLE
646500ISHARES TR1-3 YR TR BD ETF46428745732709387317SHSOLE
38731700ISHARES TRMSCI EAFE ETF46428746562510824SHSOLE
1082400ISHARES TRCORE S&P MCP ETF4642875073301997SHSOLE
199700ISHARES TRRUS 1000 GRW ETF4642876142051953SHSOLE
195300ISHARES TRRUSSELL 2000 ETF4642876552712013SHSOLE
201300ISHARES TRCORE S&P SCP ETF4642878044443230SHSOLE
323000ISHARES TREAFE SML CP ETF464288273141428371SHSOLE
2837100ISHARES TRJP MOR EM MK ETF464288281442240117SHSOLE
4011700ISHARES TRCALIF MUN BD ETF4642883563012606SHSOLE
260600ISHARES TRNATIONAL MUN ETF464288414555651359SHSOLE
5135900ISHARES TRINTL DEVPPTY ETF46428842239811847SHSOLE
1184700ISHARES TRUS CREDIT BD ETF4642886203573265SHSOLE
326500ISHARES TR1-3 YR CR BD ETF464288646108610344SHSOLE
1034400ISHARES TR3-7 YR TR BD ETF4642886614023284SHSOLE
328400ISHARES TRMICRO-CAP ETF4642888696998145SHSOLE
814500ISHARES TR0-5 YR TIPS ETF46429B7472062047SHSOLE
204700ISHARES TRCORE MSCI EAFE46432F84269112878SHSOLE
1287800JOHNSON & JOHNSONCOM4781601044764132SHSOLE
413200JPMORGAN CHASE & COCOM46625H1002362737SHSOLE
273700MICROSOFT CORPCOM594918104307549482SHSOLE
4948200MOLINA HEALTHCARE INCCOM60855R1003586605SHSOLE
660500NIKE INCCL B6541061033015929SHSOLE
592900OPKO HEALTH INCCOM68375N10320622200SHSOLE
2220000PEPSICO INCCOM7134481082932802SHSOLE
280200PFIZER INCCOM7170811032618044SHSOLE
804400PIMCO ETF TR0-5 HIGH YIELD72201R7836446453SHSOLE
645300POWERSHARES ETF TR IIWK VRDO TX FR73936T43334713901SHSOLE
1390100POWERSHARES QQQ TRUSTUNIT SER 173935A1045734840SHSOLE
484000PROCTER AND GAMBLE COCOM7427181098359932SHSOLE
993200RYDEX ETF TRUSTGUG S&P500 EQ WT78355W1062703120SHSOLE
312000SCHWAB STRATEGIC TRUS LRG CAP ETF80852420110400195272SHSOLE
19527200SCHWAB STRATEGIC TREMRG MKTEQ ETF8085247062304106855SHSOLE
10685500SCHWAB STRATEGIC TRINTL EQTY ETF80852480542815466SHSOLE
1546600SCHWAB STRATEGIC TRUS AGGREGATE B808524839423582230SHSOLE
8223000SCHWAB STRATEGIC TRUS TIPS ETF808524870191534919SHSOLE
3491900SCHWAB STRATEGIC TRINTL SCEQT ETF80852488867623220SHSOLE
2322000SOUTHWEST AIRLS COCOM8447411082515033SHSOLE
503300SPDR INDEX SHS FDSDJ GLB RL ES ETF78463X7493397228SHSOLE
722800SPDR INDEX SHS FDSS&P EMKTSC ETF78463X75642710747SHSOLE
1074700SPDR INDEX SHS FDSS&P INTL ETF78463X772108730153SHSOLE
3015300SPDR S&P 500 ETF TRTR UNIT78462F10310404651SHSOLE
465100SPDR SER TRBLOOMBERG SRT TR78468R40821636781635SHSOLE
78163500SPDR SER TRNUVEEN BLMBRG SR78468R7398183170700SHSOLE
17070000SPDR SERIES TRUSTNUV HGHYLD MUN78464A284510191141SHSOLE
9114100SPDR SERIES TRUSTBLOMBRG BRC INTR78464A375115033922SHSOLE
3392200SPDR SERIES TRUSTBLOMBRG BRC EMRG78464A3912619825SHSOLE
982500SPDR SERIES TRUSTBLOMBERG BRC SRT78464A474113937302SHSOLE
3730200SPDR SERIES TRUSTDJ REIT ETF78464A607146415685SHSOLE
1568500SPDR SERIES TRUSTS&P DIVID ETF78464A7632893381SHSOLE
338100STARBUCKS CORPCOM855244109129023237SHSOLE
2323700US BANCORP DELCOM NEW90297330465412727SHSOLE
1272700VANECK VECTORS ETF TRHIGH YLD MUN ETF92189F3613149106091SHSOLE
10609100VANECK VECTORS ETF TRAMT FREE INT ETF92189F544105245346SHSOLE
4534600VANGUARD BD INDEX FD INCSHORT TRM BOND92193782794011830SHSOLE
1183000VANGUARD BD INDEX FD INCTOTAL BND MRKT9219378353394196SHSOLE
419600VANGUARD INDEX FDSREIT ETF92290855310423126293SHSOLE
12629300VANGUARD INDEX FDSSM CP VAL ETF9229086113883209SHSOLE
320900VANGUARD INDEX FDSLARGE CAP ETF922908637974895219SHSOLE
9521900VANGUARD INDEX FDSVALUE ETF92290874497810511SHSOLE
1051100VANGUARD INDEX FDSSMALL CP ETF9229087512341813SHSOLE
181300VANGUARD INDEX FDSTOTAL STK MKT922908769427037029SHSOLE
3702900VANGUARD INTL EQUITY INDEX FGLB EX US ETF922042676152230707SHSOLE
3070700VANGUARD INTL EQUITY INDEX FTT WRLD ST ETF922042742122220031SHSOLE
2003100VANGUARD MALVERN FDSSTRM INFPROIDX92202080543238879543SHSOLE
87954300VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C409827361042406SHSOLE
104240600VANGUARD SCOTTSDALE FDSINT-TERM CORP92206C87051592602013SHSOLE
60201300VANGUARD SPECIALIZED PORTFOLDIV APP ETF9219088446537668SHSOLE
766800VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF921943858326289275SHSOLE
8927500VANGUARD WHITEHALL FDS INCHIGH DIV YLD921946406190625155SHSOLE
2515500VERIZON COMMUNICATIONS INCCOM92343V1043025658SHSOLE
565800WISDOMTREE TREMER MKT HIGH FD97717W31551613819SHSOLE
1381900WISDOMTREE TRSMALLCAP DIVID97717W604107713016SHSOLE
1301600WISDOMTREE TRINTL SMCAP DIV97717W76068011325SHSOLE
1132500