0001507971-17-000001.txt : 20170215
0001507971-17-000001.hdr.sgml : 20170215
20170215113837
ACCESSION NUMBER: 0001507971-17-000001
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161231
FILED AS OF DATE: 20170215
DATE AS OF CHANGE: 20170215
EFFECTIVENESS DATE: 20170215
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Wall Street Access Asset Management, LLC
CENTRAL INDEX KEY: 0001507971
IRS NUMBER: 134152843
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14077
FILM NUMBER: 17613566
BUSINESS ADDRESS:
STREET 1: 17 BATTERY PLACE
STREET 2: 11TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10004
BUSINESS PHONE: 212 709-9400
MAIL ADDRESS:
STREET 1: 17 BATTERY PLACE
STREET 2: 11TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10004
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001507971
XXXXXXXX
12-31-2016
12-31-2016
Wall Street Access Asset Management, LLC
17 BATTERY PLACE
11TH FLOOR
NEW YORK
NY
10004
13F HOLDINGS REPORT
028-14077
N
Greg Viscovich
Chief Compliance Officer
212 709-9429
Greg Viscovich
New York
NY
02-15-2017
0
139
179831
false
INFORMATION TABLE
2
wsaam13f12312016.xml
3D SYS CORP DEL COM NEW
COM
88554D205
4270
321330
SH
SOLE
259765
0
61565
3M CO COM
COM
88579Y101
223
1250
SH
SOLE
550
0
700
ABBOTT LABS COM
COM
002824100
245
6400
SH
SOLE
5500
0
900
ABBVIE INC COM
COM
00287Y109
4564
72900
SH
SOLE
36500
0
36400
ABTECH HLDGS INC COM
COM
00400H108
1
75000
SH
SOLE
75000
0
0
AEGEAN MARINE PETROLEUM
COM
Y0017S102
527
52000
SH
SOLE
29000
0
23000
AEROJET ROCKETDYNE HOLDINGS IN
COM
007800105
477
26588
SH
SOLE
26588
0
0
AES TR III TR PFD CONV SECS
PFD
00808N202
970
19250
SH
SOLE
6000
0
13250
ALLERGAN PLC
COM
g0177j108
419
1995
SH
SOLE
1995
0
0
ALPHABET INC CAP STKCL A
COM
02079K305
420
530
SH
SOLE
430
0
100
ALPHABET INC CAP STKCL C
COM
02079K107
957
1228
SH
SOLE
1128
0
100
ALTRIA GROUP INC COM
COM
02209S103
402
5950
SH
SOLE
5950
0
0
AMERICAN INTL GROUP INC COM NE
COM
026874784
539
8264
SH
SOLE
8264
0
0
AMERIGAS PARTNERS L P UNIT LTD
COM
030975106
352
7350
SH
SOLE
3300
0
4050
AMERIPRISE FINL INC COM
COM
03076C106
375
3389
SH
SOLE
3389
0
0
AMGEN INC
COM
031162100
490
3349
SH
SOLE
3349
0
0
AMOREPACIFIC CORP PFD SHS NO
PFD
Y01258113
484
2850
SH
SOLE
2850
0
0
ANNALY CAP MGMT INC
COM
035710409
456
45783
SH
SOLE
45783
0
0
APOLLO GLOBAL MGMT LLC CL A S
COM
037612306
774
40000
SH
SOLE
40000
0
0
APPLE INC COM
COM
037833100
2124
18345
SH
SOLE
14445
0
3900
AT&T INC COM
COM
00206R102
1367
32154
SH
SOLE
25844
0
6310
AVERY DENNISON CORP COM
COM ADR
053611109
2577
36702
SH
SOLE
11770
0
24932
BAIDU COM INC SPONS ADR REPSTG
COM ADR
056752108
1056
6429
SH
SOLE
6429
0
0
BANCO SANTANDER SA ADR
COM
05964H105
74
14313
SH
SOLE
14313
0
0
BANK AMER CORP COM
COM
060505104
1296
58678
SH
SOLE
58678
0
0
BARRICK GOLD CORP COM
COM
067901108
230
14420
SH
SOLE
13620
0
800
BAXTER INTL INC COM
COM
071813109
952
21490
SH
SOLE
8540
0
12950
BERKSHIRE HATHAWAY INC DEL CL
COM
084670108
1952
8
SH
SOLE
8
0
0
BERKSHIRE HATHAWAY INC DEL CL
COM
084670702
2189
13437
SH
SOLE
12187
0
1250
BIOGEN IDEC INC COM
COM ADR
09062X103
1038
5026
SH
SOLE
5026
0
0
BOEING CO COM
COM
097023105
299
1925
SH
SOLE
1100
0
825
BP PLC SPONS ADR
COM
055622104
3151
84310
SH
SOLE
38310
0
46000
BRISTOL MYERS SQUIBBCO COM
COM
110122108
583
9981
SH
SOLE
400
0
9581
BROADRIDGE FINL SOLUTIONS
COM
11133T103
663
10000
SH
SOLE
10000
0
0
BUILDERS FIRSTSOURCEINC COM
COM
12008R107
131
12000
SH
SOLE
12000
0
0
CANADIAN NATURAL RESLTD
COM
136385101
1009
31650
SH
SOLE
16650
0
15000
CANTEL MEDICAL CORP
COM
138098108
283
3600
SH
SOLE
0
0
3600
CATERPILLAR INC
COM
149123101
344
3712
SH
SOLE
3712
0
0
CECO ENVIRONMENTAL CORP
COM
125141101
2368
169783
SH
SOLE
81600
0
88183
CHEMTURA CORP COM NEW
COM
163893209
2531
76250
SH
SOLE
37950
0
38300
CHEVRON CORP NEW COM
COM
166764100
1454
12360
SH
SOLE
6299
0
6061
CHIPOTLE MEXICAN GRILL INC
COM
169656105
364
967
SH
SOLE
967
0
0
CHUBB LTD COM
COM
H1467J104
1685
12756
SH
SOLE
5566
0
7190
CINCINNATI FINL CORPCOM
COM
172062101
1742
23000
SH
SOLE
7500
0
15500
CISCO SYSTEMS INC
COM
17275R102
3780
125105
SH
SOLE
68180
0
56925
CITIGROUP INC COM NEW
COM
172967424
1476
24836
SH
SOLE
24836
0
0
CONOCOPHILLIPS COM
COM
20825C104
1029
20538
SH
SOLE
5807
0
14731
CORNING INC
COM
219350105
109
4500
SH
SOLE
0
0
4500
DARLING INGREDIENTS INC COM
COM
237266101
1359
105300
SH
SOLE
42200
0
63100
DIGIMARC CORP NEW COM
COM
25381B101
2476
82550
SH
SOLE
45150
0
37400
DISNEY WALT CO DISNEY COM
COM
254687106
971
9321
SH
SOLE
389
0
8932
DOW CHEMICAL CO
COM
260543103
428
7481
SH
SOLE
7481
0
0
DU PONT E I DE NEMOURS &
COM
263534109
264
3606
SH
SOLE
3026
0
580
EAGLE MATERIALS INC COM
COM
26969P108
5808
58950
SH
SOLE
31250
0
27700
EASTMAN CHEM CO
COM
277432100
207
2755
SH
SOLE
2755
0
0
EVERSOURCE ENERGY COM
COM
30040W108
3277
59338
SH
SOLE
13025
0
46313
EXXON MOBIL CORP COM
COM
30231G102
3966
43950
SH
SOLE
20919
0
23031
FACEBOOK INC CL A
COM
30303M102
303
2641
SH
SOLE
2641
0
0
FIDELITY NATL INFORMATIO
COM
31620M106
5285
69875
SH
SOLE
33194
0
36681
FIDELITY NATL FINL INC NEW FN
COM ADR
31620R303
6227
183364
SH
SOLE
86035
0
97329
FIDELITY NATL FINL INC NEW FN
COM
31620R402
2941
214711
SH
SOLE
105660
0
109051
FLAMEL TECHNOLOGIES SA SPONSOR
COM
338488109
2014
193924
SH
SOLE
106674
0
87250
GABELLI MULTIMEDIA TR INC COM
COM
36239Q109
3023
417618
SH
SOLE
192919
0
224699
GENERAL ELECTRIC CO COM
COM
369604103
1653
52329
SH
SOLE
27405
0
24924
GENERAL MTRS CO COM
COM
37045V100
387
11109
SH
SOLE
11109
0
0
GILEAD SCIENCES INC
COM
375558103
270
3765
SH
SOLE
3765
0
0
GOLDMAN SACHS GROUP INC COM
COM
38141G104
686
2865
SH
SOLE
2865
0
0
HESS CORP
COM
42809h107
242
3892
SH
SOLE
3892
0
0
HSBC HOLDINGS PLC SP ADR
ADR
404280406
216
5385
SH
SOLE
5385
0
0
HUNTINGTON BANCSHARES
COM
446150104
1254
94891
SH
SOLE
4300
0
90591
HUNTSMAN CORP
COM
447011107
590
30919
SH
SOLE
30919
0
0
INTEL CORP COM
COM
458140100
1107
30531
SH
SOLE
27331
0
3200
INTERCONTINENTAL EXCHANGE I
COM
45866F104
2850
50515
SH
SOLE
50515
0
0
INTERNATIONAL BUSINESS M
COM
459200101
880
5303
SH
SOLE
3303
0
2000
ISHARES TR 1-3 YR TREAS BD E
COM
464287457
223
2652
SH
SOLE
2652
0
0
ISHARES TR 1-3 YR CRBD ETF
COM
464288646
274
2613
SH
SOLE
2613
0
0
ISHARES TR NATL MUN BD ETF FD
COM
464288414
238
2209
SH
SOLE
2209
0
0
ISHARES TR RUSSELL 2000 VALUE
COM
464287630
772
6498
SH
SOLE
6498
0
0
ISHARES TR S&P MIDCAP 400
COM
464287606
328
1803
SH
SOLE
1803
0
0
ISHARES TR S&P U S PFD STK IN
COM
464288687
508
13675
SH
SOLE
12445
0
1230
ISHARES TR TIPS BD ETF
COM
464287176
565
5000
SH
SOLE
5000
0
0
JOHNSON & JOHNSON COM
COM
478160104
1366
11859
SH
SOLE
590
0
11269
JP MORGAN CHASE & CO COM
COM
46625H100
552
6397
SH
SOLE
5472
0
925
KBR INC
COM
48242w106
321
19245
SH
SOLE
19245
0
0
KINDER MORGAN INC DEL COM
COM
49456B101
3170
153106
SH
SOLE
65138
0
87968
KINDER MORGAN INC DEL WT EXP
Warrants
49456B119
0
91176
SH
SOLE
50600
0
40576
KRAFT HEINZ CO COM STK
COM
500754106
210
2414
SH
SOLE
2173
0
241
LEUCADIA NATL CORP
COM
527288104
262
11262
SH
SOLE
11262
0
0
LUMINEX CORP DEL COM
COM
55027E102
4422
218619
SH
SOLE
149000
0
69619
MAIN STR CAP CORP COM
COM
56035L104
4668
126956
SH
SOLE
46850
0
80106
MAIN STR CAP CORP SR NTS CPN
PFD
56035L302
574
22350
SH
SOLE
5100
0
17250
MANULIFE FINL CORP COM
COM
56501R106
3047
170997
SH
SOLE
76400
0
94597
MARSH & MCLENNAN COS INC CO
COM
571748102
202
2994
SH
SOLE
2994
0
0
MATERIALISE NV SPONSORED
COM ADR
57667T100
527
68700
SH
SOLE
43200
0
25500
MCDONALDS CORP
COM
580135101
294
2418
SH
SOLE
1718
0
700
MERCK & CO INC NEW COM
COM
58933Y105
407
6920
SH
SOLE
1910
0
5010
MICROSOFT CORP COM
COM
594918104
7209
116028
SH
SOLE
74380
0
41648
MONDELEZ INTL INC CLA
COM
609207105
610
13771
SH
SOLE
7720
0
6051
MONSANTO CO NEW COM
COM
61166W101
288
2745
SH
SOLE
2745
0
0
MOSYS INC COM
COM
619718109
18
63500
SH
SOLE
61000
0
2500
NATIONAL FUEL GAS CO NJ
COM
636180101
221
3897
SH
SOLE
3897
0
0
NAVIOS MARITME HLDGSINC COM
COM
Y62196103
59
42000
SH
SOLE
42000
0
0
NEW YORK CMNTY BANCORP IN
COM
649445103
526
33060
SH
SOLE
31060
0
2000
NORTHFIELD BANCORP INC DEL CO
COM
66611T108
799
40055
SH
SOLE
40055
0
0
NUVEEN NEW YORK AMT-FREE QUALI
COM
670656107
208
16305
SH
SOLE
16305
0
0
OMEGA HEALTHCARE INVS INC C
COM
681936100
733
23466
SH
SOLE
1000
0
22466
OXFORD LANE CAP CORPCOM
COM
691543102
1789
170281
SH
SOLE
38686
0
131595
PARK-OHIO HLDGS CORPCOM
COM
700666100
9399
220640
SH
SOLE
112310
0
108330
PEOPLES UTD FINL INCCOM
COM
712704105
1107
57281
SH
SOLE
18400
0
38881
PFIZER INC COM
COM
717081103
2822
86877
SH
SOLE
35570
0
51307
PHILLIPS 66 COM
COM
718546104
473
5478
SH
SOLE
178
0
5300
PROCTER & GAMBLE CO COM
COM
742718109
3938
46841
SH
SOLE
17891
0
28950
PSYCHEMEDICS CORP COM NEW
COM
744375205
3239
131257
SH
SOLE
42625
0
88632
PURE CYCLE CORP COM
COM
746228303
2096
381255
SH
SOLE
213755
0
167500
REDWOOD TR INC COM
COM
758075402
375
24700
SH
SOLE
11300
0
13400
ROLLS-ROYCE HOLDINGSPLC LONDON
COM
G76225104
85
10300
SH
SOLE
10300
0
0
ROYAL DUTCH SHELL PLC SPONSO
COM
780259206
233
4300
SH
SOLE
1000
0
3300
RSTK NORTHFIELD BANCORP IN
COM
66611T918
213
10700
SH
SOLE
10700
0
0
SCHOLASTIC CORP
COM ADR
807066105
3765
79300
SH
SOLE
41400
0
37900
SCORPIO TANKERS INC SHS
COM
Y7542C106
399
88250
SH
SOLE
48250
0
40000
SELECT SECTOR SPDR TR ENERGY
COM
81369Y506
215
2856
SH
SOLE
2856
0
0
SPDR S&P 500 ETF TR TR UNIT
COM
78462F103
483
2162
SH
SOLE
2162
0
0
STRATUS PPTYS INC COM NEW
COM
863167201
229
7000
SH
SOLE
7000
0
0
SUBURBAN PROPANE PARTNERS L
COM
864482104
1485
49417
SH
SOLE
25417
0
24000
TEVA PHARMACEUTICAL INDUSTRIES
COM
881624209
72
67600
SH
SOLE
30650
0
36950
TICC CAP CORP COM
COM ADR
87244T109
814
123260
SH
SOLE
35600
0
87660
TIME WARNER INC NEW COM NEW
COM
887317303
1016
10534
SH
SOLE
6500
0
4034
TITAN INTL INC IL
COM
88830m102
459
40980
SH
SOLE
40980
0
0
TORTOISE MLP FD INC COM
COM
89148B101
788
41331
SH
SOLE
5600
0
35731
TRIUMPH GROUP INC
COM
896818101
245
9241
SH
SOLE
9241
0
0
TSAKOS ENERGY NAVIGATION
COM
G9108L108
1109
236500
SH
SOLE
137000
0
99500
UNIVERSAL DISPLAY CORP COM
COM
91347P105
350
6226
SH
SOLE
2475
0
3751
VANGUARD INDEX FDS S&P 500 ET
COM
922908363
226
1102
SH
SOLE
1102
0
0
VANGUARD INDEX FDS VANGUARD R
COM
922908553
282
3422
SH
SOLE
3422
0
0
VANGUARD INDEX FDS VANGUARD T
COM
922908769
216
1876
SH
SOLE
1876
0
0
VERIZON COMMUNICAT
COM
92343V104
1295
24269
SH
SOLE
22296
0
1973
WELLS FARGO & CO NEW COM
COM
949746101
377
6850
SH
SOLE
1100
0
5750
WEYERHAEUSER CO
COM
962166104
2789
92720
SH
SOLE
44202
0
48518
YAHOO INC
COM
984332106
362
9360
SH
SOLE
9360
0
0