0001085146-17-002278.txt : 20171113 0001085146-17-002278.hdr.sgml : 20171113 20171113074605 ACCESSION NUMBER: 0001085146-17-002278 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171113 DATE AS OF CHANGE: 20171113 EFFECTIVENESS DATE: 20171113 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: 171193156 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 09-30-2017 09-30-2017 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 11-13-2017 0 139 433351 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ALPHABET INCCAP STK CL C02079K107533556SHSOLE 508048ALPHABET INCCAP STK CL A02079K305497510SHSOLE 449061ALTRIA GROUP INCCOM02209S1032343693SHSOLE 34930200AMAZON COM INCCOM02313510612011249SHSOLE 5770672AMGEN INCCOM0311621005673043SHSOLE 26670376APPLE INCCOM037833100404626250SHSOLE 1733608914AT&T INCCOM00206R10257314633SHSOLE 1176002873AUTOMATIC DATA PROCESSING INCOM0530151032412200SHSOLE 220000BANK AMER CORPCOM06050510443016957SHSOLE 1567201285BERKSHIRE HATHAWAY INC DELCL B NEW0846707022061121SHSOLE 7000421BOEING COCOM0970231057873097SHSOLE 309403BRISTOL MYERS SQUIBB COCOM1101221082513940SHSOLE 201301927CAMDEN NATL CORPCOM133034108205247019SHSOLE 0047019CHEVRON CORP NEWCOM166764100186515873SHSOLE 706508809CLAYMORE EXCHANGE TRD FD TR2022 HG YLD CB18383M21790735691SHSOLE 25663010028CLAYMORE EXCHANGE TRD FD TR2021 HG YLD CB18383M22591436164SHSOLE 2646109703CLAYMORE EXCHANGE TRD FD TR2023 CORP BOND18383M241130962037SHSOLE 41785020252CLAYMORE EXCHANGE TRD FD TRGUGG BULSH 202218383M258140165452SHSOLE 43951021501CLAYMORE EXCHANGE TRD FD TRGUGG BULSH 202118383M266172480723SHSOLE 48651032072CLAYMORE EXCHANGE TRD FD TRGUG BUL 2020 HY18383M36594837987SHSOLE 2831309674CLAYMORE EXCHANGE TRD FD TRGUG BUL 2019 HY18383M37398639895SHSOLE 3126108634CLAYMORE EXCHANGE TRD FD TRGUG BLT2018 HY18383M38195037498SHSOLE 2907408424CLAYMORE EXCHANGE TRD FD TRGUG BLT2017 HY18383M39981631718SHSOLE 2351608202CLAYMORE EXCHANGE TRD FD TRGUG BULL2020 E18383M514201793770SHSOLE 59896033874CLAYMORE EXCHANGE TRD FD TRGUG BULL2019 E18383M522194791617SHSOLE 61897029719CLAYMORE EXCHANGE TRD FD TRGUG BULL2018 E18383M530208898536SHSOLE 62924035612CLAYMORE EXCHANGE TRD FD TRGUGG CRP BD 201718383M548193285417SHSOLE 55956029461COCA COLA COCOM1912161002575716SHSOLE 51380577COSTCO WHSL CORP NEWCOM22160K1055693466SHSOLE 27400726CSX CORPCOM1264081032023724SHSOLE 132402400DANAHER CORP DELCOM2358511022993490SHSOLE 9803392DISNEY WALT COCOM DISNEY2546871064424481SHSOLE 39630517EXXON MOBIL CORPCOM30231G1025166296SHSOLE 419802098FACEBOOK INCCL A30303M1024742773SHSOLE 24540319FIRST TR DJS MICROCAP INDEXCOM SHS ANNUAL33718M1052655730SHSOLE 416001570FIRST TR EXCH TRD ALPHA FD IEMERG MKT ALPH33737J18247717421SHSOLE 1166205759FIRST TR EXCHANGE TRADED FDNO AMER ENERGY33738D1012249030SHSOLE 506003970FIRST TR EXCHANGE TRADED FDSENIOR LN FD33738D3094148597SHSOLE 859700FIRST TR EXCHANGE-TRADED FDPFD SECS INC ETF33739E1083099154349SHSOLE 113582040767GENERAL ELECTRIC COCOM36960410379032682SHSOLE 2671205970GILEAD SCIENCES INCCOM3755581033444248SHSOLE 34480800INTEL CORPCOM458140100149439230SHSOLE 3394505285INTERNATIONAL BUSINESS MACHSCOM4592001013192195SHSOLE 18990296ISHARES INCMSCI FRNTR100ETF464286145273887377SHSOLE 68053019324ISHARES INCCORE MSCI EMKT46434G10323032426368SHSOLE 3076580118710ISHARES SILVER TRUSTISHARES46428Q10937023485SHSOLE 1450008985ISHARES TRTIPS BD ETF464287176314827713SHSOLE 2436803345ISHARES TRCORE S&P500 ETF46428720012985132SHSOLE 513200ISHARES TRCORE US AGGBD ET46428722610889932SHSOLE 861101321ISHARES TRIBOXX INV CP ETF4642872422552100SHSOLE 17600340ISHARES TRS&P 500 GRWT ETF4642873093412375SHSOLE 20750300ISHARES TRS&P 500 VAL ETF4642874086666175SHSOLE 617500ISHARES TR1 3 YR TREAS BD46428745730310358914SHSOLE 261168097746ISHARES TRMSCI EAFE ETF4642874655978723SHSOLE 569003033ISHARES TRCORE S&P MCP ETF4642875072071156SHSOLE 1101055ISHARES TRRUSSELL 2000 ETF4642876553822575SHSOLE 257500ISHARES TRCORE S&P SCP ETF4642878043074143SHSOLE 414300ISHARES TREAFE SML CP ETF464288273163326342SHSOLE 1924107100ISHARES TRJPMORGAN USD EMG464288281578749708SHSOLE 32651017056ISHARES TRNATIONAL MUN ETF464288414504145471SHSOLE 27535017936ISHARES TRINTL DEVPPTY ETF46428842240110530SHSOLE 696903561ISHARES TR1 3 YR CR BD ETF4642886468728281SHSOLE 8234047ISHARES TR3 7 YR TREAS BD4642886613662962SHSOLE 2869093ISHARES TRMICRO-CAP ETF4642888697367795SHSOLE 442703368ISHARES TRCORE MSCI EAFE46432F84267410502SHSOLE 610504397ISHARES U S ETF TRCOMMOD SEL STG46431W853176950762SHSOLE 4874002022JOHNSON & JOHNSONCOM4781601046545030SHSOLE 47760254JPMORGAN CHASE & COCOM46625H1003463621SHSOLE 31560465MATTHEWS INTL CORPCL A57712810185913806SHSOLE 1380600MCDONALDS CORPCOM5801351012671706SHSOLE 1656050MERCK & CO INCCOM58933Y1052774320SHSOLE 39070413MICROCHIP TECHNOLOGY INCCOM595017104138415415SHSOLE 0015415MICROSOFT CORPCOM594918104351347160SHSOLE 21768025392NIKE INCCL B65410610357211024SHSOLE 484206181OPKO HEALTH INCCOM68375N10315222200SHSOLE 2200020000ORACLE CORPCOM68389X1054038343SHSOLE 81570186PATTERSON COMPANIES INCCOM7033951032706998SHSOLE 699800PEPSICO INCCOM7134481082822534SHSOLE 19250609PFIZER INCCOM7170811032647408SHSOLE 66720736PHILIP MORRIS INTL INCCOM7181721092211992SHSOLE 18730119PHILLIPS 66COM7185461042042229SHSOLE 45601773PIMCO ETF TR0-5 HIGH YIELD72201R7834794717SHSOLE 42460471POWERSHARES QQQ TRUSTUNIT SER 173935A1047475138SHSOLE 46880450PROCTER AND GAMBLE COCOM74271810991810090SHSOLE 824801842SCHWAB STRATEGIC TRUS BRD MKT ETF8085241022033334SHSOLE 24830851SCHWAB STRATEGIC TRUS LRG CAP ETF8085242019100151570SHSOLE 116927034643SCHWAB STRATEGIC TRUS LCAP VA ETF8085244092274377SHSOLE 437700SCHWAB STRATEGIC TREMRG MKTEQ ETF808524706223683074SHSOLE 54473028601SCHWAB STRATEGIC TRUS DIVIDEND EQ8085247972495321SHSOLE 49270394SCHWAB STRATEGIC TRINTL EQTY ETF80852480538411473SHSOLE 110230450SCHWAB STRATEGIC TRUS AGGREGATE B808524839464988790SHSOLE 67902020888SCHWAB STRATEGIC TRUS TIPS ETF808524870177832173SHSOLE 2313509038SCHWAB STRATEGIC TRINTL SCEQT ETF80852488858916435SHSOLE 1081005625SOUTHWEST AIRLS COCOM8447411082825033SHSOLE 503300SPDR INDEX SHS FDSDJ GLB RL ES ETF78463X7493096471SHSOLE 61360335SPDR INDEX SHS FDSS&P EMKTSC ETF78463X7564509089SHSOLE 627902810SPDR INDEX SHS FDSS&P INTL ETF78463X772183045317SHSOLE 30245015073SPDR S&P 500 ETF TRTR UNIT78462F10312985167SHSOLE 319701970SPDR SER TRBLOOMBERG SRT TR78468R40818523662233SHSOLE 4525090209725SPDR SER TRNUVEEN BLMBRG SR78468R7398218169095SHSOLE 118360050735SPDR SERIES TRUSTS&P 600 SMCP GRW78464A2016843000SHSOLE 300000SPDR SERIES TRUSTNUV HGHYLD MUN78464A2846848119937SHSOLE 93457026480SPDR SERIES TRUSTBLOMBRG BRC INTR78464A37576122050SHSOLE 6385015665SPDR SERIES TRUSTBLOMBRG BRC EMRG78464A39130410166SHSOLE 499605170SPDR SERIES TRUSTBLOMBERG BRC SRT78464A47476925076SHSOLE 8735016341SPDR SERIES TRUSTDJ REIT ETF78464A607127413770SHSOLE 1029203478SPDR SERIES TRUSTS&P DIVID ETF78464A7632983264SHSOLE 29060358SPLUNK INCCOM8486371044336519SHSOLE 006519STARBUCKS CORPCOM855244109141726375SHSOLE 8605017770UNITEDHEALTH GROUP INCCOM91324P1022101071SHSOLE 107001US BANCORP DELCOM NEW90297330460711319SHSOLE 107130606VANECK VECTORS ETF TRHIGH YLD MUN ETF92189F361263484139SHSOLE 52058032081VANECK VECTORS ETF TRAMT FREE INT ETF92189F544101742306SHSOLE 30096012210VANGUARD BD INDEX FD INCSHORT TRM BOND921937827215026937SHSOLE 6208020729VANGUARD INDEX FDSREIT ETF92290855311097133553SHSOLE 93400040152VANGUARD INDEX FDSSM CP VAL ETF9229086112191716SHSOLE 1666050VANGUARD INDEX FDSLARGE CAP ETF922908637987085530SHSOLE 41648043882VANGUARD INDEX FDSGROWTH ETF9229087368346285SHSOLE 54650820VANGUARD INDEX FDSVALUE ETF922908744170717105SHSOLE 1025806846VANGUARD INDEX FDSSMALL CP ETF9229087515633983SHSOLE 36850298VANGUARD INDEX FDSTOTAL STK MKT922908769489037756SHSOLE 25532012224VANGUARD INTL EQUITY INDEX FGLB EX US ETF922042676175129472SHSOLE 2476604706VANGUARD INTL EQUITY INDEX FTT WRLD ST ETF922042742129118261SHSOLE 6838011424VANGUARD MALVERN FDSSTRM INFPROIDX92202080538428777101SHSOLE 5553540221747VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C409894611116452SHSOLE 7702570346195VANGUARD SCOTTSDALE FDSINT-TERM CORP92206C87056389640715SHSOLE 4429570197758VANGUARD SPECIALIZED PORTFOLDIV APP ETF9219088447487890SHSOLE 70440846VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF921943858328375617SHSOLE 43196032421VANGUARD WHITEHALL FDS INCHIGH DIV YLD921946406294536326SHSOLE 24202012125VANGUARD WORLD FDSCONSUM STP ETF92204A2072301658SHSOLE 10000658VANGUARD WORLD FDSUTILITIES ETF92204A8762331996SHSOLE 001996VERIZON COMMUNICATIONS INCCOM92343V1042184412SHSOLE 248401928VISA INCCOM CL A92826C8392592458SHSOLE 22920166WISDOMTREE TREMG MKTS SMCAP97717W2812875848SHSOLE 385501993WISDOMTREE TREMER MKT HIGH FD97717W31572816931SHSOLE 1409402837WISDOMTREE TRUS SMALLCAP DIVD97717W604140716743SHSOLE 1234604397WISDOMTREE TRINTL SMCAP DIV97717W76088812010SHSOLE 865803352WISDOMTREE TRITL HIGH DIV FD97717W8022225070SHSOLE 507000XCEL ENERGY INCCOM98389B1002354957SHSOLE 87004087