0001085146-16-004398.txt : 20160909 0001085146-16-004398.hdr.sgml : 20160909 20160908192342 ACCESSION NUMBER: 0001085146-16-004398 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20160909 DATE AS OF CHANGE: 20160908 EFFECTIVENESS DATE: 20160909 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NWAM LLC CENTRAL INDEX KEY: 0001655006 IRS NUMBER: 000000000 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17002 FILM NUMBER: 161877539 BUSINESS ADDRESS: STREET 1: 7900 SE 28TH STREET, SUITE 412 CITY: MERCER ISLAND STATE: WA ZIP: 98040 BUSINESS PHONE: (206)838-3680 MAIL ADDRESS: STREET 1: 7900 SE 28TH STREET, SUITE 412 CITY: MERCER ISLAND STATE: WA ZIP: 98040 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001655006 XXXXXXXX 09-30-2012 09-30-2012 false NWAM LLC

7900 SE 28TH STREET, SUITE 412 MERCER ISLAND WA 98040

13F HOLDINGS REPORT 028-17002 N Greg Headrick 206-838-3680 /s/ Greg Headrick Mercer Island WA 09-01-2016 0 325 238049 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 481 5206 SH SOLE 5206 0 0 ABBOTT LABS COM 002824100 742 10828 SH SOLE 10828 0 0 ADOBE SYS INC COM 00724F101 296 9134 SH SOLE 9134 0 0 AES CORP COM 00130H105 122 11163 SH SOLE 11163 0 0 AFLAC INC COM 001055102 342 7148 SH SOLE 7148 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 219 5716 SH SOLE 5716 0 0 ALPHA NATURAL RESOURCES INC COM 02076X102 85 12913 SH SOLE 12913 0 0 ALTRIA GROUP INC COM 02209S103 656 19635 SH SOLE 19635 0 0 AMAZON COM INC COM 023135106 1521 5982 SH SOLE 5982 0 0 AMERICAN CAPITAL AGENCY CORP COM 02503X105 435 23963 SH SOLE 6997 0 0 AMERICAN EXPRESS CO COM 025816109 995 17508 SH SOLE 17508 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 1146 34949 SH SOLE 34949 0 0 AMERIGAS PARTNERS L P UNIT L P INT 030975106 254 5816 SH SOLE 5816 0 0 AMGEN INC COM 031162100 1296 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22612 SH SOLE 22612 0 0 POWERSHARES ETF TRUST S&P 500 HGH QLTY 73935X682 616 39296 SH SOLE 39296 0 0 POWERSHARES ETF TRUST STOCKINVST CORE 73935X179 1182 51198 SH SOLE 51198 0 0 POWERSHARES ETF TRUST ZACKS MC PRTFL 73935X740 342 29276 SH SOLE 29276 0 0 POWERSHARES ETF TRUST II DWA EMRG MKTS 73936Q207 173 10028 SH SOLE 10028 0 0 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 1548 104706 SH SOLE 104706 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 805 11739 SH SOLE 11739 0 0 PRECISION CASTPARTS CORP COM 740189105 860 5267 SH SOLE 5267 0 0 PREMIERWEST BANCORP COM NEW 740921200 14 10188 SH SOLE 10188 0 0 PROCTER & GAMBLE CO COM 742718109 2305 33228 SH SOLE 33228 0 0 PROSHARES TR PSHS ULT MCAP400 74347R404 241 3461 SH SOLE 3461 0 0 PROSHARES TR PSHS ULTRA QQQ 74347R206 376 6174 SH SOLE 6174 0 0 PROSHARES TR ULTRA 20YR TRE 74347R172 165 10610 SH SOLE 10610 0 0 PRUDENTIAL FINL INC COM 744320102 1338 24548 SH SOLE 24548 0 0 PUBLIC STORAGE COM 74460D109 348 2498 SH SOLE 2498 0 0 PULTE 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81369Y803 1584 51365 SH SOLE 51365 0 0 SEMPRA ENERGY COM 816851109 296 4587 SH SOLE 4587 0 0 SIRIUS XM RADIO INC COM 82967N108 30 11658 SH SOLE 11658 0 0 SMITH A O COM 831865209 314 5458 SH SOLE 5458 0 0 SOCIEDAD QUIMICA MINERA DE C SPON ADR SER B 833635105 274 4443 SH SOLE 4443 0 0 SONUS NETWORKS INC COM 835916107 111 58915 SH SOLE 58915 0 0 SOURCEFIRE INC COM 83616T108 511 10419 SH SOLE 10419 0 0 SOUTHWESTERN ENERGY CO COM 845467109 773 22221 SH SOLE 22221 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 506 2944 SH SOLE 2944 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 883 6130 SH SOLE 6130 0 0 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 1624 40381 SH SOLE 40381 0 0 SPDR SERIES TRUST MORGAN TECH ETF 78464A102 374 5490 SH SOLE 5490 0 0 SPX CORP COM 784635104 148 39889 SH SOLE 39889 0 0 STARBUCKS CORP COM 855244109 6673 131591 SH SOLE 131591 0 0 STARWOOD HOTELS&RESORTS WRLD COM 85590A401 358 6184 SH SOLE 6184 0 0 STERICYCLE INC COM 858912108 209 2312 SH SOLE 2312 0 0 TCW STRATEGIC INCOME FUND IN COM 872340104 1463 256268 SH SOLE 256268 0 0 TEXAS INSTRS INC COM 882508104 415 15057 SH SOLE 15057 0 0 TIME WARNER INC COM NEW 887317303 202 4454 SH SOLE 4454 0 0 TOTAL S A SPONSORED ADR 89151E109 324 6459 SH SOLE 6459 0 0 TRAVELERS COMPANIES INC COM 89417E109 494 7242 SH SOLE 7242 0 0 TRI CONTL CORP COM 895436103 179 11026 SH SOLE 11026 0 0 TRIQUINT SEMICONDUCTOR INC COM 89674K103 136 26970 SH SOLE 26970 0 0 TYSON FOODS INC CL A 902494103 342 21616 SH SOLE 21616 0 0 UBS AG LONDON BRH ETRACS 2XLVS&P 90267L409 48 14237 SH SOLE 14237 0 0 UNION PAC CORP COM 907818108 709 5970 SH SOLE 5970 0 0 UNITED PARCEL SERVICE INC CL B 911312106 512 7147 SH SOLE 7147 0 0 UNITED RENTALS INC COM 911363109 665 20333 SH SOLE 20333 0 0 UNITED TECHNOLOGIES CORP COM 913017109 494 6315 SH SOLE 6315 0 0 UNUM GROUP COM 91529Y106 296 15422 SH SOLE 15422 0 0 UQM TECHNOLOGIES INC COM 903213106 43 37327 SH SOLE 37327 0 0 US AIRWAYS GROUP INC NOTE 7.250% 5/1 911905AC1 396 37902 SH SOLE 37902 0 0 US BANCORP DEL COM NEW 902973304 3463 100951 SH SOLE 100951 0 0 VALE S A ADR 91912E105 287 16023 SH SOLE 16023 0 0 VALERO ENERGY CORP NEW COM 91913Y100 485 15305 SH SOLE 15305 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 543 6672 SH SOLE 6672 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 1508 17712 SH SOLE 17712 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 1854 25704 SH SOLE 25704 0 0 VANGUARD INDEX FDS REIT ETF 922908553 2370 36474 SH SOLE 36474 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 543 6780 SH SOLE 6780 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 1821 31006 SH SOLE 31006 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 600 13963 SH SOLE 13963 0 0 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 213 5096 SH SOLE 5096 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1067 23417 SH SOLE 23417 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 311 5573 SH SOLE 5573 0 0 VIACOM INC NEW CL B 92553P201 622 11607 SH SOLE 11607 0 0 VISA INC COM CL A 92826C839 335 2497 SH SOLE 2497 0 0 VMWARE INC CL A COM 928563402 233 2410 SH SOLE 2410 0 0 WELLS FARGO & CO NEW COM 949746101 387 11215 SH SOLE 11215 0 0 WELLS FARGO & CO NEW PERP PFD CNV A 949746804 249 7211 SH SOLE 7211 0 0 WELLS FARGO ADVANTAGE INCOME COM SHS 94987B105 191 17942 SH SOLE 17942 0 0 WESTERN DIGITAL CORP COM 958102105 464 11985 SH SOLE 11985 0 0 WEYERHAEUSER CO COM 962166104 653 24990 SH SOLE 24990 0 0 WILLIAMS COS INC DEL COM 969457100 218 6225 SH SOLE 6225 0 0 WINDSTREAM CORP COM 97381W104 127 12578 SH SOLE 12578 0 0 WISDOMTREE TRUST DIV EX-FINL FD 97717W406 683 12123 SH SOLE 12123 0 0 WISDOMTREE TRUST EARNING 500 FD 97717W588 215 4308 SH SOLE 4308 0 0 WISDOMTREE TRUST INTL DIV EX FINL 97717W786 313 7809 SH SOLE 7809 0 0 WISDOMTREE TRUST MDCP EARN FUND 97717W570 325 5470 SH SOLE 5470 0 0 WISDOMTREE TRUST MIDCAP DIVI FD 97717W505 229 4032 SH SOLE 4032 0 0 WISDOMTREE TRUST TOTAL DIVID FD 97717W109 317 5819 SH SOLE 5819 0 0 YAHOO INC COM 984332106 826 51663 SH SOLE 51663 0 0