0001085146-16-004402.txt : 20160909 0001085146-16-004402.hdr.sgml : 20160909 20160908192524 ACCESSION NUMBER: 0001085146-16-004402 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130930 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: 161877544 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 09-30-2013 09-30-2013 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 0 207 205878 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 404 3387 SH SOLE 3387 0 0 ABBOTT LABS COM 002824100 458 13811 SH SOLE 13811 0 0 ABBVIE INC COM 00287Y109 242 5403 SH SOLE 5403 0 0 ADVANCED MICRO DEVICES INC COM 007903107 39 10248 SH SOLE 10248 0 0 ADVISORSHARES TR PERITUS HG YLD 00768Y503 1683 32722 SH SOLE 32722 0 0 AFLAC INC COM 001055102 285 4605 SH SOLE 4605 0 0 ALCOA INC COM 013817101 86 10617 SH SOLE 10617 0 0 ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 1632 108604 SH SOLE 108604 0 0 ALPHA NATURAL RESOURCES INC COM 02076X102 169 28382 SH SOLE 28382 0 0 ALTRIA GROUP INC COM 02209S103 1338 38943 SH SOLE 38943 0 0 AMAZON COM INC COM 023135106 728 2328 SH SOLE 2328 0 0 AMERICAN CAP LTD COM 02503Y103 182 13259 SH SOLE 13259 0 0 AMERICAN EXPRESS CO COM 025816109 591 7820 SH SOLE 7820 0 0 AMERIGAS PARTNERS L P UNIT L P INT 030975106 2069 48048 SH SOLE 48048 0 0 AMGEN INC COM 031162100 355 3176 SH SOLE 3176 0 0 ANNALY CAP MGMT INC COM 035710409 270 23299 SH SOLE 23299 0 0 APPLE INC COM 037833100 4306 58575 SH SOLE 58575 0 0 ARES CAP CORP COM 04010L103 234 13514 SH SOLE 13514 0 0 AT&T INC COM 00206R102 2318 68531 SH SOLE 68531 0 0 BANK HAWAII CORP COM 062540109 591 10861 SH SOLE 10861 0 0 BANK MONTREAL QUE COM 063671101 439 6565 SH SOLE 6565 0 0 BANK OF AMERICA CORPORATION COM 060505104 3891 281929 SH SOLE 281929 0 0 BARCLAYS BK PLC DJUBS CMDT ETN36 06738C778 2489 66804 SH SOLE 66804 0 0 BCE INC COM NEW 05534B760 235 5340 SH SOLE 5340 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2922 25746 SH SOLE 25746 0 0 BLACKROCK ENHANCED EQT DIV T COM 09251A104 235 31239 SH SOLE 31239 0 0 BLACKROCK MUN 2020 TERM TR COM SHS 09249X109 900 55309 SH SOLE 55309 0 0 BOEING CO COM 097023105 3636 30943 SH SOLE 30943 0 0 BP PLC SPONSORED ADR 055622104 1437 34202 SH SOLE 34202 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 2196 47453 SH SOLE 47453 0 0 BROADCOM CORP CL A 111320107 298 11451 SH SOLE 11451 0 0 CABLEVISION SYS CORP CL A NY CABLVS 12686C109 367 21815 SH SOLE 21815 0 0 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 129 12871 SH SOLE 12871 0 0 CBL & ASSOC PPTYS INC COM 124830100 807 42245 SH SOLE 42245 0 0 CENTURYLINK INC COM 156700106 1007 32080 SH SOLE 32080 0 0 CHESAPEAKE ENERGY CORP COM 165167107 950 36704 SH SOLE 36704 0 0 CHEVRON CORP NEW COM 166764100 2824 23241 SH SOLE 23241 0 0 CIMATRON LTD ORD M23798107 166 28829 SH SOLE 28829 0 0 CISCO SYS INC COM 17275R102 1847 78838 SH SOLE 78838 0 0 CITIGROUP INC COM NEW 172967424 663 13664 SH SOLE 13664 0 0 CLIFFS NAT RES INC COM 18683K101 453 65139 SH SOLE 65139 0 0 CLOROX CO DEL COM 189054109 327 3996 SH SOLE 3996 0 0 CMS ENERGY CORP COM 125896100 205 7774 SH SOLE 7774 0 0 COCA COLA CO COM 191216100 211 5569 SH SOLE 5569 0 0 COLUMBIA BKG SYS INC COM 197236102 223 9008 SH SOLE 9008 0 0 COMCAST CORP NEW CL A 20030N101 446 9882 SH SOLE 9882 0 0 CONOCOPHILLIPS COM 20825C104 1242 17871 SH SOLE 17871 0 0 COSTCO WHSL CORP NEW COM 22160K105 2160 18757 SH SOLE 18757 0 0 CSX CORP COM 126408103 221 8582 SH SOLE 8582 0 0 DANAHER CORP DEL COM 235851102 652 9411 SH SOLE 9411 0 0 DICE HLDGS INC COM 253017107 98 11501 SH SOLE 11501 0 0 DISNEY WALT CO COM DISNEY 254687106 279 4333 SH SOLE 4333 0 0 DOW CHEM CO COM 260543103 2425 63158 SH SOLE 63158 0 0 DREYFUS STRATEGIC MUNS INC COM 261932107 102 12746 SH SOLE 12746 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 1595 27239 SH SOLE 27239 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 692 10368 SH SOLE 10368 0 0 E M C CORP MASS COM 268648102 633 24748 SH SOLE 24748 0 0 EBIX INC COM NEW 278715206 73 66289 SH SOLE 66289 0 0 EMERITUS CORP COM 291005106 195 10506 SH SOLE 10506 0 0 ENERGIZER HLDGS INC COM 29266R108 47 157153 SH SOLE 157153 0 0 ENZON PHARMACEUTICALS INC COM 293904108 99 58721 SH SOLE 58721 0 0 EQUIFAX INC COM 294429105 276 4618 SH SOLE 4618 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 240 3883 SH SOLE 3883 0 0 EXXON MOBIL CORP COM 30231G102 1738 20198 SH SOLE 20198 0 0 FACEBOOK INC CL A 30303M102 558 11106 SH SOLE 11106 0 0 FERRELLGAS PARTNERS L.P. UNIT LTD PART 315293100 2228 99951 SH SOLE 99951 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 775 45917 SH SOLE 45917 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 559 16905 SH SOLE 16905 0 0 FRONTIER COMMUNICATIONS CORP COM 35906A108 686 164231 SH SOLE 164231 0 0 FX ENERGY INC COM 302695101 55 16000 SH SOLE 16000 0 0 GABELLI DIVD & INCOME TR COM 36242H104 258 12984 SH SOLE 12984 0 0 GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 140 13227 SH SOLE 13227 0 0 GENERAL ELECTRIC CO COM 369604103 3599 150629 SH SOLE 150629 0 0 GENERAL MTRS CO COM 37045V100 249 6914 SH SOLE 6914 0 0 GILEAD SCIENCES INC COM 375558103 220 3494 SH SOLE 3494 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 209 4157 SH SOLE 4157 0 0 GOLDEN STAR RES LTD CDA COM 38119T104 12 30250 SH SOLE 30250 0 0 HCP INC COM 40414L109 1175 28694 SH SOLE 28694 0 0 HERITAGE FINL CORP WASH COM 42722X106 1072 69088 SH SOLE 69088 0 0 HOME DEPOT INC COM 437076102 216 2841 SH SOLE 2841 0 0 HONEYWELL INTL INC COM 438516106 366 4413 SH SOLE 4413 0 0 HUMANA INC COM 444859102 249 2667 SH SOLE 2667 0 0 INTEL CORP COM 458140100 2987 130326 SH SOLE 130326 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 525 2834 SH SOLE 2834 0 0 ISHARES 0-5 YR TIPS ETF 46429B747 211 2086 SH SOLE 2086 0 0 ISHARES COHEN&STEER REIT 464287564 349 4537 SH SOLE 4537 0 0 ISHARES CORE S&P MCP ETF 464287507 590 4752 SH SOLE 4752 0 0 ISHARES CORE S&P SCP ETF 464287804 229 2292 SH SOLE 2292 0 0 ISHARES CORE TOTUSBD ETF 464287226 2352 21937 SH SOLE 21937 0 0 ISHARES IBOXX HI YD ETF 464288513 3103 33879 SH SOLE 33879 0 0 ISHARES IBOXX INV CP ETF 464287242 1685 14840 SH SOLE 14840 0 0 ISHARES JP MOR EM MK ETF 464288281 1927 17673 SH SOLE 17673 0 0 ISHARES MSCI EAFE ETF 464287465 3411 53471 SH SOLE 53471 0 0 ISHARES MSCI EMG MKT ETF 464287234 725 17786 SH SOLE 17786 0 0 ISHARES RUS 1000 GRW ETF 464287614 3319 42441 SH SOLE 42441 0 0 ISHARES RUS 1000 VAL ETF 464287598 2991 34704 SH SOLE 34704 0 0 ISHARES RUS 2000 VAL ETF 464287630 361 3388 SH SOLE 3388 0 0 ISHARES RUS MD CP GR ETF 464287481 443 5668 SH SOLE 5668 0 0 ISHARES SELECT DIVID ETF 464287168 4450 67078 SH SOLE 67078 0 0 ISHARES SP SMCP600GR ETF 464287887 2605 24037 SH SOLE 24037 0 0 ISHARES SP SMCP600VL ETF 464287879 497 4858 SH SOLE 4858 0 0 ISHARES TIPS BD ETF 464287176 1392 12964 SH SOLE 12964 0 0 ISHARES U.S. BAS MTL ETF 464287838 399 5392 SH SOLE 5392 0 0 ISHARES U.S. PFD STK ETF 464288687 583 15341 SH SOLE 15341 0 0 ISHARES S&P GSCI COMMODITY I UNIT BEN INT 46428R107 832 25702 SH SOLE 25702 0 0 ITRON INC COM 465741106 230 5373 SH SOLE 5373 0 0 JOHNSON & JOHNSON COM 478160104 793 9143 SH SOLE 9143 0 0 JOHNSON CTLS INC COM 478366107 526 12671 SH SOLE 12671 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 236 5298 SH SOLE 5298 0 0 JPMORGAN CHASE & CO COM 46625H100 1971 38135 SH SOLE 38135 0 0 KAYNE ANDERSON MLP INVSMNT C COM 486606106 302 8424 SH SOLE 8424 0 0 KEYCORP NEW COM 493267108 915 80297 SH SOLE 80297 0 0 KIMBERLY CLARK CORP COM 494368103 200 2126 SH SOLE 2126 0 0 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 274 3432 SH SOLE 3432 0 0 LILLY ELI & CO COM 532457108 291 5776 SH SOLE 5776 0 0 LORILLARD INC COM 544147101 406 9058 SH SOLE 9058 0 0 LOWES COS INC COM 548661107 267 5610 SH SOLE 5610 0 0 MANNKIND CORP COM 56400P201 96 16926 SH SOLE 16926 0 0 MANULIFE FINL CORP COM 56501R106 205 12349 SH SOLE 12349 0 0 MASCO CORP COM 574599106 218 10233 SH SOLE 10233 0 0 MCDONALDS CORP COM 580135101 557 5788 SH SOLE 5788 0 0 MERCK & CO INC NEW COM 58933Y105 1748 36723 SH SOLE 36723 0 0 MICROCHIP TECHNOLOGY INC COM 595017104 273 6773 SH SOLE 6773 0 0 MICROSOFT CORP COM 594918104 10981 329948 SH SOLE 329948 0 0 MODUSLINK GLOBAL SOLUTIONS I COM 60786L107 1 26312 SH SOLE 26312 0 0 MONDELEZ INTL INC CL A 609207105 210 6669 SH SOLE 6669 0 0 MONSANTO CO NEW COM 61166W101 573 5491 SH SOLE 5491 0 0 NETAPP INC COM 64110D104 234 5486 SH SOLE 5486 0 0 NEVADA GOLD & CASINOS INC COM NEW 64126Q206 23 22181 SH SOLE 22181 0 0 NEW YORK CMNTY BANCORP INC COM 649445103 191 12657 SH SOLE 12657 0 0 NIKE INC CL B 654106103 265 7297 SH SOLE 7297 0 0 NORDSTROM INC COM 655664100 569 10119 SH SOLE 10119 0 0 NUVEEN CONN PREM INCOME MUN COM 67060D107 139 13790 SH SOLE 13790 0 0 NUVEEN GA DIV ADV MUN FD 2 COM 67072B107 341 34120 SH SOLE 34120 0 0 NUVEEN MASS AMT-FREE MUN INC COM 67072F108 117 11723 SH SOLE 11723 0 0 NUVEEN MD PREM INCOME MUN FD COM 67061Q107 551 55012 SH SOLE 55012 0 0 NUVEEN NEW YORK MUN VALUE FD COM 670706100 131 12986 SH SOLE 12986 0 0 ONEBEACON INSURANCE GROUP LT CL A G67742109 292 19758 SH SOLE 19758 0 0 ORACLE CORP COM 68389X105 291 8762 SH SOLE 8762 0 0 PACCAR INC COM 693718108 2289 41122 SH SOLE 41122 0 0 PDL BIOPHARMA INC COM 69329Y104 93 11612 SH SOLE 11612 0 0 PEPSICO INC COM 713448108 203 2550 SH SOLE 2550 0 0 PFIZER INC COM 717081103 1949 67862 SH SOLE 67862 0 0 PHILIP MORRIS INTL INC COM 718172109 567 6552 SH SOLE 6552 0 0 PHILLIPS 66 COM 718546104 348 6026 SH SOLE 6026 0 0 PIMCO CORPORATE & INCOME OPP COM 72201B101 339 18771 SH SOLE 18771 0 0 PIMCO CORPORATE INCOME STRAT COM 72200U100 1568 93971 SH SOLE 93971 0 0 PLUM CREEK TIMBER CO INC COM 729251108 399 8522 SH SOLE 8522 0 0 POWERSHARES ETF TRUST II DWA DEVEL MKTS 73936Q108 1691 67537 SH SOLE 67537 0 0 POWERSHARES ETF TRUST II DWA EMRG MKTS 73936Q207 1803 99759 SH SOLE 99759 0 0 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 1476 107834 SH SOLE 107834 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 3755 47605 SH SOLE 47605 0 0 PRECISION CASTPARTS CORP COM 740189105 999 4396 SH SOLE 4396 0 0 PROCTER & GAMBLE CO COM 742718109 2316 30638 SH SOLE 30638 0 0 PUTNAM MANAGED MUN INCOM TR COM 746823103 162 23687 SH SOLE 23687 0 0 QUALCOMM INC COM 747525103 1337 19867 SH SOLE 19867 0 0 RAYTHEON CO COM NEW 755111507 247 3210 SH SOLE 3210 0 0 REALTY INCOME CORP COM 756109104 1385 34851 SH SOLE 34851 0 0 RESOURCE CAP CORP COM 76120W302 270 4347 SH SOLE 4347 0 0 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 5644 86558 SH SOLE 86558 0 0 SAN JUAN BASIN RTY TR UNIT BEN INT 798241105 166 10388 SH SOLE 10388 0 0 SANOFI SPONSORED ADR 80105N105 409 8086 SH SOLE 8086 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1292 40310 SH SOLE 40310 0 0 SEMPRA ENERGY COM 816851109 314 3668 SH SOLE 3668 0 0 SHIP FINANCE INTERNATIONAL L SHS G81075106 244 15972 SH SOLE 15972 0 0 SONUS NETWORKS INC COM 835916107 187 11104 SH SOLE 11104 0 0 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 232 5510 SH SOLE 5510 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1416 8428 SH SOLE 8428 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 2483 10969 SH SOLE 10969 0 0 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 354 8888 SH SOLE 8888 0 0 SPDR SERIES TRUST S&P DIVID ETF 78464A763 229 3316 SH SOLE 3316 0 0 SPRINT CORP COM SER 1 85207U105 965 155159 SH SOLE 155159 0 0 ST JUDE MED INC COM 790849103 234 4359 SH SOLE 4359 0 0 STARBUCKS CORP COM 855244109 4262 109048 SH SOLE 109048 0 0 SUN LIFE FINL INC COM 866796105 994 30218 SH SOLE 30218 0 0 TELENAV INC COM 879455103 58 10005 SH SOLE 10005 0 0 TEXAS INSTRS INC COM 882508104 303 7523 SH SOLE 7523 0 0 TIBCO SOFTWARE INC COM 88632Q103 236 9224 SH SOLE 9224 0 0 TRANSOCEAN LTD REG SHS H8817H100 481 10807 SH SOLE 10807 0 0 TYSON FOODS INC CL A 902494103 460 16257 SH SOLE 16257 0 0 UNION PAC CORP COM 907818108 642 8270 SH SOLE 8270 0 0 UNITED TECHNOLOGIES CORP COM 913017109 258 2389 SH SOLE 2389 0 0 UNUM GROUP COM 91529Y106 261 8564 SH SOLE 8564 0 0 UQM TECHNOLOGIES INC COM 903213106 118 64980 SH SOLE 64980 0 0 US BANCORP DEL COM NEW 902973304 3977 108713 SH SOLE 108713 0 0 VAALCO ENERGY INC COM NEW 91851C201 67 12041 SH SOLE 12041 0 0 VALERO ENERGY CORP NEW COM 91913Y100 209 6131 SH SOLE 6131 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 1361 16936 SH SOLE 16936 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 1743 21551 SH SOLE 21551 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 3678 43475 SH SOLE 43475 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 240 2812 SH SOLE 2812 0 0 VANGUARD INDEX FDS REIT ETF 922908553 3193 48270 SH SOLE 48270 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 346 3832 SH SOLE 3832 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 3532 50612 SH SOLE 50612 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 763 15691 SH SOLE 15691 0 0 VANGUARD NAT RES LLC COM UNIT 92205F106 299 10678 SH SOLE 10678 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 455 5714 SH SOLE 5714 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 360 5169 SH SOLE 5169 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 494 12487 SH SOLE 12487 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 2440 52281 SH SOLE 52281 0 0 VONAGE HLDGS CORP COM 92886T201 32 10317 SH SOLE 10317 0 0 WELLS FARGO & CO NEW COM 949746101 790 19129 SH SOLE 19129 0 0 WELLS FARGO ADVANTAGE INCOME COM SHS 94987B105 133 14775 SH SOLE 14775 0 0 WEYERHAEUSER CO COM 962166104 375 13114 SH SOLE 13114 0 0 WINDSTREAM HLDGS INC COM 97382A101 140 35211 SH SOLE 35211 0 0 WISDOMTREE TR EM LCL DEBT FD 97717X867 418 8872 SH SOLE 8872 0 0 WISDOMTREE TR INTL SMCAP DIV 97717W760 2336 38883 SH SOLE 38883 0 0